As filed with the Securities and Exchange Commission on December 11, 2017 | Registration No. 333 - |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM F-6
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY
AMERICAN DEPOSITARY RECEIPTS
BRITISH AMERICAN TOBACCO P.L.C.
(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)
CITIBANK, N.A.
(Exact name of depositary as specified in its charter)
388 Greenwich Street
New York, New York 10013
(877) 248-4237
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
Puglisi & Associates
850 Library Avenue
Suite 204
Newark, DE 19711
(302) 738-6680
Attention: Service of Process Department
(Address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Philip A. Gelston, Esq. Cravath, Swaine & Moore LLP Worldwide Plaza 825 Eighth Avenue New York, New York 10019 (212) 474-1000 | Herman H. Raspé, Esq. Patterson Belknap Webb & Tyler LLP |
It is proposed that this filing become effective under Rule 466: | ☒ | immediately upon filing. |
| ☐ | on (Date) at (Time). |
If a separate registration statement has been filed to register the deposited shares, check the following box: ☐
CALCULATION OF REGISTRATION FEE
Title of Each Class of Securities to be Registered | Amount to be Registered | Proposed Maximum Aggregate Price Per Unit* | ProposedMaximum Aggregate Offering Price** | Amount of Registration Fee |
American Depositary Shares (ADS(s)), each ADS representing the right to receive one (1) ordinary share of British American Tobacco p.l.c. | 200,000,000 ADSs | $5.00 | $10,000,000.00 | $1,245.00 |
| * | Each unit represents 100 ADSs. |
** | 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 ADSs. |
This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.
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PART I
INFORMATION REQUIRED IN PROSPECTUS
Cross Reference Sheet
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED
Item Number and Caption | Location in Form of American Depositary Receipt (“Receipt”) | |||
| 1. | Name of Depositary and address of its principal executive office | Face of Receipt - Introductory Article. | ||
| 2. | Title of Receipts and identity of deposited securities | Face of Receipt - Top Center. | ||
| Terms of Deposit: | ||||
| (i) | The amount of deposited securities represented by one American Depositary Share ("ADSs") | Face of Receipt - Upper right corner. | ||
| (ii) | The procedure for voting, if any, the deposited securities | Reverse of Receipt - Paragraphs (16) and (17). | ||
| (iii) | The collection and distribution of dividends | Reverse of Receipt - Paragraph (14). | ||
| (iv) | The transmission of notices, reports and proxy soliciting material | Face of Receipt - Paragraph (13); Reverse of Receipt - Paragraph (16). | ||
| (v) | The sale or exercise of rights | Reverse of Receipt– Paragraphs (14) and (16). | ||
| (vi) | The deposit or sale of securities resulting from dividends, splits or plans of reorganization | Face of Receipt - Paragraphs (3) and (6); Reverse of Receipt - Paragraphs (14) and (18). | ||
| (vii) | Amendment, extension or termination of the deposit agreement | Reverse of Receipt - Paragraphs (22) and (23) (no provision for extensions). | ||
| (viii) | Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs | Face of Receipt - Paragraph (13). | ||
| (ix) | Restrictions upon the right to deposit or withdraw the underlying securities | Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10). | ||
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| Item Number and Caption | Location in Form of American Depositary Receipt (“Receipt”) | |||
| (x) | Limitation upon the liability of the Depositary | Face of Receipt - Paragraph (7); Reverse of Receipt - Paragraphs (19) and (20). | ||
| 3. | Fees and charges which may be imposed directly or indirectly on holders of ADSs | Face of Receipt - Paragraph (10). | ||
| Item 2. AVAILABLE INFORMATION | Face of Receipt - Paragraph (13). | |||
British American Tobacco p.l.c. (the “Company”) is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”). These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.
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PROSPECTUS
The Prospectus consists of the American Depositary Receipt included as Exhibit A to Amendment No. 2 to Amended and Restated Deposit Agreement filed as Exhibit (a)(i) to this Registration Statement on Form F-6 and is incorporated herein by reference.
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PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 3. EXHIBITS
(a)(i) Amendment No. 2 to Amended and Restated Deposit Agreement, dated as of June 14, 2017, by and among British American Tobacco p.l.c. (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued under the terms of the Amended and Restated Deposit Agreement, dated as of December 1, 2008, and as amended as of February 14, 2017.___ Filed herewith as Exhibit (a)(i).
(a)(ii) Amendment No. 1 to Amended and Restated Deposit Agreement, dated as of February 14, 2017, by and among the Company, the Depositary, and all Holders and Beneficial Owners of American Depositary Shares issued under the terms of the Amended and Restated Deposit Agreement, dated as of December 1, 2008.___ Previously filed (Registration Statement on Form F-6, Reg. No. 333-217967 filed on May 12, 2017).
