REG - AstraZeneca PLC - Holding(s) in Company

AstraZenecaAnnouncement

22/07/2020 15:00

RNS Number : 7682T
  
AstraZeneca PLC
  
22 July 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 Group 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:


20/07/2020




6. Date on which issuer notified (DD/MM/YYYY):


21/07/2020




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


2.95%


2.01%


4.96%


1,312,271,081




Position of previous notification (if applicable)


2.97%


2.04%


5.01%























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






38,725,550






2.95%


























SUBTOTAL 8.A


38,725,550


2.95%










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










51,934,556 Depository Receipt shares or 25,967,241 votes on a converted basis


1.98%


































SUBTOTAL 8.B.1


25,967,241


1.98%










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


30/06/2021


02/07/2020to30/06/2021


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


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


08/10/2018to22/05/2023


Cash settlement


7,796 Equity Swap shares or 7,796 votes on a converted basis


0.00%




Index Future


20/07/2020


01/01/1900to20/07/2020


Cash settlement


1,394 Index Future shares or 7,186 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


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


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


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


22/05/2023


10/07/2020to22/05/2023


Cash settlement


1,830 Equity Swap shares or 1,830 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


22/05/2023


05/06/2020to22/05/2023


Cash settlement


1,570 Equity Swap shares or 1,570 votes on a converted basis


0.00%




Equity Swap


15/05/2023


26/06/2020to15/05/2023


Cash settlement


2,796 Equity Swap shares or 1,398 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


31/07/2019to05/05/2023


Cash settlement


2,654 Equity Swap shares or 1,327 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


06/07/2020to22/05/2023


Cash settlement


1,587 Equity Swap shares or 793 votes on a converted basis


0.00%




Equity Swap


05/05/2023


14/07/2020to05/05/2023


Cash settlement


1,504 Equity Swap shares or 752 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


29/06/2020to15/05/2023


Cash settlement


1,128 Equity Swap shares or 564 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


22/05/2023


08/10/2018to22/05/2023


Cash settlement


486 Equity Swap shares or 486 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


428,101


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 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


21/07/2020
















 


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