AstraZeneca PLC — Regulatory Filings 2020

Jul 21, 2020

6-K 1 a5526t.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2020 Issuer Direct Corporation a5526t

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 2020

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)
1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached:		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				X
An
event changing the breakdown of voting rights
Other
(please specify):
3. Details of person subject to the notification
obligation
Name		Wellington
Management Group LLP
City
and country of registered office (if applicable)		Boston,
USA
4. Full name of
shareholder(s) (if
different from 3)
Name		Bank
of New York (Nominees) Ltd BBH
ISL NOMINEES LTD BNY
(OCS) Nominees Limited BNY
Mellon Nominees Limited GOLDMAN
SACHS INTERNATIONAL HSBC
Global Custody Nominee (UK) Limited Japan
Trustee Services Bank Ltd. JP
Morgan Chase Nominees Limited Mellon
Nominees (UK) Ltd. Nortrust
Nominees Limited ROY
Nominees Limited State
Street Nominees Limited VIDACOS
NOMINEES LIMITED
City
and country of registered office (if applicable)
5. Date on which the threshold was crossed or reached:		17/07/2020
6. Date on which issuer notified (DD/MM/YYYY):		20/07/2020
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
Resulting
situation on the date on which threshold was crossed or
reached	2.97%	2.04%	5.01%	1,312,271,081
Position
of previous notification (if applicable)	2.97%	2.02%	4.99%

