Business Context and Reporting Period
This Form 6-K filing by GlaxoSmithKline plc (GSK) was submitted on November 23, 2020. The document serves as a Block Listing Six Monthly Return covering the period from May 1, 2020, to October 31, 2020. It details the status of unallotted securities under four specific employee share incentive schemes.
Key Financial Metrics
The filing does not provide revenue, profit, cash flow, margins, debt, or liquidity metrics. It exclusively reports on the movement of securities within employee compensation plans.
| Scheme Name | Securities Issued/Allotted (Period) | Balance Unallotted (End of Period) |
|---|---|---|
| 2009 Deferred Annual Bonus Plan | 74,556 | 60,820 |
| 2009 Share Option Plan - Ordinary Shares | 32,278 | 221,813 |
| 2009 Share Option Plan - ADS | 64,816 | 4,627,864 |
| Share Save Plan 2012 | 169,776 | 1,277,629 |
Material Changes
During the reporting period, no increases were applied for to the block schemes. The reduction in unallotted balances across all four schemes is solely attributable to securities issued or allotted to participants. The total number of securities issued across all plans during this six-month period was 341,426.
Guidance, Outlook, and Risks
The filing contains no management commentary, financial guidance, outlook, risk factors, or contingencies. It is a regulatory disclosure regarding the administration of share plans.
Investor Verification Points
- Verify the total number of shares issued under the Share Save Plan 2012 (169,776) as it represents the largest issuance volume among the reported schemes.
- Confirm the remaining unallotted balance for the 2009 Share Option Plan - ADS (4,627,864), which holds the largest reserve of unissued securities.
- Note that no new blocks of shares were added to any scheme during the period; all activity was a reduction of existing reserves.