Securities Registration (ads, Immediate) (f-6ef)
May 06 2022 - 3:43PM
Edgar (US Regulatory)
As filed with the U.S. Securities and Exchange
Commission on May 6, 2022.
Registration No.
333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-6
REGISTRATION STATEMENT UNDER THE SECURITIES
ACT OF 1933 FOR
DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY
RECEIPTS
GlaxoSmithKline plc
(Exact name of issuer of deposited securities
as specified in its charter)
N/A
(Translation of issuer's name into English)
England and Wales
(Jurisdiction of incorporation or organization
of issuer)
JPMORGAN CHASE BANK, N.A.
(Exact name of depositary as specified in its
charter)
383 Madison Avenue, Floor 11, New York, New
York 10179
Telephone: +1-800- 990-1135
(Address, including zip code, and telephone
number, including area code, of depositary's principal executive offices)
GlaxoSmithKline LLC
5 Crescent Drive
Philadelphia, Pennsylvania 19112
+1-888-825-5249
(Address, including zip
code, and telephone number, including area code, of agent for service)
Copies to:
JPMorgan Chase Bank, N.A.
383 Madison Avenue, Floor 11
New York, New York 10179
Telephone: +1-800-990-1135
|
Scott R. Saks, Esq.
Norton Rose Fulbright US LLP
1301 Avenue of the Americas
New York, New York 10019-6022
Telephone: +1-212-318-3151 |
It is proposed that this
filing become effective under Rule 466
If a separate registration statement has been
filed to register the deposited shares, check the following box. x
CALCULATION OF REGISTRATION FEE
Title of Each Class of
Securities to be Registered |
Amount
to be Registered |
Proposed Maximum Aggregate Price Per Unit (1) |
Proposed Maximum
Aggregate Offering Price (2) |
Amount of
Registration Fee |
American Depositary Shares evidenced by American Depositary Receipts, each American Depositary Share representing two (2) ordinary shares of GlaxoSmithKline plc. |
500,000,000
American Depositary Shares |
$0.05 |
$25,000,000 |
$2,317.50 |
| (1) | Each unit represents one American Depositary Share. |
| (2) | Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such
estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary
Receipts evidencing American Depositary Shares. |
Pursuant to Rule 429, the Prospectus contained
herein also relates to the American Depositary Shares registered under Form F-6 Registration Statement No. 333-232726. This
Registration Statement also constitutes Post-Effective Amendment No. 2 to Registration Statement No. 333-232726.
PART I
INFORMATION REQUIRED IN PROSPECTUS
The Prospectus consists of
the proposed form of American Depositary Receipt ("ADR" or "American Depositary Receipt") included as Exhibit A
to Amendment No. 1 to the Deposit Agreement filed as Exhibit (a)(2) to this Registration Statement on Form F-6, which
is incorporated herein by reference.
