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 October 2019
 
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.
Holding(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
 
An event changing the breakdown of voting rights
 
Other (please specify):
 
3. Details of person subject to the notification obligation
Name
Wellington Management Company 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:
01/10/2019
6. Date on which issuer notified (DD/MM/YYYY):
03/10/2019
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
3.41%
2.47%
5.88%
1,311,894,438
Position of previous notification (if applicable)
 
 
 
 
 
 
 
 
 
 
 
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
 
44,759,495
 
3.41%
 
 
 
 
 
SUBTOTAL 8.A
44,759,495
3.41%
 
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
 
 
56,705,376 Depository Receipt shares or 28,352,661 votes on a converted basis
2.16%
Depository Receipt
 
 
6,875,371 Depository Receipt shares or 3,437,680 votes on a converted basis
0.26%
Equity Call Option
15/01/2021
01/01/1900to15/01/2021
1,137 Equity Call Option shares or 56,850 votes on a converted basis
0.00%
Equity Call Option
15/11/2019
01/01/1900to15/11/2019
476 Equity Call Option shares or 23,800 votes on a converted basis
0.00%
 
 
 
 
 
 
SUBTOTAL 8.B.1
31,870,991
2.43%
 
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
31/01/2020
01/02/2019to31/01/2020
Cash
183,970 Equity Swap shares or 91,985 votes on a converted basis
0.01%
Equity Swap
29/05/2020
04/06/2019to29/05/2020
Cash
140,896 Equity Swap shares or 70,448 votes on a converted basis
0.01%
Equity Swap
31/03/2020
01/04/2019to31/03/2020
Cash
128,263 Equity Swap shares or 64,131 votes on a converted basis
0.00%
Equity Swap
30/04/2020
12/04/2019to30/04/2020
Cash
69,549 Equity Swap shares or 34,774 votes on a converted basis
0.00%
Equity Swap
30/06/2020
02/07/2019to30/06/2020
Cash
56,143 Equity Swap shares or 28,071 votes on a converted basis
0.00%
Equity Swap
31/08/2020
08/08/2019to31/08/2020
Cash
42,723 Equity Swap shares or 21,361 votes on a converted basis
0.00%
Equity Swap
15/05/2020
09/08/2018to15/05/2020
Cash
19,846 Equity Swap shares or 19,846 votes on a converted basis
0.00%
Equity Swap
20/05/2020
08/10/2018to20/05/2020
Cash
17,989 Equity Swap shares or 17,989 votes on a converted basis
0.00%
Equity Swap
15/05/2020
20/02/2019to15/05/2020
Cash
35,896 Equity Swap shares or 17,948 votes on a converted basis
0.00%
Equity Swap
30/04/2020
15/04/2019to30/04/2020
Cash
30,612 Equity Swap shares or 15,306 votes on a converted basis
0.00%
Equity Swap
30/04/2020
08/04/2019to30/04/2020
Cash
29,511 Equity Swap shares or 14,755 votes on a converted basis
0.00%
Equity Swap
15/05/2020
02/03/2018to15/05/2020
Cash
11,419 Equity Swap shares or 11,419 votes on a converted basis
0.00%
Equity Swap
20/05/2020
05/10/2018to20/05/2020
Cash
11,206 Equity Swap shares or 11,206 votes on a converted basis
0.00%
Index Future
01/10/2019
01/01/1900to01/10/2019
Cash
2,089 Index Future shares or 10,879 votes on a converted basis
0.00%
Equity Swap
15/05/2020
10/10/2017to15/05/2020
Cash
8,928 Equity Swap shares or 8,928 votes on a converted basis
0.00%
Equity Swap
20/05/2020
08/01/2019to20/05/2020
Cash
8,741 Equity Swap shares or 8,741 votes on a converted basis
0.00%
Equity Swap
20/05/2020
25/01/2019to20/05/2020
Cash
7,546 Equity Swap shares or 7,546 votes on a converted basis
0.00%
Equity Swap
20/05/2020
23/08/2019to20/05/2020
Cash
