AstraZeneca PLC — Major Shareholding Notification 2019

Apr 4, 2019

6-K 1 a1694v.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2019 Issuer Direct Corporation Blueprint

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 ( April 2019 )

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-_______

AstraZeneca PLC

INDEX TO EXHIBITS

1.

Holding(s) in Company

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 | | | | |
| An
acquisition or disposal of financial instruments | | | | |
| An
event changing the breakdown of voting rights | | | | |
| Other
(please specify) iii : A change in the
total voting rights notified by AstraZeneca PLC on 2 April
2019. | | | | X |
| 3. Details of person subject to the notification
obligation iv | | | | |
| Name | | Investor
AB | | |
| City
and country of registered office (if applicable) | | Stockholm,
Sweden | | |
| 4. Full name of shareholder(s) (if different from
3.) v | | | | |
| Name | | N/A | | |
| City
and country of registered office (if applicable) | | N/A | | |
| 5. Date on which the threshold was crossed or
reached vi : | | 2 April
2019 | | |
| 6. Date on which issuer notified
(DD/MM/YYYY): | | 3 April
2019 | | |
| 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 | 3.93% | N/A | 3.93% | 1,311,755,099 |
| Position
of previous notification (if applicable) | 4.02% | N/A | 4.02% | |

| 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
shares of $0.25 each ISIN -
GB0009895292 | 51,587,810 | N/A | 3.93% | | N/A |
| SUBTOTAL 8. A | 51,587,810 | | 3.93% | | |
| 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 |
| | | SUBTOTAL 8. B 1 | N/A | | N/A |
| 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 |
| | | | SUBTOTAL 8.B.2 | N/A | N/A |

| 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 | | | X |
| --- | --- | --- | --- |
| 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) | | | |
| 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 |
| 10. In case
of proxy voting, please identify: | | | |
| Name of
the proxy holder | | N/A | |
| The
number and % of voting rights held | | N/A | |
| The
date until which the voting rights will be held | | N/A | |
| 11. Additional information xvi | | | |
| This
notification has been prepared using the total voting rights figure
of 1,311,755,099 ordinary shares as set out in the public
announcement made by AstraZeneca PLC on 2 April 2019. | | | |

| Place of completion | Stockholm,
Sweden |
| --- | --- |
| Date of completion | 3 April
2019 |

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: 4 April
2019 |
| --- |
| Name:
Adrian Kemp |
| Title:
Company Secretary |

page break