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED
CROSS REFERENCE SHEET
Item Number and Caption |
|
Location
in Form of American Depositary
Receipt Filed Herewith as Prospectus |
(1) Name and address of Depositary |
|
Introductory paragraph and bottom of face of American Depositary Receipt |
(2) Title of American Depositary Receipts and identity of deposited securities |
|
Face of American Depositary Receipt, top center |
Terms of Deposit: |
|
|
(i) Amount of deposited securities represented by one unit of American Depositary Shares |
|
Face of American Depositary Receipt, upper right corner |
(ii) Procedure for voting, if any, the deposited securities |
|
Paragraphs (6), (11) and (12) |
(iii) Collection and distribution of dividends |
|
Paragraphs (4), (5), (7), (10), (11), (13) and (20) |
(iv) Transmission of notices, reports and proxy soliciting material |
|
Paragraphs (3), (8), (11) and (12) |
(v) Sale or exercise of rights |
|
Paragraphs (4), (5), (7) and (10) |
(vi) Deposit or sale of securities resulting from dividends, splits or plans of reorganization |
|
Paragraphs (3), (4), (5), (7), (10), (11), (13) and (20) |
(vii) Amendment, extension or termination of the Deposit Agreement |
|
Paragraphs (15), (16) and (17) |
(viii) Rights of holders of ADRs to inspect the transfer books of the Depositary and the list of Holders of ADRs |
|
Paragraph (3) |
(ix) Restrictions upon the right to deposit or withdraw the underlying securities |
|
Paragraphs (1), (2), (4), (5) and (6) |
(x) Limitation upon the liability of the Depositary |
|
Paragraphs (14), (17) and (19) |
(3) Fees and Charges |
|
Paragraph (7) |
Item 2. AVAILABLE INFORMATION
Item Number and Caption |
|
Location in Form of American Depositary
Receipt Filed Herewith as Prospectus |
GlaxoSmithKline plc is subject to the periodic reporting requirements of the Securities Exchange Act of 1934, as amended, and accordingly files certain reports with the Securities and Exchange Commission. These reports can be inspected and retrieved by holders of American Depositary Receipts through the EDGAR system on the Securities and Exchange Commission’s Internet Website, currently located at www.sec.gov, and can be inspected and copied at public reference facilities maintained by the Securities and Exchange Commission, currently located at 100 F Street, N.E., Washington, D.C. 20549. |
|
Paragraph (8) |
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 3. EXHIBITS
| (a)(1) | Deposit Agreement. Second Amended and Restated Deposit Agreement, dated as of July 21, 2019
(as from time to time amended, the "Deposit Agreement"), among GlaxoSmithKline plc (the “Company”), JPMorgan Chase
Bank, N.A., as depositary (the "Depositary"), and all Holders and Beneficial Owners from time to time of American Depositary
Receipts (“ADRs”) issued thereunder. Filed herewith as Exhibit (a)(1). |
| (a)(2) | Amendment No. 1 to the Deposit Agreement. Amendment No. 1, dated as of March 15,
2021, to the Deposit Agreement, among the Company, the Depositary, and all Holders and Beneficial Owners from time to time of ADRs issued
thereunder, including the Form of ADR attached as Exhibit A thereto. Filed herewith as Exhibit (a)(2). |
| (b) | Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary
Shares registered hereby or the custody of the deposited securities represented thereby. Not Applicable. |
| (c) | Every material contract relating to the deposited securities between the Depositary and the issuer
of the deposited securities in effect at any time within the last three years. Not Applicable. |
| (d) | Opinion of Norton Rose Fulbright US LLP, counsel to the Depositary, as to the legality of the securities
being registered. Filed herewith as Exhibit (d). |
| (e) | Certification under Rule 466. Filed herewith as Exhibit (e). |
| (f) | Power of Attorney of certain officers and directors of the Company. Set forth on the signature
pages hereto. |
Item 4. UNDERTAKINGS
| (a) | The Depositary hereby undertakes to make available at the principal office of the Depositary in the United
States, for inspection by holders of the American Depositary Receipts, any reports and communications received from the issuer of the
deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally
available to the holders of the underlying securities by the issuer. |
| (b) | If the amounts of fees charged are not disclosed in the prospectus, the Depositary undertakes to prepare
a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a
copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an American
Depositary Receipt thirty days before any change in the fee schedule. |
SIGNATURE
Pursuant to the
requirements of the Securities Act of 1933, as amended, JPMorgan Chase Bank, N.A., acting solely on behalf of the legal entity created
by the Deposit Agreement among GlaxoSmithKline plc, JPMorgan Chase Bank, N.A., as depositary, and all Holders and Beneficial Owners from
time to time of American Depositary Receipts (“ADRs”) issued thereunder, certifies that it has reasonable grounds to believe
that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed
on its behalf by the undersigned, thereunto duly authorized, in The City of New York, State of New York, on May 6, 2022.
