Form 8.3 - AstraZeneca PLC

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 “Code”)

1. KEY INFORMATION
 
(a) Identity of the person whose positions/dealings are being disclosed:   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

 
(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:  
(e) Date position held/dealing undertaken: 30 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
 
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
 
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
 
Class of relevant security:   Ordinary Shares (GB0009895292) and ADRs (US0463531089)
Interests   Short Positions
  Number   % Number   %
(1) Relevant securities owned and/or controlled: 68,460,967 shares 5.43 %    
(2) Derivatives (other than options):        
(3) Options and agreements to purchase/sell:        
  Total 68,460,967 shares 5.43 %    
 
(b) Rights to subscribe for new securities (including directors’ and other executive options)
 
Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  
3. DEALINGS
 
(a) Purchases and sales
 
Class of relevant security   Purchase/sale   Number of securities   Price per unit
Ordinary Shares (GB0009895292) Purchase 851 shares 46.6400 GBP
Ordinary Shares (GB0009895292) Sale 860 shares 46.6953 GBP
Ordinary Shares (GB0009895292) Sale 3,237 shares 46.6584 GBP
Ordinary Shares (GB0009895292) Sale 5,514 shares 46.6400 GBP
Ordinary Shares (GB0009895292) Sale 103,027 shares 46.2229 GBP
ADRs (US0463531089) Purchase 900 Depository Receipts (representing 900 shares on a converted basis) 79.0500 USD
ADRs (US0463531089) Sale 9 Depository Receipts (representing 9 shares on a converted basis) 78.9000 USD
ADRs (US0463531089) Sale 1,100 Depository Receipts (representing 1,100 shares on a converted basis) 78.6200 USD
ADRs (US0463531089) Sale 12,397 Depository Receipts (representing 12,397 shares on a converted basis) 79.0500 USD
ADRs (US0463531089) Sale 15,213 Depository Receipts (representing 15,213 shares on a converted basis) 78.3922 USD
ADRs (US0463531089) Sale 23,587 Depository Receipts (representing 23,587 shares on a converted basis) 78.5417 USD
ADRs (US0463531089) Sale 30,750 Depository Receipts (representing 30,750 shares on a converted basis) 78.6426 USD
ADRs (US0463531089) Sale 44,410 Depository Receipts (representing 44,410 shares on a converted basis) 78.6471 USD
ADRs (US0463531089) Sale 59,800 Depository Receipts (representing 59,800 shares on a converted basis) 78.4030 USD
 
(b) Derivatives transactions (other than options)
 
Class of relevant security Product description e.g. CFD   Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position   Number of reference securities   Price per unit
         
 
(c) Options transactions in respect of existing securities
 
(i) Writing, selling, purchasing or varying
 
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc.   Number of securities to which option relates Exercise price per unit   Type e.g. American, European etc. Expiry date   Option money paid/ received per unit
               
 
(ii) Exercising
 
Class of relevant security Product description e.g. call option Number of securities Exercise price per unit
       
 
(d) Other dealings (including subscribing for new securities)
 
Class of relevant security Nature of dealing e.g. subscription, conversion Details Price per unit (if applicable)
4. OTHER INFORMATION
 
(a) Indemnity and other dealing arrangements
 
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”

None
 
(b) Agreements, arrangements or understandings relating to options or derivatives
 
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”

None
 
(c) Attachments
 
Is a Supplemental Form 8 attached?   NO
 
Date of disclosure 01 May 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.

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AstraZeneca (AZN)
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