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1.
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NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GlaxoSmithKline plc |
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions) (a) ☐ (b) ☐ |
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS (see instructions)
WC |
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5.
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
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6.
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CITIZENSHIP OR PLACE OF ORGANIZATION
England and Wales |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7.
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SOLE VOTING POWER
32,005,260 shares of Common Stock (See Items 5(a) and 5(b)) |
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8.
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SHARED VOTING POWER
-0- |
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9.
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SOLE DISPOSITIVE POWER
32,005,260 shares of Common Stock (See Items 5(a) and 5(b)) |
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10.
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SHARED DISPOSITIVE POWER
-0- |
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11.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
32,005,260 shares of Common Stock (See Item 5(a)) (1) |
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12.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions) ☐ |
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13.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.3% of the shares of Common Stock (See Item 5(a)) (2) |
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14.
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TYPE OF REPORTING PERSON (see instructions)
CO |
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Footnotes:
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(1) Shares of Common Stock are held of record by Glaxo Group Limited, an indirect wholly owned subsidiary of GlaxoSmithKline plc.
(2) Ownership percentage is based on 109,201,168 shares of Common Stock outstanding as of the Issuer's close of business on February 24, 2017, as disclosed in the Issuer's Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on March 22, 2017.
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(a)
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GlaxoSmithKline plc beneficially owns 32,005,260 shares of Common Stock, which represents 29.3% of total outstanding shares of Common Stock based on the 109,201,168 shares of Common Stock outstanding as of the Issuer's close of business on February 24, 2017, as disclosed in the Issuer's Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on March 22, 2017.
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(b)
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GlaxoSmithKline plc has the sole power to vote or direct the vote, and the sole power to dispose or to direct the disposition of all 32,005,260 shares of Common Stock described in Item 5(a).
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(c)
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No transactions in shares of Common Stock were effected during the past 60 days by GlaxoSmithKline plc.
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(d)
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No person, other than GlaxoSmithKline plc, is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, the shares of Common Stock beneficially owned by GlaxoSmithKline plc.
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(e)
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Not applicable.
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By:
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/s/ Victoria A. Whyte
Victoria A. Whyte Authorized Signatory |
Name
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Business Address
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Principal Occupation or Employment
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Citizenship
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Board of Directors
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Emma Walmsley
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Executive Officer
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British
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Professor Sir Roy Anderson
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director & Scientific Expert
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British
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Manvinder Singh Banga
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Independent Non-Executive Director
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Indian
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Dr. Patrick Vallance
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and President, R&D
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British
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Simon Dingemans
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Financial Officer
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British
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Lynn Elsenhans
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director
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US
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Dr. Jesse Goodman
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director & Scientific Expert
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US
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Sir Philip Hampton
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Non-Executive Chairman
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British
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Judy Lewent
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director
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US
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Urs Rohner
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director
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Swiss
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Dr. Vivienne Cox
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Independent Non-Executive Director
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British
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Corporate Executive Team
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Emma Walmsley
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Executive Officer
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British
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Roger Connor
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Manufacturing & Supply
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Irish
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Simon Dingemans
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Financial Officer
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British
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Nick Hirons
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980 Great West Road
Brentford
Middlesex
TW8 9GS
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Senior Vice President, Global Ethics and Compliance
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British & US
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Abbas Hussain
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Pharmaceuticals
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British
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David Redfern
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chief Strategy Officer
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British
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Luc Debruyne
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Vaccines
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Belgian
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Claire Thomas
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Vice President,
Human Resources
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British
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Philip Thomson
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Affairs
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British
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Daniel Troy
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The Navy Yard
5 Crescent Drive
Philadelphia, PA
19112
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Senior Vice President & General Counsel
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US
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Dr. Patrick Vallance
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director & President, R&D
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British
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Brian McNamara
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chief Executive Officer, GSK Consumer Healthcare
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US
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