AI assistant
AstraZeneca PLC — Major Shareholding Notification 2020
Jun 17, 2020
5229_ffr_2020-06-17_2901629e-3ada-405b-86c3-e49f9df06157.zip
Major Shareholding Notification
Open in viewerOpens in your device viewer
6-K 1 a2553q.htm HOLDING(S) IN COMPANY Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2020 Issuer Direct Corporation a2553q
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 June 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 Company 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: | 15/06/2020 | |||||
| 6. Date on which issuer notified (DD/MM/YYYY): | 16/06/2020 | |||||
| 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% | 2.02% | 4.99% | 1,312,261,399 | ||
| Position | ||||||
| of previous notification (if applicable) | 3.41% | 2.47% | 5.88% | |||
| 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 | 38,956,326 | 2.97% | ||||
| SUBTOTAL 8.A | 38,956,326 | 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 | 52,220,512 | |||||
| Depository Receipt shares or 26,110,218 votes on a converted | ||||||
| basis | 1.99% | |||||
| SUBTOTAL 8.B.1 | 26,110,218 | 1.99% | ||||
| 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 | 30/06/2020 | 02/07/2019to30/06/2020 | 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 | 22/05/2023 | 08/10/2018to22/05/2023 | Cash | |||
| settlement | 14,962 | |||||
| Equity Swap shares or 14,962 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 | 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 | 25/01/2019to22/05/2023 | Cash | |||
| settlement | 5,859 | |||||
| Equity Swap shares or 5,859 votes on a converted basis | 0.00% | |||||
| Equity | ||||||
| Swap | 22/05/2023 | 05/06/2020to22/05/2023 | Cash | |||
| settlement | 4,870 | |||||
| Equity Swap shares or 4,870 votes on a converted basis | 0.00% | |||||
| Index | ||||||
| Future | 15/06/2020 | 01/01/1900to15/06/2020 | Cash | |||
| settlement | 856 | |||||
| Index Future shares or 4,432 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 | 05/05/2023 | 31/07/2019to05/05/2023 | Cash | |||
| settlement | 4,718 | |||||
| Equity Swap shares or 2,359 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 | 22/05/2023 | 08/10/2018to22/05/2023 | Cash | |||
| settlement | 2,017 | |||||
| Equity Swap shares or 2,017 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 | 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 | 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 | 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 | 13/05/2020to22/05/2023 | Cash | |||
| settlement | 1,308 | |||||
| Equity Swap shares or 654 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 | 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 | 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 | 05/05/2023 | 07/01/2020to05/05/2023 | Cash | |||
| settlement | 421 | |||||
| Equity Swap shares or 421 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 | 439,319 | 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 Company LLP | | | |
| 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 | 16/06/2020 | | |
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: 17 June 2020
| By: /s/
Adrian Kemp |
| --- |
| Name:
Adrian Kemp |
| Title:
Company Secretary |
page break