AstraZeneca PLC — Foreign Filer Report 2021

Feb 16, 2021

6-K 1 a1466p.htm DIRECTOR/PDMR SHAREHOLDING Document created using Blueprint(R) - powered by Issuer Direct - www.issuerdirect.com Copyright 2021 Issuer Direct Corporation a1466p

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 February 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 February 2021 15:00 GMT

Transactions by Persons Discharging Managerial Responsibilities

AstraZeneca PLC (the Company) announced that, on 11 February 2021, awards of the Company's ordinary shares of $0.25 each (Ordinary Shares) vested to certain Persons Discharging Managerial Responsibilities of the Company (PDMRs) under the AstraZeneca Investment Plan (AZIP).

The AZIP awards were granted in 2013 and were subject to a four-year performance period followed by a four-year holding period before vesting. The majority of Mr Soriot's 2013 AZIP award was granted in order to compensate him for a loss of remuneration opportunity at his previous employer. Application of the performance measures specified at the time of grant resulted in 100% of the AZIP award vesting.

Following the reinvestment of dividends accrued during the performance and holding periods and the withholding of shares to satisfy certain tax obligations arising on vesting, the PDMRs' beneficial interests in Ordinary Shares changed as detailed in the table below:

PDMR	Ordinary Shares acquired under the AZIP
Pascal
Soriot	107,715
Marc
Dunoyer	6,289

For tax purposes, the fair market value of an Ordinary Share at vest was 7247 pence, being the closing price on the last trading day preceding the vesting.

Further details are set out in the attached notifications, made in accordance with the requirements of the EU and UK Market Abuse Regulations.

| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Pascal
Soriot | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Chief
Executive 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 | Ordinary Shares of US$0.25 each in AstraZeneca PLC GB0009895292 | |
| b) | Nature of the transaction | Acquisition
of ordinary shares pursuant to a vesting under the AstraZeneca
Investment Plan, for nil consideration. | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | 0 | 107,715 |
| d) | Aggregated information - Aggregated volume - Price | Not applicable - single transaction | |
| e) | Date of the transaction | 11
February 2021 | |
| f) | Place of the transaction | Outside
a trading venue | |

| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Marc
Dunoyer | |
| --- | --- | --- | --- |
| 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 | Ordinary Shares of US$0.25 each in AstraZeneca PLC GB0009895292 | |
| b) | Nature of the transaction | Acquisition
of ordinary shares pursuant to a vesting under the AstraZeneca
Investment Plan, for nil consideration. | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | 0 | 6,289 |
| d) | Aggregated information - Aggregated volume - Price | Not applicable - single transaction | |
| e) | Date of the transaction | 11
February 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, primarily for the treatment of diseases in three therapy areas - Oncology, 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 February 2021

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

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