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Form 8 (OPD) AstraZeneca PLC

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FORM 8 (OPD)

PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER

Rules 8.1 and 8.2 of the Takeover Code (the “Code”)

1.         KEY INFORMATION

(a) Identity of the party to the offer making the disclosure: ASTRAZENECA PLC
(b) Owner or controller of interests and short positions disclosed, if different from 1(a):     The naming of nominee or vehicle companies is insufficient N/A
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:     Use a separate form for each party to the offer ASTRAZENECA PLC (OFFEREE)
(d) Is the party to the offer making the disclosure the offeror or the offeree? OFFEREE
(e) Date position held: 12 MAY 2014
(f)  Has the party previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? YES: PFIZER INC. (OFFEROR)DISCLOSING TODAY

2.         POSITIONS OF THE PARTY TO THE OFFER MAKING THE DISCLOSURE

(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates

Class of relevant security:
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: Nil 0 Nil 0
(2) Derivatives (other than options): Nil 0 Nil 0
(3) Options and agreements to purchase/sell: Nil 0 Nil 0
     TOTAL: Nil 0 Nil 0

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

(b)        Rights to subscribe for new securities

Class of relevant security in relation to which subscription right exists: None
Details, including nature of the rights concerned and relevant percentages: None

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(c)        Irrevocable commitments and letters of intent

Details of any irrevocable commitments or letters of intent procured by the party to the offer making the disclosure or any person acting in concert with it (see Note 3 on Rule 2.11 of the Code):
None

3.         POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE

Details of any interests, short positions and rights to subscribe of any person acting in concert with the party to the offer making the disclosure:

3(a)       Shares held by directors of AstraZeneca PLC

Director Number of AstraZeneca Shares Percentage of total issued share capital (%)
Pascal Soriot 151,581 0.01200826
Marc Dunoyer 500 0.00003961
Leif Johansson 33,009 0.002614976
Genevieve Berger 1,790 0.000141804
Bruce Burlington 2,249 0.000178166
Ann Cairns 1,225 0.000097044
Graham Chipchase 1,900 0.000150518
Jean-Philippe Courtois 2,635 0.000208745
Rudy Markham 2,452 0.000194248
Nancy Rothwell 2,643 0.000209379
Shriti Vadera 3,000 0.00023766
John Varley 9,500 0.000752591
Marcus Wallenberg 63,646 0.005042042

3(b)      Directors’ interests in awards of AstraZeneca PLC shares under AstraZeneca PLC’s share plans

Deferred Bonus Plan

Director Number of AstraZeneca Shares Date of grant Award price (pence) Vesting date
Pascal Soriot 3,799 25/02/2013 2939 25/02/2016
Pascal Soriot 15,966 28/03/2014 3904 28/03/2017
Marc Dunoyer 2,679 28/03/2014 3904 28/03/2017

Performance Share Plan

Director Number of AstraZeneca Shares Date of grant Award price (pence) Vesting date
Pascal Soriot 125,113 11/06/2013 3297 11/06/2016
Pascal Soriot 124,066 28/03/2014 3904 28/03/2017
Marc Dunoyer 90,853 01/08/2013 3302 01/08/2016
Marc Dunoyer 52,254 28/03/2014 3904 28/03/2017

AstraZeneca Investment Plan

Director Number of AstraZeneca Shares Date of grant Award price (pence) Vesting date
Pascal Soriot 89,960 11/06/2013 3297 01/01/2021
Pascal Soriot 20,677 28/03/2014 3904 01/01/2022
Marc Dunoyer 8,176 01/08/2013 3302 01/01/2021
Marc Dunoyer 8,709 28/03/2014 3904 01/01/2022

Restricted Share Award

Director Number of AstraZeneca Shares Date of grant Award price (pence) Vesting date
Pascal Soriot 20,732 26/10/2012 2894 01/10/2014
Pascal Soriot 20,732 26/10/2012 2894 01/10/2015

