F-6 1 f-6.htm FORM F-6
As filed with the Securities and Exchange Commission on January 22, 2020
Registration No. 333-      





UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
FORM F-6
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 FOR
AMERICAN DEPOSITARY SHARES EVIDENCED BY AMERICAN DEPOSITARY RECEIPTS
ASTRAZENECA PLC
(Exact name of issuer of deposited securities as specified in its charter)
Not Applicable
(Translation of issuer’s name into English)
England and Wales
(Jurisdiction of incorporation or organization of issuer)
Deutsche Bank Trust Company Americas
(Exact name of depositary as specified in its charter)

60 Wall Street
New York, New York 10005
(212) 250-9100
(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)
CT Corporation System
28 Liberty Street
New York, NY 10005
Tel: +1-212-894-8940
(Address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Leo Borchardt, Esq.
Davis Polk & Wardwell London LLP
5 Aldermanbury Square
London EC2V 7HR
England
+44-20-7418-1300
 
Francis Fitzherbert-Brockholes, Esq.
White & Case LLP
5 Old Broad Street
London EC2N 1DW
United Kingdom
+(44) 20 7532-1400
It is proposed that this filing become effective under Rule 466:
□ immediately upon filing.
□ on (Date) at (Time).
 
If a separate registration statement has been filed to register the deposited shares, check the following box :  ⌧
CALCULATION OF REGISTRATION FEE
Title of each class
of Securities to be registered
Amount to be
registered
Proposed
maximum aggregate price
per unit (1)
Proposed
maximum aggregate
offering price (2)
Amount of
registration fee (3)
American Depositary Shares,
each representing 0.5 ordinary
shares of AstraZeneca PLC
1,000,000,000
American Depositary
Shares
$0.05
$50,000,000
$6,490
1
For the purpose of this table only the term "unit" is defined as one American Depositary Share.
2
Estimated solely for the purpose of calculating the registration fee.  Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary Shares.
  
The registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the registration statement shall become effective on such date as the United States Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

This registration statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.
 
PART I
 
INFORMATION REQUIRED IN PROSPECTUS
 
The prospectus consists of the proposed form of American Depositary Receipt (“Receipt”) included as Exhibits A and B to the form of Deposit Agreement filed as Exhibit (a) to this registration statement and is incorporated herein by reference.
 
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED
 
Required Information
 
Location in Form of Receipt Filed Herewith as
Prospectus
 
 
 
 
 
1. 
Name of depositary and address of its principal executive office
 
Face of Receipt – introductory paragraph
 
 
 
 
 
 
2.     
Title of Receipts and identity of deposited securities
 
Face of Receipt – top center
 
 
 
 
 
Terms of Deposit:
 
 
 
 
 
 
 
 
(i) 
The amount of deposited securities represented by one American Depositary Share (“ADS”)
 
Face of Receipt – upper right corner
 
 
 
 
 
 
 
(ii) 
The procedure for voting the deposited securities
 
Reverse of Receipt – Articles 14 and 15
 
 
 
 
 
 
(iii) 
The procedure for collecting and distributing dividends
 
Reverse of Receipt – Articles 13 and 14
 
 
 
 
 
 
(iv) 
The procedures for transmitting notices, reports and proxy soliciting material
 
Face of Receipt – Article 12;
Reverse of Receipt – Articles 14 and 15
 
 
 
 
 
 
(v) 
The sale or exercise of rights
 
Reverse of Receipt – Articles 13 and 14
 
 
 
 
 
 
(vi) 
The deposit or sale of securities resulting from dividends, splits or plans of reorganization
 
Face of Receipt – Articles 3, 6 and 9;
Reverse of Receipt – Articles 13 and 16
 
 
 
 
 
 
(vii) 
Amendment, extension or termination of the deposit arrangements
 
Reverse of Receipt – Articles 20 and 21 (no provision for extension)
 
 
 
 
 
 
(viii) 
The rights of holders of Receipts to inspect the books of the depositary and the list of holders of Receipts
 
Face of Receipt – Article 12
 
 
 
 
 
 
(ix) 
Restrictions upon the right to transfer or withdraw the underlying securities
 
Face of Receipt – Articles 2, 3, 4, 6, 8, 9 and 10;
Reverse of Receipt – Article 22
 
 
 
 
 
 
(x)    
Limitation on the depositary’s liability
 
Face of Receipt – Articles 6 and 10;
Reverse of Receipt – Articles 15, 16, 17 and 18
 
 
 
 
 
3.     
Fees and charges that a holder of Receipts may have to pay, either directly or indirectly
 
Face of Receipt – Article 9
       
 
Item 2. AVAILABLE INFORMATION


AstraZeneca PLC (the “Company”) is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and furnishes certain reports to, the United States Securities and Exchange Commission (the “Commission”).  These reports can be retrieved from the Commission’s internet website (www.sec.gov) and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.
 