| 8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached: | | | | | |
| --- | --- | --- | --- | --- | --- |
| A: Voting rights attached to shares | | | | | |
| Class/type of
shares ISIN code (if
possible) | Number of voting rights | | | % 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) |
| GB0009895292 Ordinary Shares | | 38,933,605 | | | 2.97% |
| SUBTOTAL 8.A | 38,933,605 | | | 2.97% | |
| B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a)) | | | | | |
| 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 |
| Depository
Receipt | | | 52,737,621
Depository Receipt shares or 26,368,773 votes on a converted
basis | | 2.01% |
| | | SUBTOTAL 8.B.1 | 26,368,773 | | 2.01% |
| 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 | Expiration date | Exercise/ Conversion Period | Physical or cash settlement | Number of voting rights | % of voting rights |
| Equity
Swap | 29/01/2021 | 03/02/2020to29/01/2021 | Cash
settlement | 183,970
Equity Swap shares or 91,985 votes on a converted
basis | 0.01% |
| Equity
Swap | 31/12/2020 | 05/12/2019to31/12/2020 | Cash
settlement | 140,896
Equity Swap shares or 70,448 votes on a converted
basis | 0.01% |
| Equity
Swap | 30/04/2021 | 04/05/2020to30/04/2021 | Cash
settlement | 57,837
Equity Swap shares or 28,918 votes on a converted
basis | 0.00% |
| Equity
Swap | 30/06/2021 | 02/07/2020to30/06/2021 | Cash
settlement | 56,143
Equity Swap shares or 28,071 votes on a converted
basis | 0.00% |
| Equity
Swap | 31/03/2021 | 02/04/2020to31/03/2021 | Cash
settlement | 55,558
Equity Swap shares or 27,779 votes on a converted
basis | 0.00% |
| Equity
Swap | 31/08/2020 | 08/08/2019to31/08/2020 | Cash
settlement | 42,723
Equity Swap shares or 21,361 votes on a converted
basis | 0.00% |
| Equity
Swap | 15/05/2023 | 09/08/2018to15/05/2023 | Cash
settlement | 19,846
Equity Swap shares or 19,846 votes on a converted
basis | 0.00% |
| Equity
Swap | 15/05/2023 | 20/02/2019to15/05/2023 | Cash
settlement | 35,896
Equity Swap shares or 17,948 votes on a converted
basis | 0.00% |
| Equity
Swap | 15/05/2023 | 02/03/2018to15/05/2023 | Cash
settlement | 11,419
Equity Swap shares or 11,419 votes on a converted
basis | 0.00% |
| Equity
Swap | 15/05/2023 | 10/10/2017to15/05/2023 | Cash
settlement | 8,928
Equity Swap shares or 8,928 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 08/10/2018to22/05/2023 | Cash
settlement | 7,796
Equity Swap shares or 7,796 votes on a converted basis | 0.00% |
| Index
Future | 19/07/2020 | 01/01/1900to19/07/2020 | Cash
settlement | 1,379
Index Future shares or 7,108 votes on a converted
basis | 0.00% |
| Equity
Swap | 22/05/2023 | 05/10/2018to22/05/2023 | Cash
settlement | 6,487
Equity Swap shares or 6,487 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 09/02/2018to15/05/2023 | Cash
settlement | 6,300
Equity Swap shares or 6,300 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 15/07/2019to22/05/2023 | Cash
settlement | 6,212
Equity Swap shares or 6,212 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 15/06/2020to22/05/2023 | Cash
settlement | 5,919
Equity Swap shares or 5,919 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 23/08/2019to22/05/2023 | Cash
settlement | 4,413
Equity Swap shares or 4,413 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 03/06/2020to05/05/2023 | Cash
settlement | 3,967
Equity Swap shares or 3,967 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 02/02/2018to15/05/2023 | Cash
settlement | 3,782
Equity Swap shares or 3,782 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 03/07/2018to22/05/2023 | Cash
settlement | 3,496
Equity Swap shares or 3,496 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 06/01/2020to22/05/2023 | Cash
settlement | 3,382
Equity Swap shares or 3,382 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 08/01/2019to22/05/2023 | Cash
settlement | 3,207
Equity Swap shares or 3,207 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 05/04/2018to22/05/2023 | Cash
settlement | 2,982
Equity Swap shares or 2,982 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 02/07/2018to15/05/2023 | Cash
settlement | 2,827
Equity Swap shares or 2,827 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 23/10/2017to15/05/2023 | Cash
settlement | 2,779
Equity Swap shares or 2,779 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 20/08/2019to05/05/2023 | Cash
settlement | 5,393
Equity Swap shares or 2,696 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 02/06/2020to22/05/2023 | Cash
settlement | 4,154
Equity Swap shares or 2,077 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 28/05/2020to15/05/2023 | Cash
settlement | 3,963
Equity Swap shares or 1,981 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 10/07/2020to22/05/2023 | Cash
settlement | 1,830
Equity Swap shares or 1,830 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 16/07/2018to15/05/2023 | Cash
settlement | 1,776
Equity Swap shares or 1,776 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 14/04/2020to22/05/2023 | Cash
settlement | 3,326
Equity Swap shares or 1,663 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 05/06/2020to22/05/2023 | Cash
settlement | 1,570
Equity Swap shares or 1,570 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 26/06/2020to15/05/2023 | Cash
settlement | 2,796
Equity Swap shares or 1,398 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 11/06/2018to15/05/2023 | Cash
settlement | 1,367
Equity Swap shares or 1,367 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 31/07/2019to05/05/2023 | Cash
settlement | 2,654
Equity Swap shares or 1,327 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 12/08/2019to05/05/2023 | Cash
settlement | 1,926
Equity Swap shares or 963 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 08/06/2020to22/05/2023 | Cash
settlement | 1,841
Equity Swap shares or 920 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 08/10/2019to15/05/2023 | Cash
settlement | 1,721
Equity Swap shares or 860 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 20/01/2020to22/05/2023 | Cash
settlement | 829
Equity Swap shares or 829 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 14/06/2019to15/05/2023 | Cash
settlement | 1,593
Equity Swap shares or 796 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 06/07/2020to22/05/2023 | Cash
settlement | 1,587
Equity Swap shares or 793 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 14/07/2020to05/05/2023 | Cash
settlement | 1,504
Equity Swap shares or 752 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 01/11/2019to22/05/2023 | Cash
settlement | 1,308
Equity Swap shares or 654 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 13/05/2020to22/05/2023 | Cash
settlement | 1,308
Equity Swap shares or 654 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 16/05/2019to15/05/2023 | Cash
settlement | 1,290
Equity Swap shares or 645 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 27/07/2018to15/05/2023 | Cash
settlement | 600
Equity Swap shares or 600 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 29/06/2020to15/05/2023 | Cash
settlement | 1,128
Equity Swap shares or 564 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 31/03/2020to15/05/2023 | Cash
settlement | 1,052
Equity Swap shares or 526 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 03/02/2020to05/05/2023 | Cash
settlement | 1,037
Equity Swap shares or 518 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 06/01/2020to22/05/2023 | Cash
settlement | 516
Equity Swap shares or 516 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 08/10/2018to22/05/2023 | Cash
settlement | 486
Equity Swap shares or 486 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 15/08/2019to05/05/2023 | Cash
settlement | 841
Equity Swap shares or 420 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 13/08/2019to05/05/2023 | Cash
settlement | 834
Equity Swap shares or 417 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 02/08/2019to05/05/2023 | Cash
settlement | 818
Equity Swap shares or 409 votes on a converted basis | 0.00% |
| Equity
Swap | 15/05/2023 | 26/07/2019to15/05/2023 | Cash
settlement | 647
Equity Swap shares or 323 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 03/10/2019to22/05/2023 | Cash
settlement | 162
Equity Swap shares or 162 votes on a converted basis | 0.00% |
| Equity
Swap | 22/05/2023 | 21/04/2020to22/05/2023 | Cash
settlement | 131
Equity Swap shares or 131 votes on a converted basis | 0.00% |
| Equity
Swap | 05/05/2023 | 13/09/2019to05/05/2023 | Cash
settlement | 40
Equity Swap shares or 40 votes on a converted basis | 0.00% |
| | | | SUBTOTAL 8.B.2 | 428,023 | 0.03% |

| 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. | | | |
| 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 entity (please add additional rows as
necessary) | | | X |
| Name | % 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 |
| Wellington Management Group LLP | | | 5.01% |
| Wellington Group Holdings LLP | | | 5.01% |
| Wellington Investment Advisors Holdings LLP | | | 5.01% |
| Wellington Management Company LLP | | | 5.01% |
| Wellington Management Group LLP | | | 5.01% |
| Wellington Group Holdings LLP | | | 5.01% |
| Wellington Investment Advisors Holdings LLP | | | 5.01% |
| Wellington Management Global Holdings, Ltd. | | | |
| Wellington Management International Ltd | | | |
| 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: | | | |
| Place of completion | London | | |
| Date of completion | 20/07/2020 | | |

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 2020

| By: /s/
Adrian Kemp |
| --- |
| Name:
Adrian Kemp |
| Title:
Company Secretary |

page break