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6-K Filing
GSK (GSK) 6-KHolding(s) In Company
Filed: 31 Aug 23, 12:20pm
GB00BN7SWP63 |
GSK PLC |
UK |
An acquisition or disposal of voting rights; An acquisition or disposal of financial instruments |
The Goldman Sachs Group, Inc. |
Wilmington, Delaware |
USA |
28-Aug-2023 |
30-Aug-2023 |
.. | % of voting rights attached to shares (total of 8.A) | % of voting rights through financial instruments (total of 8.B 1 + 8.B 2) | Total of both in % (8.A + 8.B) | Total number of voting rights held in issuer |
Resulting situation on the date on which threshold was crossed or reached | 0.200188 | 1.245935 | 1.446123 | 59218837 |
Position of previous notification (if applicable) | 0.196168 | 6.279741 | 6.475909 |
Class/Type of shares ISIN code(if possible) | Number of direct voting rights (DTR5.1) | Number of indirect voting rights (DTR5.2.1) | % of direct voting rights (DTR5.1) | % of indirect voting rights (DTR5.2.1) |
GB00BN7SWP63 | 4154252 | 0.101447 | ||
US37733W2044 | 4043456 | 0.098741 | ||
Sub Total 8.A | 8197708 | 0.200188% |
Type of financial instrument | Expiration date | Exercise/conversion period | Number of voting rights that may be acquired if the instrument is exercised/converted | % of voting rights |
Securities Lending | Open | 335953 | 0.008204 | |
Call Option | 19-Jan-2024 | 971900 | 0.023734 | |
Sub Total 8.B1 | 1307853 | 0.031938% |
Type of financial instrument | Expiration date | Exercise/conversion period | Physical or cash settlement | Number of voting rights | % of voting rights |
Future | 15-Sep-2023 | Cash | 21136262 | 0.516147 | |
Future | 15-Dec-2023 | Cash | 14899402 | 0.363843 | |
Future | 20-Dec-2024 | Cash | 7091644 | 0.173178 | |
Call Option | 15-Dec-2023 | Cash | 2118886 | 0.051743 | |
Future | 18-Dec-2026 | Cash | 1240310 | 0.030288 | |
Future | 17-Dec-2027 | Cash | 958707 | 0.023412 | |
Swap | 15-Dec-2023 | Cash | 533475 | 0.013027 | |
Put Option | 15-Dec-2023 | Cash | 418124 | 0.010211 | |
Put Option | 20-Dec-2024 | Cash | 110107 | 0.002689 | |
Call Option | 20-Dec-2024 | Cash | 99861 | 0.002439 | |
Put Option | 15-Sep-2023 | Cash | 84361 | 0.002060 | |
Forward | 15-Sep-2023 | Cash | 75531 | 0.001844 | |
Future | 19-Dec-2025 | Cash | 64277 | 0.001570 | |
Call Option | 19-Dec-2025 | Cash | 62225 | 0.001520 | |
Put Option | 21-Jun-2024 | Cash | 54339 | 0.001327 | |
Swap | 15-Sep-2023 | Cash | 46463 | 0.001135 | |
Forward | 31-Aug-2023 | Cash | 43678 | 0.001067 | |
Put Option | 15-Mar-2024 | Cash | 42961 | 0.001049 | |
Call Option | 15-Dec-2028 | Cash | 38280 | 0.000935 | |
Swap | 19-Apr-2027 | Cash | 35930 | 0.000877 | |
Call Warrant | 31-Dec-2030 | Cash | 29442 | 0.000719 | |
Swap | 27-Jul-2033 | Cash | 28579 | 0.000698 | |
Put Option | 09-May-2024 | Cash | 27828 | 0.000680 | |
Forward | 30-Aug-2023 | Cash | 27474 | 0.000671 | |
Put Option | 19-Dec-2025 | Cash | 24864 | 0.000607 | |
Call Option | 09-May-2024 | Cash | 23912 | 0.000584 | |
Call Option | 15-Sep-2023 | Cash | 23422 | 0.000572 | |
Put Option | 23-Jan-2026 | Cash | 22345 | 0.000546 | |
Call Option | 20-Dec-2030 | Cash | 21242 | 0.000519 | |
Call Option | 17-Jan-2025 | Cash | 19916 | 0.000486 | |
Call Option | 20-Oct-2023 | Cash | 16621 | 0.000406 | |
Put Option | 16-Jun-2028 | Cash | 16456 | 0.000402 | |
Call Option | 21-Jun-2024 | Cash | 16343 | 0.000399 | |
Put Option | 17-Nov-2025 | Cash | 15891 | 0.000388 | |
Put Option | 15-Dec-2028 | Cash | 15012 | 0.000367 | |
Call Option | 08-Sep-2023 | Cash | 13606 | 0.000332 | |
Put Option | 18-Jun-2027 | Cash | 11546 | 0.000282 | |
Swap | 15-Jul-2025 | Cash | 11187 | 0.000273 | |
Call Option | 21-Feb-2025 | Cash | 11145 | 0.000272 | |
