AstraZeneca PLC Holding(s) in Company (2547Q)
June 17 2020 - 10:03AM
UK Regulatory
TIDMAZN
RNS Number : 2547Q
AstraZeneca PLC
17 June 2020
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 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 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 15/06/2020
was crossed or reached:
-----------------------------------------------
6. Date on which issuer notified 16/06/2020
(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 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 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 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 Expiration Exercise/ Number of voting % of voting
financial date Conversion rights that may be rights
instrument Period acquired if the instrument
is exercised/converted
--------------- ------------------------ --------------------------------------- ---------------
52,220,512 Depository
Receipt shares or
Depository 26,110,218 votes
Receipt 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 Expiration Exercise/ Physical Number of % of voting
financial date Conversion or cash voting rights rights
instrument Period settlement
--------------- ------------------------ ----------------- -------------------- ---------------
183,970
Equity Swap
shares or
91,985 votes
on a converted
Equity Swap 29/01/2021 03/02/2020to29/01/2021 Cash settlement basis 0.01%
--------------- ------------------------ ----------------- -------------------- ---------------
140,896
Equity Swap
shares or
70,448 votes
on a converted
Equity Swap 31/12/2020 05/12/2019to31/12/2020 Cash settlement basis 0.01%
--------------- ------------------------ ----------------- -------------------- ---------------
57,837 Equity
Swap shares
or 28,918
votes on
a converted
Equity Swap 30/04/2021 04/05/2020to30/04/2021 Cash settlement 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 settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
55,558 Equity
Swap shares
or 27,779
votes on
a converted
Equity Swap 31/03/2021 02/04/2020to31/03/2021 Cash settlement 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 settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
19,846 Equity
Swap shares
or 19,846
votes on
a converted
Equity Swap 15/05/2023 09/08/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
35,896 Equity
Swap shares
or 17,948
votes on
a converted
Equity Swap 15/05/2023 20/02/2019to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
14,962 Equity
Swap shares
or 14,962
votes on
a converted
Equity Swap 22/05/2023 08/10/2018to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
11,419 Equity
Swap shares
or 11,419
votes on
a converted
Equity Swap 15/05/2023 02/03/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
8,928 Equity
Swap shares
or 8,928
votes on
a converted
Equity Swap 15/05/2023 10/10/2017to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
6,487 Equity
Swap shares
or 6,487
votes on
a converted
Equity Swap 22/05/2023 05/10/2018to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
6,300 Equity
Swap shares
or 6,300
votes on
a converted
Equity Swap 15/05/2023 09/02/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
6,212 Equity
Swap shares
or 6,212
votes on
a converted
Equity Swap 22/05/2023 15/07/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
5,919 Equity
Swap shares
or 5,919
votes on
a converted
Equity Swap 22/05/2023 15/06/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
5,859 Equity
Swap shares
or 5,859
votes on
a converted
Equity Swap 22/05/2023 25/01/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
4,870 Equity
Swap shares
or 4,870
votes on
a converted
Equity Swap 22/05/2023 05/06/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
856 Index
Future shares
or 4,432
votes on
a converted
Index Future 15/06/2020 01/01/1900to15/06/2020 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
4,413 Equity
Swap shares
or 4,413
votes on
a converted
Equity Swap 22/05/2023 23/08/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,967 Equity
Swap shares
or 3,967
votes on
a converted
Equity Swap 05/05/2023 03/06/2020to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,782 Equity
Swap shares
or 3,782
votes on
a converted
Equity Swap 15/05/2023 02/02/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,496 Equity
Swap shares
or 3,496
votes on
a converted
Equity Swap 22/05/2023 03/07/2018to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,382 Equity
Swap shares
or 3,382
votes on
a converted
Equity Swap 22/05/2023 06/01/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,207 Equity
Swap shares
or 3,207
votes on
a converted
Equity Swap 22/05/2023 08/01/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
2,982 Equity
Swap shares
or 2,982
votes on
a converted
Equity Swap 22/05/2023 05/04/2018to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
