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.
Holing(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 Group 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)
3.42%
2.47%
5.89%
 
 
 
 
 
 
 
 
 
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
 
38,958,807
 
2.97%
 
 
 
 
 
SUBTOTAL 8.A
38,958,807
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%
Exchange Traded Fund
15/06/2020
15/06/2020
Cash settlement
339,942 Exchange Traded Fund shares or 1,727 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
441,046
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 Group LLP
 
 
 
Wellington Group Holdings LLP
 
 
 
Wellington Investment Advisors Holdings LLP
 
 
 
Wellington Management Company LLP
 
 
 
 
 
 
 
Wellington Management Group LLP
 
 
 
Wellington Group Holdings LLP
 
 
 
Wellington Investment Advisors Holdings LLP
 
 
 
Wellington Management Global Holdings, Ltd.
 
 
 
Wellington Management International Ltd
 
 
 
 
 
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