Swap | 09-Nov-2023 | Cash | 10849 | 0.000265 | |
Put Option | 02-Dec-2024 | Cash | 10048 | 0.000245 | |
Put Option | 03-Feb-2027 | Cash | 9751 | 0.000238 | |
Swap | 17-Aug-2033 | Cash | 9130 | 0.000223 | |
Swap | 03-Aug-2026 | Cash | 6972 | 0.000170 | |
Call Option | 22-May-2028 | Cash | 6811 | 0.000166 | |
Swap | 18-Aug-2025 | Cash | 6470 | 0.000158 | |
Forward | 05-Sep-2023 | Cash | 6055 | 0.000148 | |
Forward | 01-Sep-2023 | Cash | 6034 | 0.000147 | |
Put Option | 19-Sep-2025 | Cash | 5916 | 0.000144 | |
Call Option | 20-Jul-2026 | Cash | 5595 | 0.000137 | |
Call Option | 22-May-2026 | Cash | 5314 | 0.000130 | |
Call Option | 01-Apr-2026 | Cash | 5010 | 0.000122 | |
Put Option | 20-Dec-2030 | Cash | 4931 | 0.000120 | |
Call Option | 17-Dec-2032 | Cash | 4604 | 0.000112 | |
Call Option | 10-Sep-2026 | Cash | 4547 | 0.000111 | |
Call Option | 13-Oct-2023 | Cash | 4267 | 0.000104 | |
Call Option | 22-Feb-2027 | Cash | 4245 | 0.000104 | |
Call Option | 18-Dec-2026 | Cash | 4238 | 0.000103 | |
Forward | 29-Aug-2023 | Cash | 4119 | 0.000101 | |
Put Option | 14-Jul-2027 | Cash | 2800 | 0.000068 | |
Call Option | 26-Oct-2026 | Cash | 2794 | 0.000068 | |
Call Option | 30-Apr-2029 | Cash | 2554 | 0.000062 | |
Put Option | 25-Jun-2026 | Cash | 2379 | 0.000058 | |
Put Option | 13-Jan-2028 | Cash | 2351 | 0.000057 | |
Call Option | 08-Apr-2024 | Cash | 2312 | 0.000056 | |
Put Option | 06-Jun-2024 | Cash | 2051 | 0.000050 | |
Call Option | 19-Sep-2025 | Cash | 1995 | 0.000049 | |
Swap | 22-Aug-2033 | Cash | 1991 | 0.000049 | |
Call Option | 28-Mar-2025 | Cash | 1920 | 0.000047 | |
Put Option | 17-Sep-2027 | Cash | 1872 | 0.000046 | |
Put Option | 19-Mar-2027 | Cash | 1865 | 0.000046 | |
Call Option | 28-Jun-2028 | Cash | 1850 | 0.000045 | |
Put Option | 17-Dec-2027 | Cash | 1849 | 0.000045 | |
Put Option | 13-Jan-2027 | Cash | 1666 | 0.000041 | |
Call Option | 15-Mar-2024 | Cash | 1559 | 0.000038 | |
Put Option | 18-Sep-2026 | Cash | 1547 | 0.000038 | |
Put Option | 19-Jun-2026 | Cash | 1537 | 0.000038 | |
Put Option | 18-Dec-2026 | Cash | 1534 | 0.000037 | |
Put Option | 20-Mar-2026 | Cash | 1523 | 0.000037 | |
Call Option | 12-May-2025 | Cash | 1469 | 0.000036 | |
Put Option | 20-Jun-2025 | Cash | 1454 | 0.000035 | |
Put Option | 20-Sep-2024 | Cash | 1414 | 0.000035 | |
Put Option | 21-Mar-2025 | Cash | 1364 | 0.000033 | |
Call Option | 08-Apr-2025 | Cash | 1230 | 0.000030 | |
Call Option | 06-Jun-2024 | Cash | 1184 | 0.000029 | |
Call Option | 10-Jan-2029 | Cash | 1141 | 0.000028 | |
Call Option | 30-Jun-2028 | Cash | 1036 | 0.000025 | |
Call Option | 12-Jul-2024 | Cash | 987 | 0.000024 | |
Call Option | 02-Nov-2027 | Cash | 951 | 0.000023 | |
Call Option | 31-Jul-2028 | Cash | 777 | 0.000019 | |
Call Option | 29-Sep-2023 | Cash | 726 | 0.000018 | |
Call Option | 22-Sep-2023 | Cash | 601 | 0.000015 | |
Swap | 24-Nov-2023 | Cash | 574 | 0.000014 | |
Future | 19-Dec-2024 | Cash | 528 | 0.000013 | |
Call Option | 02-Nov-2028 | Cash | 393 | 0.000010 | |
Call Option | 20-Apr-2028 | Cash | 275 | 0.000007 | |
Swap | 28-Aug-2025 | Cash | 243 | 0.000006 | |
Call Option | 10-Jan-2028 | Cash | 203 | 0.000005 | |
Call Option | 11-Mar-2027 | Cash | 126 | 0.000003 | |
Put Option | 16-Feb-2024 | Cash | 72 | 0.000002 | |
Future | 14-Dec-2023 | Cash | 19 | 0.000000 | |
Sub Total 8.B2 | 49713276 | 1.213997% |
2. Full chain of controlled undertakings through which the voting rights and/or the financial instruments are effectively held starting with the ultimate controlling natural person or legal entities (please add additional rows as necessary) |
