TR-1: Standard form for notification of major holdings
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NOTIFICATION OF MAJOR
HOLDINGS (to be sent to
the relevant issuer and to
the FCA in Microsoft Word format if possible)
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1a. Identity of the issuer or the underlying issuer of existing
shares to which voting rights are attached:
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ASTRAZENECA
PLC
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1b. Please indicate if the
issuer is a non-UK issuer (please mark with an "X" if
appropriate)
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Non-UK
issuer
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2. Reason for the
notification (please mark
the appropriate box or boxes with an "X")
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An
acquisition or disposal of voting rights
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X
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An
acquisition or disposal of financial instruments
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An
event changing the breakdown of voting rights
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Other
(please specify):
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3. Details of person subject to the notification
obligation
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Name
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Wellington
Management Group LLP
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City
and country of registered office (if applicable)
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Boston,
USA
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4. Full name of
shareholder(s) (if
different from 3)
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Name
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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
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City
and country of registered office (if applicable)
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5. Date on which the threshold was crossed or reached:
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01/10/2019
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6. Date on which issuer notified (DD/MM/YYYY):
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03/10/2019
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7. Total positions of person(s) subject to the notification
obligation:
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% of voting rights attached to shares
(total of 8.A)
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% of voting rights through financial instruments
(total of 8.B.1 + 8.B.2)
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Total of both in %
(8.A + 8.B)
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Total number of voting rights of issuer
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Resulting
situation on the date on which threshold was crossed or
reached
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3.42%
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2.47%
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5.89%
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1,311,894,438
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Position
of previous notification (if applicable)
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8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached:
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A: Voting rights attached to shares
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Class/type of
shares ISIN code (if
possible)
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Number of voting rights
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% of voting rights
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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Direct
(Art 9 of Directive 2004/109/EC) (DTR5.1)
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Indirect
(Art 10 of Directive 2004/109/EC) (DTR5.2.1)
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GB0009895292 Ordinary Shares
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44,864,077
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3.42%
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SUBTOTAL 8.A
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44,864,077
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3.42%
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
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Type of financial instrument
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Expiration date
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Exercise/ Conversion Period
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Number of voting rights that may be acquired if the instrument is
exercised/converted
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% of voting rights
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Depository
Receipt
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56,705,376
Depository Receipt shares or 28,352,661 votes on a converted
basis
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2.16%
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Depository
Receipt
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6,875,371
Depository Receipt shares or 3,437,680 votes on a converted
basis
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0.26%
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Equity
Call Option
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15/01/2021
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01/01/1900to15/01/2021
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1,137
Equity Call Option shares or 56,850 votes on a converted
basis
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0.00%
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Equity
Call Option
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15/11/2019
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01/01/1900to15/11/2019
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476
Equity Call Option shares or 23,800 votes on a converted
basis
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0.00%
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SUBTOTAL 8.B.1
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31,870,991
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2.43%
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B 2: Financial Instruments with similar economic effect according
to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1
(b))
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Type of financial instrument
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Expiration date
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Exercise/ Conversion Period
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Physical or cash settlement
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Number of voting rights
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% of voting rights
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Equity
Swap
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31/01/2020
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01/02/2019to31/01/2020
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Cash
|
183,970
Equity Swap shares or 91,985 votes on a converted
basis
|
0.01%
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Equity
Swap
|
29/05/2020
|
04/06/2019to29/05/2020
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Cash
|
140,896
Equity Swap shares or 70,448 votes on a converted
basis
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0.01%
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Equity
Swap
|
31/03/2020
|
01/04/2019to31/03/2020
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Cash