(a)(iii) Amended and Restated Deposit Agreement, dated as of December 1, 2008, by and among the Company, the Depositary, and all Holders and Beneficial Owners of American Depositary Shares issued thereunder.___ Previously filed (Post-Effective Amendment No. 1 to Registration Statement on Form F-6, Reg. No. 333-155563 filed on January 13, 2017).
(b) Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby.___ None.
(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.___ None.
(d) Opinion of counsel for the Depositary as to the legality of the securities to be registered.___ Filed herewith as Exhibit (d).
(e) Certificate under Rule 466.___ Filed herewith as Exhibit (e).
(f) Powers of Attorney for certain officers and directors and the authorized representative of the Company.___ Set forth on the signature pages hereto.
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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 ADSs, 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 ADS thirty (30) days before any change in the fee schedule. |
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity created by the Amended and Restated Deposit Agreement, dated as of December 1, 2008, as previously amended by Amendment No. 1 to Amended and Restated Deposit Agreement, dated as of February 14, 2017 and further amended by Amendment No. 2 to Amended and Restated Deposit Agreement, dated as of June 14, 2017, by and among British American Tobacco p.l.c., Citibank, N.A., as depositary, and all Holders and Beneficial Owners from time to time of American Depositary Shares outstanding 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 December 11, 2017.
Legal entity created by the Amended and Restated Deposit Agreement (as amended) under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing the right to receive one (1) ordinary share, nominal value 25 Pence per share, of British American Tobacco p.l.c.
CITIBANK, N.A., solely in its capacity as Depositary | ||
| By: | /s/ Thomas Crane | |
Name: Thomas Crane Title: Vice President | ||
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, British American Tobacco p.l.c. 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, England, on December 11, 2017.
| BRITISH AMERICAN TOBACCO P.L.C. | ||
| By: | /s/ John Benedict Stevens | |
Name: John Benedict Stevens Title: Executive Director – Finance Director | ||
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POWERS OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Richard Burrows, Nicandro Durante, John Benedict Stevens, Paul McCrory and Bridget Creegan to act as his/her true and lawful attorney-in-fact and agent, with full power of substitution, for him/her and in his/her name, place and stead, in any and all such capacities, to sign any and all amendments, including post-effective amendments, and supplements to this Registration Statement, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as s/he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his/her substitute or substitutes, may lawfully do or cause to be done by virtue hereof. This appointment shall be valid for the duration of the American depositary receipts program to which this Registration Statement relates.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form F-6 has been signed by the following persons in the following capacities on December 11, 2017.
| Signature | Title | |
/s/ Richard Burrows | Chairman | |
| Name: Richard Burrows | ||
/s/ Nicandro Durante | Executive Director - Chief Executive | |
| Name: Nicandro Durante | (Principal Executive Officer) | |
/s/ John Benedict Stevens | Executive Director - Finance Director | |
| Name: John Benedict Stevens | (Principal Financial and Accounting Officer) | |
/s/ Kieran Poynter | Senior Independent Director | |
| Name: Kieran Poynter |
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| Signature | Title | |
/s/ Susan Farr | Non-Executive Director | |
| Name: Susan Farr | ||
/s/ Ann Godbehere | Non-Executive Director | |
| Name: Ann Godbehere | ||
/s/ Dr. Marion Helmes | Non-Executive Director | |
| Name: Dr. Marion Helmes | ||
/s/ Luc Jobin | Non-Executive Director | |
| Name: Luc Jobin | ||
/s/ Savio Kwan | Non-Executive Director | |
| Name: Savio Kwan | ||
/s/ Holly Keller Koeppel | Non-Executive Director | |
| Name: Holly Keller Koeppel | ||
/s/ Dr. Pedro Malan | Non-Executive Director | |
| Name: Dr. Pedro Malan | ||
Non-Executive Director | ||
| Name: Lionel L. Nowell, III | ||
/s/ Dimitri Panayotopoulos | Non-Executive Director | |
| Name: Dimitri Panayotopoulos | ||
AUTHORIZED REPRESENTATIVE |
| ||
| By: | /s/ Greg Lavelle | Authorized Representative in the United States | |
| Name: Greg Lavelle | |||
| Managing Director | |||
| Puglisi & Associates | |||
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Index to Exhibits
| Exhibit | Document | Sequentially Numbered Page |
| (a)(i) | Amendment No. 2 to Amended and Restated Deposit Agreement | |
| (d) | Opinion of counsel for the Depositary | |
| (e) | Certificate under Rule 466 | |