|
Legal entity created by the Deposit Agreement for the issuance of ADRs evidencing American Depositary Shares |
| By: | JPMORGAN CHASE BANK, N.A., as Depositary |
|
|
By: |
/s/ Timothy E. Green |
|
|
|
Name: Timothy E. Green |
|
|
|
Title: Vice President |
SIGNATURES
Pursuant to the requirements
of the Securities Act of 1933, as amended, GlaxoSmithKline plc certifies that it has reasonable grounds to believe that all the requirements
for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the
undersigned, thereunto duly authorized, in London, United Kingdom, on May 6, 2022.
|
GlaxoSmithKline plc |
|
|
|
|
|
By: |
/s/
Sir Jonathan Symonds |
|
|
Name: Sir Jonathan Symonds |
|
|
Title: Non-Executive Chair |
POWERS OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each
person whose signature appears below constitutes and appoints Emma Walmsley and Iain Mackay, and each of them, his or her true and lawful
attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him or her and in his or her name, place and
stead, in any and all capacities, to sign any or all amendments (including post-effective amendments) to this Registration Statement and
any and all related registration statements pursuant to Rule 462(b) of the Securities Act, and to file the same, with all exhibits
thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all
that said attorneys-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue
hereof.
Under the requirements of the Securities Act,
as amended, this Registration Statement on Form F-6 has been signed by the following persons on May 6, 2022, in the capacities
indicated.
SIGNATURES
Signature |
|
Title |
/s/ Sir Jonathan Symonds |
|
Non-Executive Chair |
Sir Jonathan Symonds |
|
|
|
|
|
|
|
|
/s/ Dame Emma Walmsley |
|
Chief Executive Officer and Director |
Dame Emma Walmsley |
|
(principal executive officer) |
|
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|
|
|
/s/ Iain Mackay |
|
Chief Financial Officer and Director |
Iain Mackay |
|
(principal financial and accounting officer) |
|
|
|
|
|
|
/s/ Dr. Hal Barron |
|
Director |
Dr. Hal Barron |
|
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|
/s/ Manvinder Singh (Vindi) Banga |
|
Director |
Manvinder Singh (Vindi) Banga |
|
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|
/s/ Charles Bancroft |
|
Director |
Charles Bancroft |
|
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|
/s/ Dr. Anne Beal |
|
Director |
Dr. Anne Beal |
|
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/s/ Dame Vivienne Cox |
|
Director |
Dame Vivienne Cox |
|
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|
/s/ Dr. Harry (Hal) C. Dietz |
|
Director |
Dr. Harry (Hal) C. Dietz |
|
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|
/s/ Lynn Elsenhans |
|
Director |
Lynn Elsenhans |
|
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|
/s/ Dr. Laurie Glimcher |
|
Director |
Dr. Laurie Glimcher |
|
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/s/ Dr. Jesse Goodman |
|
Director |
Dr. Jesse Goodman |
|
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/s/ Urs Rohner |
|
Director |
Urs Rohner |
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/s/ Justin Huang |
|
Authorized U.S. Representative of the Company |
Justin Huang |
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INDEX TO EXHIBITS
Exhibit
Number |
|
|
(a)(1) |
|
Second Amended and Restated Deposit Agreement, dated as of July 21, 2019 (as from time to time amended, the "Deposit Agreement"), among GlaxoSmithKline plc (the “Company”), JPMorgan Chase Bank, N.A., as depositary (the "Depositary"), and all Holders and Beneficial Owners from time to time of American Depositary Receipts (“ADRs”) issued thereunder. |
|
|
|
(a)(2) |
|
Amendment No. 1, dated as of March 15, 2021, to the Deposit Agreement, among the Company, the Depositary, and all Holders and Beneficial Owners from time to time of ADRs issued thereunder, including the Form of ADR attached as Exhibit A thereto. |
|
|
|
(d) |
|
Opinion of Norton Rose Fulbright US LLP, counsel to the Depositary, as to the legality of the securities being registered. |
|
|
|
(e) |
|
Rule 466 Certification. |
|
|
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