AstraZeneca PLC — Regulatory Filings 2017

Jul 21, 2017

FORM 6-K

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Report of Foreign Issuer

Pursuant to Rule 13a-16 or 15d-16 of

the Securities Exchange Act of 1934

For the month of July 2017

Commission File Number: 001-11960

AstraZeneca PLC

1 Francis Crick Avenue

Cambridge Biomedical Campus

Cambridge CB2 0AA

United Kingdom

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

Form 20-F X Form 40-F __

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ______

Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.

Yes __ No X

If “Yes” is marked, indicate below the file number assigned to the Registrant in connection with Rule 12g3-2(b): 82-_______

TR-1: Standard form for notification of major holdings

| NOTIFICATION OF MAJOR HOLDINGS (to be sent to
the relevant issuer and to the FCA in Microsoft
Word format if possible) i — 1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached ii : | | AstraZeneca
PLC | | |
| --- | --- | --- | --- | --- |
| 1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if
appropriate) | | | | |
| Non-UK issuer | | | | |
| 2. Reason for the notification (please mark the appropriate
box or boxes with an "X") | | | | |
| An
acquisition or disposal of voting rights | | | | X |
| An
acquisition or disposal of financial instruments | | | | |
| An
event changing the breakdown of voting rights | | | | |
| Other
(please specify) iii : | | | | |
| 3. Details of person subject to the notification
obligation iv | | | | |
| Name | | The Capital Group Companies, Inc. ("CGC") | | |
| City
and country of registered office (if applicable) | | Los
Angeles, CA 90071, USA | | |
| 4. Full name of shareholder(s) (if different from
3.) v | | | | |
| Name | | | | |
| City
and country of registered office (if applicable) | | | | |
| 5. Date on which the threshold was crossed or
reached vi : | | 19 July
2017 | | |
| 6. Date on which issuer notified
(DD/MM/YYYY): | | 20 July
2017 | | |
| 7. Total positions of person(s) subject to the notification
obligation | | | | |
| | % 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 of issuer vii |
| Resulting
situation on the date on which threshold was crossed or
reached | 5.001% | 0.0000% | 5.001% | 1,265,775,103 |
| Position
of previous notification (if applicable) | N/A | N/A | N/A | |

| 8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached viii | | | | | |
| --- | --- | --- | --- | --- | --- |
| A: Voting rights attached to shares | | | | | |
| Class/type ofshares ISIN
code (if possible) | Number of voting rights ix | | % of voting rights | | |
| | Direct (Art 9
of Directive 2004/109/EC) (DTR5.1) | Indirect (Art 10
of Directive 2004/109/EC) (DTR5.2.1) | Direct (Art 9
of Directive 2004/109/EC) (DTR5.1) | | Indirect (Art 10
of Directive 2004/109/EC) (DTR5.2.1) |
| Ordinary (GB0009895292) | | 52,685,225 | | | 4.162% |
| ADRs (US0463531089) | | 10,612,832 | | | 0.838% |
| SUBTOTAL 8. A | 63,298,057 | | 5.001% | | |
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a)) | | | | | |
| Type of financial instrument | Expirationdate x | Exercise/Conversion Period xi | Number of voting rights that may be acquired if the instrument
is exercised/converted. | | % of voting rights |
| N/A | | | | | |
| | | SUBTOTAL 8. B 1 | | | |
| B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b)) | | | | | |
| Type of financial instrument | Expirationdate x | Exercise/Conversion Period xi | Physical or cash settlement xii | Number of voting rights | % of voting rights |
| N/A | | | | | |
| | | | SUBTOTAL 8.B.2 | | |

| 9. Information in relation to the person subject to the
notification obligation (please mark the applicable
box with an "X") | | | |
| --- | --- | --- | --- |
| Person
subject to the notification obligation is not controlled by any
natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer xiii | | | |
| Full
chain of controlled undertakings through which the voting rights
and/or thefinancial instruments are effectively held starting with
the ultimate controlling natural person or legal entity xiv (please add additional rows as
necessary) | | | X |
| Name xv | % 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 Capital Group Companies, Inc. Holdings by CG Management companies are set out
below : | 5.001% | 0.000% | 5.001% |
| ● Capital Guardian Trust Company 1 | | | |
| ● Capital International, Inc. 1 | | | |
| ● Capital International Limited 1 | | | |
| ● Capital International Sàrl 1 | | | |
| ● Capital Research and Management Company 2 | | | |
| 1 Indirect subsidiaries of Capital Research and Management
Company. 2 Subsidiary of The Capital Group Companies,
Inc. | | | |
| 10. In case of proxy voting, please identify: | | | |
| Name of
the proxy holder | | | |
| The
number and % of voting rights held | | | |
| The
date until which the voting rights will be held | | | |
| 11. Additional information xvi | | | |
| CGC is
the parent company of Capital Research and Management Company
("CRMC"). CRMC is a U.S.-based investment management company
that manages the American Funds family of mutual funds. CRMC
manages equity assets for various investment companies through
three divisions, Capital Research Global Investors, Capital
International Investors and Capital World Investors. CRMC in
turn is the parent company of Capital Group International, Inc.
("CGII"), which in turn is the parent company of five investment
management companies ("CGII management companies"): Capital
Guardian Trust Company, Capital International, Inc., Capital
International Limited, Capital International Sàrl and Capital
International K.K. The CGII management companies primarily
serve as investment managers to institutional clients. Neither
CGC nor any of its affiliates own shares of AstraZeneca PLC for its
own account. Rather, the shares reported on this Notification
are owned by accounts under the discretionary investment management
of one or more of the investment management companies described
above. | | | |

| Place of completion | Los
Angeles, CA, USA |
| --- | --- |
| Date of completion | 20 July
2017 |

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

AstraZeneca PLC

| Date:
21 July 2017 |
| --- |
| Name:
Adrian Kemp |
| Title:
Company Secretary |

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