TIDMAZN
RNS Number : 8408O
AstraZeneca PLC
04 October 2019
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 ASTRAZENECA PLC
underlying issuer of existing shares
to which voting rights are attached:
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 Group LLP
----------------------------------------------------------
City and country of registered Boston, USA
office (if applicable)
----------------------------------------------------------
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 01/10/2019
was crossed or reached:
----------------------------------------------------------
6. Date on which issuer notified 03/10/2019
(DD/MM/YYYY):
----------------------------------------------------------
7. Total positions of person(s) subject to the notification obligation:
% of voting % of voting rights Total of both Total number
rights attached through financial in % of voting rights
to shares instruments of issuer
(total of (total of 8.B.1 (8.A + 8.B)
8.A) + 8.B.2)
---------------------- ------------------- ----------------- ------------------
Resulting situation
on the date on
which threshold
was crossed or
reached 3.42% 2.47% 5.89% 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 Number of voting rights % of voting rights
of shares
ISIN code
(if possible)
--------------------------------------------------------- ----------------------------------
Direct Indirect Direct Indirect
(Art 9 of (Art 10 of Directive (Art 9 (Art 10 of
Directive 2004/109/EC) (DTR5.2.1) of Directive Directive
2004/109/EC) 2004/109/EC) 2004/109/EC)
(DTR5.1) (DTR5.1) (DTR5.2.1)
--------------- ---------------------------------------- ----------------- ---------------
GB0009895292
Ordinary Shares 44,864,077 3.42%
--------------- ---------------------------------------- ----------------- ---------------
SUBTOTAL 8.A 44,864,077 3.42%
--------------------------------------------------------- ----------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive
2004/109/EC (DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion rights that may be rights
Period acquired if the instrument
is exercised/converted
--------------- ------------------------ --------------------------------- ---------------
56,705,376 Depository
Receipt shares or
Depository 28,352,661 votes
Receipt on a converted basis 2.16%
--------------- ------------------------ --------------------------------- ---------------
6,875,371 Depository
Receipt shares or
Depository 3,437,680 votes on
Receipt a converted basis 0.26%
--------------- ------------------------ --------------------------------- ---------------
1,137 Equity Call
Option shares or
Equity Call 56,850 votes on a
Option 15/01/2021 01/01/1900to15/01/2021 converted basis 0.00%
--------------- ------------------------ --------------------------------- ---------------
476 Equity Call Option
shares or 23,800
Equity Call votes on a converted
Option 15/11/2019 01/01/1900to15/11/2019 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 Expiration Exercise/ Physical Number of % of voting
instrument date Conversion or cash voting rights rights
Period settlement
--------------- ------------------------ -------------- ----------------- ---------------
183,970
Equity Swap
shares or
91,985 votes
on a converted
Equity Swap 31/01/2020 01/02/2019to31/01/2020 Cash basis 0.01%
--------------- ------------------------ -------------- ----------------- ---------------
140,896
Equity Swap
shares or
70,448 votes
on a converted
Equity Swap 29/05/2020 04/06/2019to29/05/2020 Cash basis 0.01%
--------------- ------------------------ -------------- ----------------- ---------------
128,263
Equity Swap
shares or
64,131 votes
on a converted
Equity Swap 31/03/2020 01/04/2019to31/03/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
69,549 Equity
Swap shares
or 34,774
votes on
a converted
Equity Swap 30/04/2020 12/04/2019to30/04/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
56,143 Equity
Swap shares
or 28,071
votes on
a converted
Equity Swap 30/06/2020 02/07/2019to30/06/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
42,723 Equity
Swap shares
or 21,361
votes on
a converted
Equity Swap 31/08/2020 08/08/2019to31/08/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
19,846 Equity
Swap shares
or 19,846
votes on
a converted
Equity Swap 15/05/2020 09/08/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
17,989 Equity
Swap shares
or 17,989
votes on
a converted
Equity Swap 20/05/2020 08/10/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
35,896 Equity
Swap shares
or 17,948
votes on
a converted
Equity Swap 15/05/2020 20/02/2019to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
30,612 Equity
Swap shares
or 15,306
votes on
a converted
Equity Swap 30/04/2020 15/04/2019to30/04/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
29,511 Equity
Swap shares
or 14,755
votes on
a converted
Equity Swap 30/04/2020 08/04/2019to30/04/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
11,419 Equity
Swap shares
or 11,419
votes on
a converted
Equity Swap 15/05/2020 02/03/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
11,206 Equity
Swap shares
or 11,206
votes on
a converted
Equity Swap 20/05/2020 05/10/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,089 Index
Future shares
or 10,879
votes on
a converted
Index Future 01/10/2019 01/01/1900to01/10/2019 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
8,928 Equity
Swap shares
or 8,928
votes on
a converted
Equity Swap 15/05/2020 10/10/2017to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
8,741 Equity
Swap shares
or 8,741
votes on
a converted
Equity Swap 20/05/2020 08/01/2019to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
7,546 Equity
Swap shares
or 7,546
votes on
a converted
Equity Swap 20/05/2020 25/01/2019to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
7,195 Equity
Swap shares
or 7,195
votes on
a converted
Equity Swap 20/05/2020 23/08/2019to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
6,300 Equity
Swap shares
or 6,300
votes on
a converted
Equity Swap 15/05/2020 09/02/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
6,212 Equity
Swap shares
or 6,212
votes on
a converted
Equity Swap 20/05/2020 15/07/2019to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
4,635 Equity
Swap shares
or 4,635
votes on
a converted
Equity Swap 20/05/2020 06/07/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
