Astrazeneca Regulatory News (AZN)

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

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:

01/10/2019

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

03/10/2019

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

3.42%

2.47%

5.89%

1,311,894,438

Position of previous notification (if applicable)

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

44,864,077

3.42%

SUBTOTAL 8.A

44,864,077

3.42%

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

56,705,376 Depository Receipt shares or 28,352,661 votes on a converted basis

2.16%

Depository Receipt

6,875,371 Depository Receipt shares or 3,437,680 votes on a converted basis

0.26%

Equity Call Option

15/01/2021

01/01/1900to15/01/2021

1,137 Equity Call Option shares or 56,850 votes on a converted basis

0.00%

Equity Call Option

15/11/2019

01/01/1900to15/11/2019

476 Equity Call Option shares or 23,800 votes on a converted basis

0.00%

SUBTOTAL 8.B.1

31,870,991

2.43%

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

31/01/2020

01/02/2019to31/01/2020

Cash

183,970 Equity Swap shares or 91,985 votes on a converted basis

0.01%

Equity Swap

29/05/2020

04/06/2019to29/05/2020

Cash

140,896 Equity Swap shares or 70,448 votes on a converted basis

0.01%

Equity Swap

31/03/2020

01/04/2019to31/03/2020

Cash

128,263 Equity Swap shares or 64,131 votes on a converted basis

0.00%

Equity Swap

30/04/2020

12/04/2019to30/04/2020

Cash

69,549 Equity Swap shares or 34,774 votes on a converted basis

0.00%

Equity Swap

30/06/2020

02/07/2019to30/06/2020

Cash

56,143 Equity Swap shares or 28,071 votes on a converted basis

0.00%

Equity Swap

31/08/2020

08/08/2019to31/08/2020

Cash

42,723 Equity Swap shares or 21,361 votes on a converted basis

0.00%

Equity Swap

15/05/2020

09/08/2018to15/05/2020

Cash

19,846 Equity Swap shares or 19,846 votes on a converted basis

0.00%

Equity Swap

20/05/2020

08/10/2018to20/05/2020

Cash

17,989 Equity Swap shares or 17,989 votes on a converted basis

0.00%

Equity Swap

15/05/2020

20/02/2019to15/05/2020

Cash

35,896 Equity Swap shares or 17,948 votes on a converted basis

0.00%

Equity Swap

30/04/2020

15/04/2019to30/04/2020

Cash

30,612 Equity Swap shares or 15,306 votes on a converted basis

0.00%

Equity Swap

30/04/2020

08/04/2019to30/04/2020

Cash

29,511 Equity Swap shares or 14,755 votes on a converted basis

0.00%

Equity Swap

15/05/2020

02/03/2018to15/05/2020

Cash

11,419 Equity Swap shares or 11,419 votes on a converted basis

0.00%

Equity Swap

20/05/2020

05/10/2018to20/05/2020

Cash

11,206 Equity Swap shares or 11,206 votes on a converted basis

0.00%

Index Future

01/10/2019

01/01/1900to01/10/2019

Cash

2,089 Index Future shares or 10,879 votes on a converted basis

0.00%

Equity Swap

15/05/2020

10/10/2017to15/05/2020

Cash

8,928 Equity Swap shares or 8,928 votes on a converted basis

0.00%

Equity Swap

20/05/2020

08/01/2019to20/05/2020

Cash

8,741 Equity Swap shares or 8,741 votes on a converted basis

0.00%

Equity Swap

20/05/2020

25/01/2019to20/05/2020

Cash

7,546 Equity Swap shares or 7,546 votes on a converted basis

0.00%

Equity Swap

20/05/2020

23/08/2019to20/05/2020

Cash

7,195 Equity Swap shares or 7,195 votes on a converted basis

0.00%

Equity Swap

15/05/2020

09/02/2018to15/05/2020

Cash

6,300 Equity Swap shares or 6,300 votes on a converted basis

0.00%

Equity Swap

20/05/2020

15/07/2019to20/05/2020

Cash

6,212 Equity Swap shares or 6,212 votes on a converted basis

0.00%

Equity Swap

20/05/2020

06/07/2018to20/05/2020

Cash

4,635 Equity Swap shares or 4,635 votes on a converted basis

0.00%

Equity Swap

05/05/2020

31/07/2019to05/05/2020

Cash

7,671 Equity Swap shares or 3,835 votes on a converted basis

0.00%

Equity Swap

15/05/2020

02/02/2018to15/05/2020

Cash

3,782 Equity Swap shares or 3,782 votes on a converted basis

0.00%

Equity Swap