2,827 Equity
Swap shares
or 2,827
votes on
a converted
Equity Swap 15/05/2023 02/07/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
2,779 Equity
Swap shares
or 2,779
votes on
a converted
Equity Swap 15/05/2023 23/10/2017to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
5,393 Equity
Swap shares
or 2,696
votes on
a converted
Equity Swap 05/05/2023 20/08/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
4,718 Equity
Swap shares
or 2,359
votes on
a converted
Equity Swap 05/05/2023 31/07/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
4,154 Equity
Swap shares
or 2,077
votes on
a converted
Equity Swap 22/05/2023 02/06/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
2,017 Equity
Swap shares
or 2,017
votes on
a converted
Equity Swap 22/05/2023 08/10/2018to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,963 Equity
Swap shares
or 1,981
votes on
a converted
Equity Swap 15/05/2023 28/05/2020to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,776 Equity
Swap shares
or 1,776
votes on
a converted
Equity Swap 15/05/2023 16/07/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
339,942
Exchange
Traded Fund
shares or
1,727 votes
Exchange on a converted
Traded Fund 15/06/2020 15/06/2020 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
3,326 Equity
Swap shares
or 1,663
votes on
a converted
Equity Swap 22/05/2023 14/04/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,367 Equity
Swap shares
or 1,367
votes on
a converted
Equity Swap 15/05/2023 11/06/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,926 Equity
Swap shares
or 963 votes
on a converted
Equity Swap 05/05/2023 12/08/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,841 Equity
Swap shares
or 920 votes
on a converted
Equity Swap 22/05/2023 08/06/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,721 Equity
Swap shares
or 860 votes
on a converted
Equity Swap 15/05/2023 08/10/2019to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
829 Equity
Swap shares
or 829 votes
on a converted
Equity Swap 22/05/2023 20/01/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,593 Equity
Swap shares
or 796 votes
on a converted
Equity Swap 15/05/2023 14/06/2019to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,308 Equity
Swap shares
or 654 votes
on a converted
Equity Swap 22/05/2023 13/05/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,308 Equity
Swap shares
or 654 votes
on a converted
Equity Swap 22/05/2023 01/11/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,290 Equity
Swap shares
or 645 votes
on a converted
Equity Swap 15/05/2023 16/05/2019to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
600 Equity
Swap shares
or 600 votes
on a converted
Equity Swap 15/05/2023 27/07/2018to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,052 Equity
Swap shares
or 526 votes
on a converted
Equity Swap 15/05/2023 31/03/2020to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
1,037 Equity
Swap shares
or 518 votes
on a converted
Equity Swap 05/05/2023 03/02/2020to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
516 Equity
Swap shares
or 516 votes
on a converted
Equity Swap 22/05/2023 06/01/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
421 Equity
Swap shares
or 421 votes
on a converted
Equity Swap 05/05/2023 07/01/2020to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
841 Equity
Swap shares
or 420 votes
on a converted
Equity Swap 05/05/2023 15/08/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
834 Equity
Swap shares
or 417 votes
on a converted
Equity Swap 05/05/2023 13/08/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
818 Equity
Swap shares
or 409 votes
on a converted
Equity Swap 05/05/2023 02/08/2019to05/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
647 Equity
Swap shares
or 323 votes
on a converted
Equity Swap 15/05/2023 26/07/2019to15/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
162 Equity
Swap shares
or 162 votes
on a converted
Equity Swap 22/05/2023 03/10/2019to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
131 Equity
Swap shares
or 131 votes
on a converted
Equity Swap 22/05/2023 21/04/2020to22/05/2023 Cash settlement basis 0.00%
--------------- ------------------------ ----------------- -------------------- ---------------
40 Equity
Swap shares
or 40 votes
on a converted
Equity Swap 05/05/2023 13/09/2019to05/05/2023 Cash settlement 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 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
---------------------- -------------------- --------------------------
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
---------------------------------------------------------------------------
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END
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