7,671 Equity
Swap shares
or 3,835
votes on
a converted
Equity Swap 05/05/2020 31/07/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
3,782 Equity
Swap shares
or 3,782
votes on
a converted
Equity Swap 15/05/2020 02/02/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
3,496 Equity
Swap shares
or 3,496
votes on
a converted
Equity Swap 20/05/2020 03/07/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,982 Equity
Swap shares
or 2,982
votes on
a converted
Equity Swap 20/05/2020 05/04/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,827 Equity
Swap shares
or 2,827
votes on
a converted
Equity Swap 15/05/2020 02/07/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,779 Equity
Swap shares
or 2,779
votes on
a converted
Equity Swap 15/05/2020 23/10/2017to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
5,393 Equity
Swap shares
or 2,696
votes on
a converted
Equity Swap 05/05/2020 20/08/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,608 Equity
Swap shares
or 2,608
votes on
a converted
Equity Swap 15/05/2020 16/07/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,503 Equity
Swap shares
or 2,503
votes on
a converted
Equity Swap 20/05/2020 13/07/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,309 Equity
Swap shares
or 2,309
votes on
a converted
Equity Swap 20/05/2020 08/10/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
2,158 Equity
Swap shares
or 2,158
votes on
a converted
Equity Swap 20/05/2020 23/07/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
378,510
Exchange
Traded Fund
shares or
1,948 votes
Exchange on a converted
Traded Fund 01/10/2019 01/10/2019 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,367 Equity
Swap shares
or 1,367
votes on
a converted
Equity Swap 15/05/2020 11/06/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,267 Equity
Swap shares
or 1,267
votes on
a converted
Equity Swap 20/05/2020 06/04/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,132 Equity
Swap shares
or 1,132
votes on
a converted
Equity Swap 20/05/2020 14/09/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,034 Equity
Swap shares
or 1,034
votes on
a converted
Equity Swap 20/05/2020 03/08/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,926 Equity
Swap shares
or 963 votes
on a converted
Equity Swap 05/05/2020 12/08/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,593 Equity
Swap shares
or 796 votes
on a converted
Equity Swap 15/05/2020 14/06/2019to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
773 Equity
Swap shares
or 773 votes
on a converted
Equity Swap 20/05/2020 19/03/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
1,290 Equity
Swap shares
or 645 votes
on a converted
Equity Swap 15/05/2020 16/05/2019to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
600 Equity
Swap shares
or 600 votes
on a converted
Equity Swap 15/05/2020 27/07/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
96 Index
Future shares
or 501 votes
on a converted
Index Future 01/10/2019 01/01/1900to01/10/2019 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
841 Equity
Swap shares
or 420 votes
on a converted
Equity Swap 05/05/2020 15/08/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
834 Equity
Swap shares
or 417 votes
on a converted
Equity Swap 05/05/2020 13/08/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
818 Equity
Swap shares
or 409 votes
on a converted
Equity Swap 05/05/2020 02/08/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
647 Equity
Swap shares
or 323 votes
on a converted
Equity Swap 15/05/2020 26/07/2019to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
314 Equity
Swap shares
or 314 votes
on a converted
Equity Swap 20/05/2020 25/06/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
200 Equity
Swap shares
or 200 votes
on a converted
Equity Swap 20/05/2020 21/05/2018to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
172 Equity
Swap shares
or 172 votes
on a converted
Equity Swap 15/05/2020 08/11/2018to15/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
162 Equity
Swap shares
or 162 votes
on a converted
Equity Swap 20/05/2020 03/10/2019to20/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
66 Equity
Swap shares
or 66 votes
on a converted
Equity Swap 05/05/2020 13/09/2019to05/05/2020 Cash basis 0.00%
--------------- ------------------------ -------------- ----------------- ---------------
SUBTOTAL
8.B.2 525,159 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 X
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)
----------------------
Name % of voting rights % of voting rights Total of both
if it equals through financial if it equals
or is higher instruments if or is higher
than the notifiable it equals or than the notifiable
threshold is higher than threshold
the notifiable
threshold
------------------------ --------------------- ----------------------
Wellington Management
Group LLP 5.89%
---------------------------------------------- ----------------------
Wellington Group Holdings
LLP 5.89%
---------------------------------------------- ----------------------
Wellington Investment
Advisors Holdings
LLP 5.89%
---------------------------------------------- ----------------------
Wellington Management
Company LLP 5.88%
---------------------------------------------- ----------------------
Wellington Management
Group LLP 5.89%
---------------------------------------------- ----------------------
Wellington Group Holdings
LLP 5.89%
---------------------------------------------- ----------------------
Wellington Investment
Advisors Holdings
LLP 5.89%
---------------------------------------------- ----------------------
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 02/10/2019
------------------------------------------------------------------------
This information is provided by RNS, the news service of the
London Stock Exchange. RNS is approved by the Financial Conduct
Authority to act as a Primary Information Provider in the United
Kingdom. Terms and conditions relating to the use and distribution
of this information may apply. For further information, please
contact rns@lseg.com or visit www.rns.com.
END
HOLBGBDGUSGBGCS
(END) Dow Jones Newswires
October 04, 2019 10:04 ET (14:04 GMT)
Astrazeneca (LSE:AZN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Astrazeneca (LSE:AZN)
Historical Stock Chart
From Apr 2023 to Apr 2024