Restricted Share Plan

Director Number of AstraZeneca Shares Date of grant Award price (pence) Vesting date
Marc Dunoyer 9,103 01/08/2013 3302 15/06/2014
Marc Dunoyer 41,472 01/08/2013 3302 15/06/2015
Marc Dunoyer 14,930 01/08/2013 3302 01/08/2016

3(c)       Interests of connected advisers

Goldman, Sachs & Co

Class of relevant security: USD 0.25 ordinary and ADRs
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 15,066 0.00 222,448 0.01
(2) Derivatives (other than options): 0 0.00 0 0.00
(3) Options and agreements to purchase/sell: 205,600 0.02 177,900 0.01
     TOTAL: 220,666 0.02 400,348 0.03

Morgan Stanley B.V.

Class of relevant security: USD 0.25 ordinary and ADRs
Interests Short positions
Number % Number %
(1) Relevant securities owned and/or controlled: 0 0.00 0 0.00
(2) Derivatives (other than options): 0 0.00 0 0.00
(3) Options and agreements to purchase/sell: 6,883 0.00 0 0.00
     TOTAL: 6,883 0.0005 0 0.00

3(d)      Interests of employment benefit trusts

Entity Number of AstraZeneca Shares Percentage of existing issued shares (%)
AstraZeneca Employee Share Trust Limited 1,051,810 0.083324481
AstraZeneca Share Trust Limited 100 0.000007922

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3 for each additional class of relevant security.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).

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 party to the offer making the disclosure or any person acting in concert with it: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 party to the offer making the disclosure, or any person acting in concert with it, 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

Are any Supplemental Forms attached?

Supplemental Form 8 (Open Positions) YES
Supplemental Form 8 (SBL) NO
Date of disclosure: 12 May 2014
Contact name: Adrian Kemp, Company Secretary
Telephone number: 020 7604 8000

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.

SUPPLEMENTAL FORM 8(OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENT TO

PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1.         KEY INFORMATION

     Identity of the person whose open positions are being disclosed: GOLDMAN, SACHS & CO.
     Name of offeror/offeree in relation to whose relevant securities disclosure relates: ASTRAZENECA PLC (OFFEREE)

