azn201401276k.htm
 
 
FORM 6-K
 
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
Report of Foreign Issuer
 
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934

For the month of January 2014
 
Commission File Number: 001-11960

 
AstraZeneca PLC
 
 
2 Kingdom Street, London W2 6BD
 
 
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F X      Form 40-F __

 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ______           
 
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ______
 
 
Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
 
 
Yes __     No X
 
 
If “Yes” is marked, indicate below the file number assigned to the Registrant in connection with Rule 12g3-2(b): 82-_____________
 
 

 

 
 

 

 
 
 
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
   
1. Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: ii
AstraZeneca plc
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights
X
An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached
  
An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments
  
An event changing the breakdown of voting rights
  
Other (please specify):
    
3. Full name of person(s) subject to the
notification obligation: iii
The Capital Group Companies, Inc.
4. Full name of shareholder(s)
 (if different from 3.):iv
See Schedule A
5. Date of the transaction and date on
which the threshold is crossed or
reached: v
22 January 2014
6. Date on which issuer notified:
23 January 2014
7. Threshold(s) that is/are crossed or
reached: vi, vii
Above 3%
         
 
 
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type of
shares
 
if possible using
the ISIN CODE
Situation previous to the triggering transaction
Resulting situation after the triggering transaction
Number of Shares
Number of Voting Rights
Number of shares
Number of voting rights
% of  voting rights x
Direct
Direct xi
Indirect xii
Direct
Indirect
Ordinary Shares
(ISIN: GB0009895292)
34,401,384
34,401,384
    
34,702,744
  
2.7604%
ADRs
(ISIN: US0463531089)
3,229,300
3,229,300
    
3,229,300
  
0.2569%
 
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial
instrument
Expiration date xiii
Exercise/ Conversion Periodxiv
Number of voting rights that may be acquired if the instrument is exercised/ converted.
% of voting rights
         
 
C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi
Resulting situation after the triggering transaction
Type of financial
instrument
Exercise price
Expiration date xvii
Exercise/
Conversion period xviii
Number of voting rights instrument refers to
 
% of voting rights xix, xx
 
         
Nominal
Delta
   
 
Total (A+B+C)
Number of voting rights
Percentage of voting rights
37,932,044
3.0173%
                                 
 
 
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
 
See Schedule A
 
Proxy Voting:
10. Name of the proxy holder:
  
11. Number of voting rights proxy holder will cease
to hold:
  
12. Date on which proxy holder will cease to hold
voting rights:
  
 
 
13. Additional information:
  
14. Contact name:
Martin Bennett, Assistant Company Secretary
15. Contact telephone number:
020 7604 8157
     
 
Schedule A
 
As of 22 January 2014
 
AstraZeneca plc
 
 
 
Number of Shares
Percent of Outstanding
     
The Capital Group Companies, Inc. ("CG") holdings
37,932,044
3.017%
Holdings by CG Management Companies and Funds:
    
Capital Guardian Trust Company
15,992
0.001%
Capital International Limited
7,100
0.001%
Capital International Sàrl
1,092
0.000%
Capital Research and Management Company
37,907,860
3.015%
 
 
 

 
 
 
 
 
 
 
 
 
 
 
 

 
SIGNATURES
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
 
AstraZeneca PLC
 
Date: 27 January 2014
By: /s/ Adrian Kemp
 
Name: Adrian Kemp
 
Title: Company Secretary