20/05/2020

03/07/2018to20/05/2020

Cash

3,496 Equity Swap shares or 3,496 votes on a converted basis

0.00%

Equity Swap

20/05/2020

05/04/2018to20/05/2020

Cash

2,982 Equity Swap shares or 2,982 votes on a converted basis

0.00%

Equity Swap

15/05/2020

02/07/2018to15/05/2020

Cash

2,827 Equity Swap shares or 2,827 votes on a converted basis

0.00%

Equity Swap

15/05/2020

23/10/2017to15/05/2020

Cash

2,779 Equity Swap shares or 2,779 votes on a converted basis

0.00%

Equity Swap

05/05/2020

20/08/2019to05/05/2020

Cash

5,393 Equity Swap shares or 2,696 votes on a converted basis

0.00%

Equity Swap

15/05/2020

16/07/2018to15/05/2020

Cash

2,608 Equity Swap shares or 2,608 votes on a converted basis

0.00%

Equity Swap

20/05/2020

13/07/2018to20/05/2020

Cash

2,503 Equity Swap shares or 2,503 votes on a converted basis

0.00%

Equity Swap

20/05/2020

08/10/2018to20/05/2020

Cash

2,309 Equity Swap shares or 2,309 votes on a converted basis

0.00%

Equity Swap

20/05/2020

23/07/2018to20/05/2020

Cash

2,158 Equity Swap shares or 2,158 votes on a converted basis

0.00%

Exchange Traded Fund

01/10/2019

01/10/2019

Cash

378,510 Exchange Traded Fund shares or 1,948 votes on a converted basis

0.00%

Equity Swap

15/05/2020

11/06/2018to15/05/2020

Cash

1,367 Equity Swap shares or 1,367 votes on a converted basis

0.00%

Equity Swap

20/05/2020

06/04/2018to20/05/2020

Cash

1,267 Equity Swap shares or 1,267 votes on a converted basis

0.00%

Equity Swap

20/05/2020

14/09/2018to20/05/2020

Cash

1,132 Equity Swap shares or 1,132 votes on a converted basis

0.00%

Equity Swap

20/05/2020

03/08/2018to20/05/2020

Cash

1,034 Equity Swap shares or 1,034 votes on a converted basis

0.00%

Equity Swap

05/05/2020

12/08/2019to05/05/2020

Cash

1,926 Equity Swap shares or 963 votes on a converted basis

0.00%

Equity Swap

15/05/2020

14/06/2019to15/05/2020

Cash

1,593 Equity Swap shares or 796 votes on a converted basis

0.00%

Equity Swap

20/05/2020

19/03/2018to20/05/2020

Cash

773 Equity Swap shares or 773 votes on a converted basis

0.00%

Equity Swap

15/05/2020

16/05/2019to15/05/2020

Cash

1,290 Equity Swap shares or 645 votes on a converted basis

0.00%

Equity Swap

15/05/2020

27/07/2018to15/05/2020

Cash

600 Equity Swap shares or 600 votes on a converted basis

0.00%

Index Future

01/10/2019

01/01/1900to01/10/2019

Cash

96 Index Future shares or 501 votes on a converted basis

0.00%

Equity Swap

05/05/2020

15/08/2019to05/05/2020

Cash

841 Equity Swap shares or 420 votes on a converted basis

0.00%

Equity Swap

05/05/2020

13/08/2019to05/05/2020

Cash

834 Equity Swap shares or 417 votes on a converted basis

0.00%

Equity Swap

05/05/2020

02/08/2019to05/05/2020

Cash

818 Equity Swap shares or 409 votes on a converted basis

0.00%

Equity Swap

15/05/2020

26/07/2019to15/05/2020

Cash

647 Equity Swap shares or 323 votes on a converted basis

0.00%

Equity Swap

20/05/2020

25/06/2018to20/05/2020

Cash

314 Equity Swap shares or 314 votes on a converted basis

0.00%

Equity Swap

20/05/2020

21/05/2018to20/05/2020

Cash

200 Equity Swap shares or 200 votes on a converted basis

0.00%

Equity Swap

15/05/2020

08/11/2018to15/05/2020

Cash

172 Equity Swap shares or 172 votes on a converted basis

0.00%

Equity Swap

20/05/2020

03/10/2019to20/05/2020

Cash

162 Equity Swap shares or 162 votes on a converted basis

0.00%

Equity Swap

05/05/2020

13/09/2019to05/05/2020

Cash

66 Equity Swap shares or 66 votes on a converted basis

0.00%

SUBTOTAL 8.B.2

525,159

0.04%

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

5.89%

Wellington Group Holdings LLP

5.89%

Wellington Investment Advisors Holdings LLP

5.89%

Wellington Management Company LLP

5.88%

Wellington Management Group LLP

5.89%

Wellington Group Holdings LLP

5.89%

Wellington Investment Advisors Holdings LLP

5.89%

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

02/10/2019