Ultimate controlling person | Name of controlled undertaking | % of voting rights if it equals or is higher than the notifiable threshold | % of voting rights through financial instruments if it equals or is higher than the notifiable threshold | Total of both if it equals or is higher than the notifiable threshold |
The Goldman Sachs Group, Inc. (Chain 1) | ||||
The Goldman Sachs Group, Inc. (Chain 1) | Goldman Sachs (UK) L.L.C. | |||
The Goldman Sachs Group, Inc. (Chain 1) | Goldman Sachs Group UK Limited | |||
The Goldman Sachs Group, Inc. (Chain 1) | Goldman Sachs International | |||
The Goldman Sachs Group, Inc. (Chain 2) | ||||
The Goldman Sachs Group, Inc. (Chain 2) | GSAM Holdings LLC | |||
The Goldman Sachs Group, Inc. (Chain 2) | Goldman Sachs Asset Management Holdings LLC | |||
The Goldman Sachs Group, Inc. (Chain 2) | Goldman Sachs Asset Management UK Holdings I Ltd | |||
The Goldman Sachs Group, Inc. (Chain 2) | Goldman Sachs Asset Management UK Holdings II Ltd | |||
The Goldman Sachs Group, Inc. (Chain 2) | Goldman Sachs Asset Management Holdings I B.V. / Goldman Sachs Asset Management Holdings II B.V. | |||
The Goldman Sachs Group, Inc. (Chain 2) | Goldman Sachs Asset Management Holdings B.V. | |||
The Goldman Sachs Group, Inc. (Chain 3) | ||||
The Goldman Sachs Group, Inc. (Chain 3) | Goldman Sachs Bank USA | |||
The Goldman Sachs Group, Inc. (Chain 3) | Goldman Sachs Bank Europe SE | |||
The Goldman Sachs Group, Inc. (Chain 4) | ||||
The Goldman Sachs Group, Inc. (Chain 4) | Goldman Sachs & Co. LLC | |||
The Goldman Sachs Group, Inc. (Chain 5) | ||||
The Goldman Sachs Group, Inc. (Chain 5) | GSAM Holdings LLC | |||
The Goldman Sachs Group, Inc. (Chain 5) | Goldman Sachs Asset Management, L.P. | |||
The Goldman Sachs Group, Inc. (Chain 6) | ||||
The Goldman Sachs Group, Inc. (Chain 6) | IMD Holdings LLC | |||
The Goldman Sachs Group, Inc. (Chain 6) | United Capital Financial Partners, Inc. | |||
The Goldman Sachs Group, Inc. (Chain 6) | United Capital Financial Advisers, LLC | |||
The Goldman Sachs Group, Inc. (Chain 7) | ||||
The Goldman Sachs Group, Inc. (Chain 7) | Goldman Sachs (UK) L.L.C. | |||
The Goldman Sachs Group, Inc. (Chain 7) | Goldman Sachs Group UK Limited | |||
The Goldman Sachs Group, Inc. (Chain 7) | Goldman Sachs International Bank | |||
The Goldman Sachs Group, Inc. (Chain 8) | ||||
The Goldman Sachs Group, Inc. (Chain 8) | The Goldman Sachs Group, Inc. | |||
The Goldman Sachs Group, Inc. (Chain 8) | The Goldman Sachs Trust Company, National Association | |||
The Goldman Sachs Group, Inc. (Chain 8) | The Goldman Sachs Trust Company of Delaware | |||
The Goldman Sachs Group, Inc. (Chain 9) | ||||
The Goldman Sachs Group, Inc. (Chain 9) | Goldman Sachs Financial Markets L.L.C. | |||
The Goldman Sachs Group, Inc. (Chain 9) | Goldman Sachs Financial Markets, L.P. | |||
The Goldman Sachs Group, Inc. (Chain 10) | ||||
The Goldman Sachs Group, Inc. (Chain 10) | Murray Street Corporation | |||
The Goldman Sachs Group, Inc. (Chain 10) | Benson Street Limited | |||
The Goldman Sachs Group, Inc. (Chain 11) | ||||
The Goldman Sachs Group, Inc. (Chain 11) | Folio Financial, Inc. | |||
The Goldman Sachs Group, Inc. (Chain 11) | Folio Investments Inc. |
Please note, positions previously reportable are now exempt under the market making exemption as they are below the 10% limit. |
Please note, the total amount of voting rights has been rounded to 6 decimal places therefore there is a possibility of a rounding error. |
General email contact: |
gs-regops-emea-position-enquiries@gs.com |
30-Aug-2023 |
London |
GSK plc | |
(Registrant) | |
Date: August 31, 2023 | |
By:/s/ VICTORIA WHYTE -------------------------- | |
Victoria Whyte | |
Authorised Signatory for and on | |
behalf of GSK plc |