Form 8.3 - AstraZeneca PLC
Wellington Management
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Codeâ€)
1. | KEY INFORMATION | ||||||||||||
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(a) | Identity of the person whose positions/dealings are being disclosed: | Â | Wellington Management Company, LLP | ||||||||||
(b) |
Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies is insufficient |
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(c) |
Name of offeror/offeree in relation to whose relevant securities
this form relates:
Use a separate form for each offeror/offeree |
AstraZeneca PLC | |||||||||||
(d) | If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree: | Â | |||||||||||
(e) | Date position held/dealing undertaken: | 28 April 2014 | |||||||||||
(f) | Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer? | YES | |||||||||||
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2. | POSITIONS OF THE PERSON MAKING THE DISCLOSURE | ||||||||||||
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(a) | Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any) | ||||||||||||
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Class of relevant security: | Â | Ordinary Shares (GB0009895292) and ADRs (US0463531089) | |||||||||||
Interests | Â | Short Positions | |||||||||||
 | Number |  | % | Number |  | % | |||||||
(1) | Relevant securities owned and/or controlled: | 69,031,772 shares | 5.47 % | Â | Â | ||||||||
(2) | Derivatives (other than options): | Â | Â | Â | Â | ||||||||
(3) | Options and agreements to purchase/sell: | Â | Â | Â | Â | ||||||||
 | Total | 69,031,772 shares | 5.47 % |  |  | ||||||||
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(b) | Rights to subscribe for new securities (including directors’ and other executive options) | ||||||||||||
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Class of relevant security in relation to which subscription right exists: | Â | ||||||||||||
Details, including nature of the rights concerned and relevant percentages: | Â |
3. | DEALINGS | ||||||||||||||||||||||
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(a) | Purchases and sales | ||||||||||||||||||||||
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Class of relevant security | Â | Purchase/sale | Â | Number of securities | Â | Price per unit | |||||||||||||||||
Ordinary Shares (GB0009895292) | Purchase | 51 shares | 46.8436 GBP | ||||||||||||||||||||
Ordinary Shares (GB0009895292) | Sale | 78,706 shares | 47.4107 GBP | ||||||||||||||||||||
Ordinary Shares (GB0009895292) | Sale | 88,154 shares | 46.6098 GBP | ||||||||||||||||||||
Ordinary Shares (GB0009895292) | Sale | 709,849 shares | 47.0270 GBP | ||||||||||||||||||||
ADRs (US0463531089) | Sale | 28,527 Depository Receipts (representing 28,527 shares on a converted basis) | 79.0869 USD | ||||||||||||||||||||
ADRs (US0463531089) | Sale | 37,131 Depository Receipts (representing 37,131 shares on a converted basis) | 77.0100 USD | ||||||||||||||||||||
ADRs (US0463531089) | Sale | 76,500 Depository Receipts (representing 76,500 shares on a converted basis) | 78.8219 USD | ||||||||||||||||||||
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(b) | Derivatives transactions (other than options) | ||||||||||||||||||||||
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Class of relevant security | Product description e.g. CFD | Â | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Â | Number of reference securities | Â | Price per unit | ||||||||||||||||
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(c) | Options transactions in respect of existing securities | ||||||||||||||||||||||
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(i) | Writing, selling, purchasing or varying | ||||||||||||||||||||||
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Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Â | Number of securities to which option relates | Exercise price per unit | Â | Type e.g. American, European etc. | Expiry date | Â | Option money paid/ received per unit | |||||||||||||
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(ii) | Exercising | ||||||||||||||||||||||
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Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit | ||||||||||||||||||||
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(d) | Other dealings (including subscribing for new securities) | ||||||||||||||||||||||
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Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
4. | OTHER INFORMATION | ||
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(a) | Indemnity and other dealing arrangements | ||
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Details of any indemnity or option arrangement, or any agreement
or understanding, formal or informal, relating to relevant
securities which may be an inducement to deal or refrain from
dealing entered into by the person making the disclosure and any
party to the offer or any person acting in concert with a party to
the offer:
If there are no such agreements, arrangements or understandings, state “none†|
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None | |||
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(b) | Agreements, arrangements or understandings relating to options or derivatives | ||
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Details of any agreement, arrangement or understanding, formal or
informal, between the person making the disclosure and any other
person relating to:
(i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state “none†|
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None | |||
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(c) | Attachments | ||
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Is a Supplemental Form 8 attached? | Â | NO | |
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Date of disclosure | 29 April 2014 | ||
Contact name | John D. Norberg | ||
Telephone number | 617-790-7265 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel?s website at www.thetakeoverpanel.org.uk.