2.         OPTIONS AND DERIVATIVES

Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Typee.g. American, European etc. Expiry date
USD 0.25 ordinary Call Option Sold 100 75.0000 USD AMER 15/01/2016
USD 0.25 ordinary Call Option Sold 200 45.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 200 75.0000 USD AMER 17/05/2014
USD 0.25 ordinary Call Option Purchased 200 80.0000 USD AMER 18/10/2014
USD 0.25 ordinary Call Option Purchased 300 72.5000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 500 80.0000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Purchased 600 60.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 600 67.5000 USD AMER 17/05/2014
USD 0.25 ordinary Call Option Purchased 600 70.0000 USD AMER 15/01/2016
USD 0.25 ordinary Call Option Sold 800 67.5000 USD AMER 18/10/2014
USD 0.25 ordinary Call Option Sold 1,000 90.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Purchased 1,100 65.0000 USD AMER 17/05/2014
USD 0.25 ordinary Call Option Sold 1,100 70.0000 USD AMER 18/10/2014
USD 0.25 ordinary Call Option Purchased 1,200 72.5000 USD AMER 18/10/2014
USD 0.25 ordinary Call Option Sold 1,300 62.5000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Purchased 1,300 67.5000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 1,600 65.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 1,600 67.5000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Purchased 1,700 62.5000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 1,800 70.0000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Purchased 1,800 75.0000 USD AMER 18/10/2014
USD 0.25 ordinary Call Option Purchased 2,000 55.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Purchased 2,000 70.0000 USD AMER 17/05/2014
USD 0.25 ordinary Call Option Purchased 2,400 77.5000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 2,600 67.5000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Purchased 2,700 57.5000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 2,800 65.0000 USD AMER 15/01/2016
USD 0.25 ordinary Call Option Purchased 2,800 72.5000 USD AMER 17/05/2014
USD 0.25 ordinary Call Option Purchased 2,900 77.5000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Sold 3,100 60.0000 USD AMER 15/01/2016
USD 0.25 ordinary Call Option Purchased 3,100 75.0000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Purchased 3,300 75.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 3,300 85.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Purchased 3,500 72.5000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Purchased 4,600 65.0000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Purchased 5,400 75.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 7,100 72.5000 USD AMER 21/06/2014
USD 0.25 ordinary Call Option Sold 7,400 70.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Purchased 9,400 80.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Purchased 11,100 65.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 18,100 60.0000 USD AMER 17/01/2015
USD 0.25 ordinary Call Option Sold 21,900 70.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Sold 32,500 80.0000 USD AMER 19/07/2014
USD 0.25 ordinary Call Option Purchased 33,300 60.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 100 35.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 100 40.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Purchased 100 40.0000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Purchased 100 47.5000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Purchased 200 30.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 200 37.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 300 60.0000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Purchased 300 70.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 300 75.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 500 52.5000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 600 57.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 600 65.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 800 67.5000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Sold 900 27.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 900 32.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 900 70.0000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Purchased 1,000 55.0000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Purchased 1,000 60.0000 USD AMER 18/10/2014
USD 0.25 ordinary Put Option Purchased 1,000 60.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 1,000 75.0000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Sold 1,100 70.0000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Sold 1,200 67.5000 USD AMER 18/10/2014
USD 0.25 ordinary Put Option Sold 1,200 72.5000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Sold 1,300 40.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 2,100 30.0000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Purchased 2,100 50.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 2,100 65.0000 USD AMER 18/10/2014
USD 0.25 ordinary Put Option Sold 2,300 52.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 2,400 35.0000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Purchased 2,600 57.5000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Sold 2,600 65.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 3,100 67.5000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 3,600 70.0000 USD AMER 18/10/2014
USD 0.25 ordinary Put Option Sold 3,900 52.5000 USD AMER 15/01/2016
USD 0.25 ordinary Put Option Sold 4,100 70.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Purchased 4,300 60.0000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Sold 4,700 42.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 5,000 25.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 5,100 47.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 5,200 45.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Purchased 5,900 62.5000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Purchased 5,900 62.5000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Purchased 6,400 50.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 7,100 65.0000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Purchased 7,500 60.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 7,600 67.5000 USD AMER 21/06/2014
USD 0.25 ordinary Put Option Sold 8,400 65.0000 USD AMER 17/05/2014
USD 0.25 ordinary Put Option Purchased 8,600 55.0000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 10,000 55.0000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 10,400 62.5000 USD AMER 17/01/2015
USD 0.25 ordinary Put Option Sold 11,600 57.5000 USD AMER 19/07/2014
USD 0.25 ordinary Put Option Sold 16,300 62.5000 USD AMER 21/06/2014

3.         AGREEMENTS TO PURCHASE OR SELL

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplement form (Open Positions) with regard to contracts for differences ("CFD") or spread bets

The currency of all pieces and other monetary amounts should be stated.

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.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1.         KEY INFORMATION

Identity of person whose open positions are being disclosed: MORGAN STANLEY B.V.
Name of offeror/offeree in relation to whose relevant securities the disclosure relates: ASTRAZENECA PLC (OFFEREE)

2.         OPTIONS AND DERIVATIVES

Class of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Typee.g. American, European etc. Expiry date
USD 0.25 ordinary Call option Written 1,737 SEK 336.9 European 26/11/2015
USD 0.25 ordinary Call option Written 610 SEK 307.4 European 23/11/2017
USD 0.25 ordinary Call option Written 1,956 SEK 301.9 European 11/5/2016
USD 0.25 ordinary Call option Written 2,580 SEK 307.9 European 23/10/2017

3.         AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences (“CFDs”) or spread bets.

The currency of all prices and other monetary amounts should be stated.

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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