AstraZeneca PLC — Foreign Filer Report 2021

Nov 15, 2021

6-K 1 a4338s.htm DIRECTOR/PDMR SHAREHOLDING Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2021 Issuer Direct Corporation a4338s

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 November 2021

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. Director/PDMR Shareholding

15 November 2021 16:00 GMT

Transaction by Person Discharging Managerial Responsibilities

AstraZeneca PLC (the Company) announced that on 12 November 2021 an award of AstraZeneca American Depositary Shares (ADSs) vested to Dr Aradhana Sarin, Chief Financial Officer. Each ADS represents one half of an Ordinary Share of $0.25 in the Company.

In accordance with the Agreement and Plan of Merger, the award was granted under the AstraZeneca Global Restricted Stock Plan at the time of closing of the acquisition of Alexion Pharmaceuticals, Inc. (Alexion) by the Company. It replaced Restricted Stock Units held by Dr Sarin under the Alexion 2017 Incentive Plan, granted in November 2017. The replacement award vested on the completion of the original four-year holding period.

Following the withholding of shares to satisfy certain tax obligations arising on vesting, 5,108 ADSs vested.

For tax purposes, the fair market value of an ADS at vest of the award was US$62.92, being the closing price on the last trading day preceding the vesting.

Further details are set out in the attached notification, made in accordance with the requirements of the EU Market Abuse Regulation (as it forms part of UK law pursuant to the European Union (Withdrawal) Act 2018.

| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Aradhana Sarin | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Chief Financial Officer | |
| b) | Initial notification /Amendment | Initial notification | |
| 3 | Details of the issuer, emission allowance market participant,
auction platform, auctioneer or auction monitor | | |
| a) | Name | AstraZeneca PLC | |
| b) | LEI | PY6ZZQWO2IZFZC3IOL08 | |
| 4i | Details of the transaction(s): section to be repeated for (i) each
type of instrument; (ii) each type of transaction; (iii) each date;
and (iv) each place where transactions have been
conducted | | |
| a) | Description of the financial instrument, type of
instrument Identification code | AstraZeneca PLC American Depositary Shares CUSIP: 046353108 | |
| b) | Nature of the transaction | Acquisition of AstraZeneca PLC American Depository Shares pursuant
to a vesting under the Global Restricted Stock Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | 0 | 5,108 |
| d) | Aggregated information - Aggregated volume - Price | Not applicable - single transaction | |
| e) | Date of the transaction | 12 November 2021 | |
| f) | Place of the transaction | Outside a trading venue | |

AstraZeneca

AstraZeneca (LSE/STO/Nasdaq: AZN) is a global, science-led biopharmaceutical company that focuses on the discovery, development, and commercialisation of prescription medicines in Oncology, Rare Diseases, and BioPharmaceuticals, including Cardiovascular, Renal & Metabolism, and Respiratory & Immunology. Based in Cambridge, UK, AstraZeneca operates in over 100 countries and its innovative medicines are used by millions of patients worldwide. Please visit astrazeneca.com and follow the Company on Twitter @AstraZeneca .

Contacts

For details on how to contact the Investor Relations Team, please click here . For Media contacts, click here .

Adrian Kemp

Company Secretary

AstraZeneca PLC

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: 15 November 2021

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

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