TR-1: Standard form for notification of major holdings |
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NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible) |
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1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attached: |
AstraZeneca PLC |
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1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X" if appropriate) |
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Non-UK issuer |
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2. Reason for the notification (please mark the appropriate box or boxes with an "X") |
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An acquisition or disposal of voting rights |
X |
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An acquisition or disposal of financial instruments |
X |
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An event changing the breakdown of voting rights |
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Other (please specify): |
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3. Details of person subject to the notification obligation |
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Name |
Wellington Management Group LLP |
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City and country of registered office (if applicable) |
Boston, USA |
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4. Full name of shareholder(s) (if different from 3) |
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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 |
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City and country of registered office (if applicable) |
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5. Date on which the threshold was crossed or reached: |
15/06/2020 |
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6. Date on which issuer notified (DD/MM/YYYY): |
16/06/2020 |
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7. Total positions of person(s) subject to the notification obligation: |
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% 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 |
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Resulting situation on the date on which threshold was crossed or reached |
2.97% |
2.02% |
4.99% |
1,312,261,399 |
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Position of previous notification (if applicable) |
3.42% |
2.47% |
5.89% |
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8. Notified details of the resulting situation on the date on which the threshold was crossed or reached: |
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A: Voting rights attached to shares |
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Class/type of shares ISIN code (if possible) |
Number of voting rights |
% of voting rights |
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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) |
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GB0009895292 Ordinary Shares |
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38,958,807 |
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2.97% |
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SUBTOTAL 8.A |
38,958,807 |
2.97% |
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) |
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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 |
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Depository Receipt |
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52,220,512 Depository Receipt shares or 26,110,218 votes on a converted basis |
1.99% |
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SUBTOTAL 8.B.1 |
26,110,218 |
1.99% |
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) |
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Type of financial instrument |
Expiration date |
Exercise/ Conversion Period |
Physical or cash settlement |
Number of voting rights |
% of voting rights |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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Exchange Traded Fund |
15/06/2020 |
15/06/2020 |
Cash settlement |
339,942 Exchange Traded Fund shares or 1,727 votes on a converted basis |
0.00% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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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% |
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SUBTOTAL 8.B.2 |
441,046 |
0.03% |
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9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an "X") |
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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. |
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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 |
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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 |
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Wellington Management Group LLP |
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Wellington Group Holdings LLP |
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Wellington Investment Advisors Holdings LLP |
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Wellington Management Company LLP |
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Wellington Management Group LLP |
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Wellington Group Holdings LLP |
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Wellington Investment Advisors Holdings LLP |
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Wellington Management Global Holdings, Ltd. |
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Wellington Management International Ltd |
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10. In case of proxy voting, please identify: |
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Name of the proxy holder |
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The number and % of voting rights held |
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The date until which the voting rights will be held |
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11. Additional information: |
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Place of completion |
London |
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Date of completion |
16/06/2020 |
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