Business Context and Reporting Period
This Form 6-K filing by GlaxoSmithKline plc covers the six-month period from May 1, 2016 to October 31, 2016, with the report dated November 8, 2016. The document serves as a "Block Listing Six Monthly Return" detailing the status of various share option schemes and employee share plans. It does not contain general business operations updates or financial performance data.
Key Financial Metrics
The filing text does not provide values for revenue, profit, cash flow, margins, debt, or liquidity. The document is strictly limited to reporting the number of securities allotted and the remaining balance of unallotted securities under specific equity incentive schemes.
Material Changes in Equity Schemes
The filing reports activity across ten distinct share option and savings schemes. No new securities were added to any scheme during the period. The following schemes saw securities issued or allotted:
- GlaxoSmithKline Share Option Plan - Ordinary Shares: 3,867,264 securities issued; remaining balance 3,530,802.
- GlaxoSmithKline Share Option Plan - ADS: 533,350 securities issued; remaining balance 9,349,738.
- GlaxoSmithKline plc Sharesave Plan 2012: 255,084 securities issued; remaining balance 239,107.
The following schemes reported zero securities issued during the period, with balances remaining unchanged from the previous return:
- Glaxo Wellcome UK Share Option Scheme (Balance: 5,119,750)
- Glaxo Wellcome International Share Option Scheme (Balance: 13,267,156)
- Glaxo Wellcome 1999 Share Option Plan (Balance: 1,040,000)
- SmithKline Beecham 1989 Executive Share Option Plan - Approved - Ordinary Shares (Balance: 163,606)
- SmithKline Beecham 1989 Executive Share Option Plan - Unapproved - ADS (Balance: 275,420)
- SmithKline Beecham 1989 Executive Share Option Plan - Unapproved - Ordinary (Balance: 100,000)
- GlaxoSmithKline Savings Related Share Option Scheme (Balance: 2,742,626)
Guidance, Outlook, and Risks
The filing text does not provide management commentary, financial guidance, outlook, risk factors, contingencies, or unusual items. The document is a regulatory compliance report regarding equity plan administration.
Key Facts for Investor Verification
- Verify the total number of shares issued under the primary "GlaxoSmithKline Share Option Plan - Ordinary Shares" (3,867,264) against internal cap tables.
- Confirm the remaining pool size for the "Glaxo Wellcome International Share Option Scheme," which holds the largest unallotted balance (13,267,156).
- Note that no new share blocks were authorized or added to any scheme during this six-month period.
- Recognize that this filing contains no financial performance data; investors must refer to Form 20-F or quarterly earnings releases for revenue and profit metrics.