 
PART II
 
INFORMATION NOT REQUIRED IN PROSPECTUS
 
Item 3. EXHIBITS
 
 
(a)
Form of Deposit Agreement, by and among the Company, Deutsche Bank Trust Company Americas, as depositary (the “Depositary”), and all holders and beneficial owners from time to time of ADSs issued thereunder (“Deposit Agreement”).  — Filed herewith as Exhibit (a).
 
 
(b)
Any other agreement to which the Depositary is a party relating to the issuance of the ADSs registered hereunder or the custody of the deposited securities represented thereby. — Not applicable.
 
 
(c)
Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. — Not applicable.
 
 
(d)
Opinion of White & Case LLP, counsel to the Depositary, as to the legality of the securities to be registered. — Filed herewith as Exhibit (d).
 
 
(e)
Certification under Rule 466. — Not applicable.
 
 
(f)
Powers of attorney for certain officers and directors of the Company. — Set forth on the signature pages hereto.
 
 
Item 4. UNDERTAKINGS
 
 
(a)
The Depositary hereby undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of the ADR, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities; and (2) made generally available to the holders of the underlying securities by the issuer.
 
 
(b)
If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request.  The Depositary undertakes to notify each registered holder of an ADR thirty (30) days before any change in the fee schedule.
 

SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this registration statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on January 22, 2020.
 
 
Legal entity created by the form of Deposit Agreement for the issuance of Receipts for ordinary shares, par value US$0.25 per share of AstraZeneca PLC.
 
Deutsche Bank Trust Company Americas, as Depositary
 
 
 
 
 
 
 
 
 
By: 
  /s/ Kelvyn Correa
 
 
 
Name: 
  Kelvyn Correa
 
   
Title:
  Director  
 
 
 
 
 
 
 
  
 
By: 
  /s/ Michael Curran
  
 
 
Name: 
  Michael Curran
  
   
Title:
  Vice President
  
 
 
 
  
 
Pursuant to the requirements of the Securities Act of 1933, as amended, AstraZeneca PLC certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this registration statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in London, England, on January 22, 2020.

 
 
AstraZeneca PLC
 
 
 
 
 
 
 
 
 
 
 
  
 
By: 
/s/ Pascal Soriot
  
 
 
Name: 
Pascal Soriot
  
   
Title:
Chief Executive Officer
  
 
 
 
  

POWER OF ATTORNEY
 
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Adrian Kemp, Matthew Bowden, Alistair Collins and Jonathan Slade, his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any or all amendments (including post-effective amendments) to this registration statement and any and all related registration statements pursuant to Rule 462(b) of the Securities Act and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
 
Under the requirements of the Securities Act, this registration statement has been signed by the following persons on January 22, 2020, in the capacities indicated.

Signature
Title
 
 
/s/ Pascal Soriot
Executive Director and Chief Executive Officer
(Principal Executive Officer)
Pascal Soriot
 
/s/ Marc Dunoyer
Executive Director and Chief Financial Officer
(Principal Financial Officer)
Marc Dunoyer
 
/s/ Joanne Wilson
VP, Group Financial Controller
(Principal Accounting Officer)
Joanne Wilson
 
 
 
/s/ Leif Johansson
Non-Executive Chairman of the Board
Leif Johansson
 
 
 
/s/ Graham Chipchase
Senior Independent Non-Executive Director
Graham Chipchase
 
 
 
/s/ Geneviève Berger
Non-Executive Director
Geneviève Berger
 
 
 
/s/ Philip Broadley
Non-Executive Director
Philip Broadley
 
 
 
/s/ Michel Demaré
Non-Executive Director
Michel Demaré
 
   
/s/ Deborah DiSanzo
Non-Executive Director
Deborah DiSanzo
 

 
 
/s/ Sheri McCoy
Non-Executive Director
Sheri McCoy
 
 
 
/s/ Tony Mok
Non-Executive Director
Tony Mok
 
   
/s/ Nazneen Rahman
Non-Executive Director
Nazneen Rahman
 
   
/s/ Marcus Wallenberg
Non-Executive Director
Marcus Wallenberg
 
SIGNATURE OF AUTHORIZED REPRESENTATIVE IN THE UNITED STATES

Pursuant to the Securities Act of 1933, as amended, the undersigned, the duly authorized representative in the United States of AstraZeneca PLC, has signed this registration statement in Wilmington, Delaware, United States of America on January 22, 2020.

 
 


 
By:
/s/ Mariam Koohdary
   
Name:
Mariam Koohdary
   
Title:
Duly authorized Representative of
AstraZeneca PLC in the United States



Index to Exhibits
 
Exhibit
Document
(a)
Form of Deposit Agreement
(d)
Opinion of White & Case LLP, counsel to the Depositary