|
128,263
Equity Swap shares or 64,131 votes on a converted
basis
|
0.00%
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Equity
Swap
|
30/04/2020
|
12/04/2019to30/04/2020
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Cash
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69,549
Equity Swap shares or 34,774 votes on a converted
basis
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0.00%
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Equity
Swap
|
30/06/2020
|
02/07/2019to30/06/2020
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Cash
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56,143
Equity Swap shares or 28,071 votes on a converted
basis
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0.00%
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Equity
Swap
|
31/08/2020
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08/08/2019to31/08/2020
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Cash
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42,723
Equity Swap shares or 21,361 votes on a converted
basis
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0.00%
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Equity
Swap
|
15/05/2020
|
09/08/2018to15/05/2020
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Cash
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19,846
Equity Swap shares or 19,846 votes on a converted
basis
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0.00%
|
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Equity
Swap
|
20/05/2020
|
08/10/2018to20/05/2020
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Cash
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17,989
Equity Swap shares or 17,989 votes on a converted
basis
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0.00%
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Equity
Swap
|
15/05/2020
|
20/02/2019to15/05/2020
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Cash
|
35,896
Equity Swap shares or 17,948 votes on a converted
basis
|
0.00%
|
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Equity
Swap
|
30/04/2020
|
15/04/2019to30/04/2020
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Cash
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30,612
Equity Swap shares or 15,306 votes on a converted
basis
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0.00%
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Equity
Swap
|
30/04/2020
|
08/04/2019to30/04/2020
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Cash
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29,511
Equity Swap shares or 14,755 votes on a converted
basis
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0.00%
|
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Equity
Swap
|
15/05/2020
|
02/03/2018to15/05/2020
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Cash
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11,419
Equity Swap shares or 11,419 votes on a converted
basis
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0.00%
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Equity
Swap
|
20/05/2020
|
05/10/2018to20/05/2020
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Cash
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11,206
Equity Swap shares or 11,206 votes on a converted
basis
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0.00%
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Index
Future
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01/10/2019
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01/01/1900to01/10/2019
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Cash
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2,089
Index Future shares or 10,879 votes on a converted
basis
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0.00%
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Equity
Swap
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15/05/2020
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10/10/2017to15/05/2020
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Cash
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8,928
Equity Swap shares or 8,928 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
|
08/01/2019to20/05/2020
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Cash
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8,741
Equity Swap shares or 8,741 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
|
25/01/2019to20/05/2020
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Cash
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7,546
Equity Swap shares or 7,546 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
|
23/08/2019to20/05/2020
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Cash
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7,195
Equity Swap shares or 7,195 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
15/05/2020
|
09/02/2018to15/05/2020
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Cash
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6,300
Equity Swap shares or 6,300 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
20/05/2020
|
15/07/2019to20/05/2020
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Cash
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6,212
Equity Swap shares or 6,212 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
20/05/2020
|
06/07/2018to20/05/2020
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Cash
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4,635
Equity Swap shares or 4,635 votes on a converted basis
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0.00%
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Equity
Swap
|
05/05/2020
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31/07/2019to05/05/2020
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Cash
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7,671
Equity Swap shares or 3,835 votes on a converted basis
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0.00%
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Equity
Swap
|
15/05/2020
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02/02/2018to15/05/2020
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Cash
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3,782
Equity Swap shares or 3,782 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
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03/07/2018to20/05/2020
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Cash
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3,496
Equity Swap shares or 3,496 votes on a converted basis
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0.00%
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Equity
Swap
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20/05/2020
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05/04/2018to20/05/2020
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Cash
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2,982
Equity Swap shares or 2,982 votes on a converted basis
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0.00%
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||
Equity
Swap
|
15/05/2020
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02/07/2018to15/05/2020
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Cash
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2,827
Equity Swap shares or 2,827 votes on a converted basis
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0.00%
|
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Equity
Swap
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15/05/2020
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23/10/2017to15/05/2020
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Cash
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2,779
Equity Swap shares or 2,779 votes on a converted basis