7,195 Equity Swap shares or 7,195 votes on a converted basis
0.00%
Equity Swap
15/05/2020
09/02/2018to15/05/2020
Cash
6,300 Equity Swap shares or 6,300 votes on a converted basis
0.00%
Equity Swap
20/05/2020
15/07/2019to20/05/2020
Cash
6,212 Equity Swap shares or 6,212 votes on a converted basis
0.00%
Equity Swap
20/05/2020
06/07/2018to20/05/2020
Cash
4,635 Equity Swap shares or 4,635 votes on a converted basis
0.00%
Equity Swap
05/05/2020
31/07/2019to05/05/2020
Cash
7,671 Equity Swap shares or 3,835 votes on a converted basis
0.00%
Equity Swap
15/05/2020
02/02/2018to15/05/2020
Cash
3,782 Equity Swap shares or 3,782 votes on a converted basis
0.00%
Equity Swap
20/05/2020
03/07/2018to20/05/2020
Cash
3,496 Equity Swap shares or 3,496 votes on a converted basis
0.00%
Equity Swap
20/05/2020
05/04/2018to20/05/2020
Cash
2,982 Equity Swap shares or 2,982 votes on a converted basis
0.00%
Equity Swap
15/05/2020
02/07/2018to15/05/2020
Cash
2,827 Equity Swap shares or 2,827 votes on a converted basis
0.00%
Equity Swap
15/05/2020
23/10/2017to15/05/2020
Cash
2,779 Equity Swap shares or 2,779 votes on a converted basis
0.00%
Equity Swap
05/05/2020
20/08/2019to05/05/2020
Cash
5,393 Equity Swap shares or 2,696 votes on a converted basis
0.00%
Equity Swap
15/05/2020
16/07/2018to15/05/2020
Cash
2,608 Equity Swap shares or 2,608 votes on a converted basis
0.00%
Equity Swap
20/05/2020
13/07/2018to20/05/2020
Cash
2,503 Equity Swap shares or 2,503 votes on a converted basis
0.00%
Equity Swap
20/05/2020
08/10/2018to20/05/2020
Cash
2,309 Equity Swap shares or 2,309 votes on a converted basis
0.00%
Equity Swap
20/05/2020
23/07/2018to20/05/2020
Cash
2,158 Equity Swap shares or 2,158 votes on a converted basis
0.00%
Equity Swap
15/05/2020
11/06/2018to15/05/2020
Cash
1,367 Equity Swap shares or 1,367 votes on a converted basis
0.00%
Equity Swap
20/05/2020
06/04/2018to20/05/2020
Cash
1,267 Equity Swap shares or 1,267 votes on a converted basis
0.00%
Equity Swap
20/05/2020
14/09/2018to20/05/2020
Cash
1,132 Equity Swap shares or 1,132 votes on a converted basis
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
0.00%
Equity Swap
05/05/2020
12/08/2019to05/05/2020
Cash
1,926 Equity Swap shares or 963 votes on a converted basis
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
0.00%
Equity Swap
20/05/2020
19/03/2018to20/05/2020
Cash
773 Equity Swap shares or 773 votes on a converted basis
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
0.00%
Index Future
01/10/2019
01/01/1900to01/10/2019
Cash
96 Index Future shares or 501 votes on a converted basis
0.00%
Equity Swap
05/05/2020
15/08/2019to05/05/2020
Cash
841 Equity Swap shares or 420 votes on a converted basis
0.00%
Equity Swap
05/05/2020
13/08/2019to05/05/2020
Cash
834 Equity Swap shares or 417 votes on a converted basis
0.00%
Equity Swap
05/05/2020
02/08/2019to05/05/2020
Cash
818 Equity Swap shares or 409 votes on a converted basis
0.00%
Equity Swap
15/05/2020
26/07/2019to15/05/2020
Cash
647 Equity Swap shares or 323 votes on a converted basis
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%
 
 
 
 
 
 
 
SUBTOTAL 8.B.2
523,211
0.04%
 
 
 
 
 
 
 
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 Company LLP
 
 
5.88%
 
 
 
 
 
 
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
03/10/2019
 
 
 
 
 
 
 
 
 
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: 04 October 2019
 
 
By: /s/ Adrian Kemp
 
Name: Adrian Kemp
 
Title: Company Secretary