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AstraZeneca PLC - Holding(s) in Company

RNS Number : 2539Q
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 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 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:

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)

3.41%

2.47%

5.88%

 

             

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

 

38,956,326

 

2.97%

 

 

 

 

 

SUBTOTAL 8.A

38,956,326

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%

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

439,319

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 Company LLP

 

 

 

 

 

 

 

 

 

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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