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 |