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0.00%
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Equity
Swap
|
05/05/2020
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20/08/2019to05/05/2020
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Cash
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5,393
Equity Swap shares or 2,696 votes on a converted basis
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0.00%
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Equity
Swap
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15/05/2020
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16/07/2018to15/05/2020
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Cash
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2,608
Equity Swap shares or 2,608 votes on a converted basis
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0.00%
|
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Equity
Swap
|
20/05/2020
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13/07/2018to20/05/2020
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Cash
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2,503
Equity Swap shares or 2,503 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
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08/10/2018to20/05/2020
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Cash
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2,309
Equity Swap shares or 2,309 votes on a converted basis
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0.00%
|
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Equity
Swap
|
20/05/2020
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23/07/2018to20/05/2020
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Cash
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2,158
Equity Swap shares or 2,158 votes on a converted basis
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0.00%
|
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Exchange
Traded Fund
|
01/10/2019
|
01/10/2019
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Cash
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378,510
Exchange Traded Fund shares or 1,948 votes on a converted
basis
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0.00%
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Equity
Swap
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15/05/2020
|
11/06/2018to15/05/2020
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Cash
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1,367
Equity Swap shares or 1,367 votes on a converted basis
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0.00%
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Equity
Swap
|
20/05/2020
|
06/04/2018to20/05/2020
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Cash
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1,267
Equity Swap shares or 1,267 votes on a converted basis
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0.00%
|
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Equity
Swap
|
20/05/2020
|
14/09/2018to20/05/2020
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Cash
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1,132
Equity Swap shares or 1,132 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
20/05/2020
|
03/08/2018to20/05/2020
|
Cash
|
1,034
Equity Swap shares or 1,034 votes on a converted basis
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0.00%
|
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Equity
Swap
|
05/05/2020
|
12/08/2019to05/05/2020
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Cash
|
1,926
Equity Swap shares or 963 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
15/05/2020
|
14/06/2019to15/05/2020
|
Cash
|
1,593
Equity Swap shares or 796 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
20/05/2020
|
19/03/2018to20/05/2020
|
Cash
|
773
Equity Swap shares or 773 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
15/05/2020
|
16/05/2019to15/05/2020
|
Cash
|
1,290
Equity Swap shares or 645 votes on a converted basis
|
0.00%
|
||
Equity
Swap
|
15/05/2020
|
27/07/2018to15/05/2020
|
Cash
|
600
Equity Swap shares or 600 votes on a converted basis
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0.00%
|
||
Index
Future
|
01/10/2019
|
01/01/1900to01/10/2019
|
Cash
|
96
Index Future shares or 501 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
05/05/2020
|
15/08/2019to05/05/2020
|
Cash
|
841
Equity Swap shares or 420 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
05/05/2020
|
13/08/2019to05/05/2020
|
Cash
|
834
Equity Swap shares or 417 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
05/05/2020
|
02/08/2019to05/05/2020
|
Cash
|
818
Equity Swap shares or 409 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
15/05/2020
|
26/07/2019to15/05/2020
|
Cash
|
647
Equity Swap shares or 323 votes on a converted basis
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0.00%
|
||
Equity
Swap
|
20/05/2020
|
25/06/2018to20/05/2020
|
Cash
|
314
Equity Swap shares or 314 votes on a converted basis
|
0.00%
|
||
Equity
Swap
|
20/05/2020
|
21/05/2018to20/05/2020
|
Cash
|
200
Equity Swap shares or 200 votes on a converted basis
|
0.00%
|
||
Equity
Swap
|
15/05/2020
|
08/11/2018to15/05/2020
|
Cash
|
172
Equity Swap shares or 172 votes on a converted basis
|
0.00%
|
||
Equity
Swap
|
20/05/2020
|
03/10/2019to20/05/2020
|
Cash
|
162
Equity Swap shares or 162 votes on a converted basis
|
0.00%
|
||
Equity
Swap
|
05/05/2020
|
13/09/2019to05/05/2020
|
Cash
|
66
Equity Swap shares or 66 votes on a converted basis
|
0.00%
|
||
|
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|
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|
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SUBTOTAL 8.B.2
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525,159
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0.04%
|
||
|
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9. Information in relation to
the person subject to the notification
obligation (please mark
the applicable box with an "X")
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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.
|
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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
|
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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
|
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|
5.89%
|
|||
Wellington Group Holdings LLP
|
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|
5.89%
|
|||
Wellington Investment Advisors Holdings LLP
|
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|
5.89%
|
|||
Wellington Management Company LLP
|
|
|
5.88%
|
|||
|
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|
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Wellington Management Group LLP
|
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|
5.89%
|
|||
Wellington Group Holdings LLP
|
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|
5.89%
|
|||
Wellington Investment Advisors Holdings LLP
|
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|
5.89%
|
|||
Wellington Management Global Holdings, Ltd.
|
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|
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Wellington Management International Ltd
|
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|
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|
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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
|
|
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|
||||||
11. Additional information:
|
|
|||||
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|
|||||
|
||||||
Place of completion
|
London
|
|||||
Date of completion
|
02/10/2019
|
|||||
|
|
|
|
|
|
|
|
AstraZeneca
PLC
|
|
By: /s/
Adrian Kemp
|
|
Name:
Adrian Kemp
|
|
Title:
Company Secretary
|