SEC Info - Citibank, N.A./ADR - ‘F-6’ on 11/14/14 re: Astrazeneca PLC

As filed with the Securities and Exchange Commission on November 14, 2014

Registration No. 333 -

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

_________________________________

FORM F-6

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY

AMERICAN DEPOSITARY RECEIPTS

__________

ASTRAZENECA PLC

(Exact name of issuer of deposited securities as specified in its charter)

__________

[N/A]

(Translation of issuer’s name into English)

__________

England

(Jurisdiction of incorporation or organization of issuer)

_________________________________

CITIBANK, N.A.

(Exact name of depositary as specified in its charter)

__________

399 Park Avenue

New York, New York 10043

(877) 248-4237

(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)

__________

CT Corporation System

111 Eighth Avenue (13th floor)

New York, New York 10011

(212) 894-8940

(Address, including zip code, and telephone number, including area code, of agent for service)

_________________________________

Copies to:

John W. Banes, Esq.

Davis Polk & Wardwell LLP

99 Gresham Street

London EC2V 7NG

England

Herman H. Raspé, Esq.

Patterson Belknap Webb & Tyler LLP

1133 Avenue of the Americas

New York, New York 10036

_________________________________

It is proposed that this filing become effective under Rule 466:		o immediately upon filing.

		oon (Date) at (Time).

If a separate registration statement has been filed to register the deposited shares, check the following box : o

_________________________________

CALCULATION OF REGISTRATION FEE

Title of Each Class of Securities to be Registered	Amount to be Registered	Proposed Maximum Aggregate Price Per Unit*	Proposed Maximum Aggregate Offering Price**	Amount of Registration Fee
American Depositary Shares (ADS(s)), each ADS representing the right to receive one (1) ordinary Share of AstraZeneca plc	350,000,000 ADSs	$5.00	$17,500,000	$2,033.50

Each unit represents 100 ADSs.

Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of ADSs.

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, or until this Registration Statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.

This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.

PART I

INFORMATION REQUIRED IN PROSPECTUS

Cross Reference Sheet

Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED

Item Number and Caption			Location in Form of American Depositary Receipt (“Receipt”) Filed Herewith as Prospectus

1.	Name of Depositary and address of its principal executive office		Introductory Paragraph.

2.	Title of Receipts and identity of deposited securities		Face of Receipt - Top Center.

Terms of Deposit:

	(i)	The amount of deposited securities represented by one American Depositary Share ("ADSs")	Face of Receipt - Upper right corner.

	(ii)	The procedure for voting, if any, the deposited securities	Paragraphs (11) and (12).

	(iii)	The collection and distribution of dividends	Paragraph (4) and (10).

	(iv)	The transmission of notices, reports and proxy soliciting material	Paragraphs (8) and (12).

	(v)	The sale or exercise of rights	Paragraphs (4), (5), (10) and (11).

	(vi)	The deposit or sale of securities resulting from dividends, splits or plans of reorganization	Paragraphs (3), (4), (5), (10), and (13)

	(vii)	Amendment, extension or termination of the deposit agreement	Paragraphs (16) and (17) (no provision for extensions).

	(viii)	Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs	Paragraph (3).

	(ix)	Restrictions upon the right to deposit or withdraw the underlying securities	Paragraphs (1), (2), (3), (4), (6), (7) and (9).

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Item Number and Caption			Location in Form of American Depositary Receipt (“Receipt”) Filed Herewith as Prospectus

	(x)	Limitation upon the liability of the Depositary	Paragraphs (5) and (14)

3.	Fees and charges which may be imposed directly or indirectly on holders of ADSs		Paragraph (7).

Item 2. AVAILABLE INFORMATION			Paragraph (8).

The Company is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”). These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.

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PROSPECTUS

The Prospectus consists of the proposed form of American Depositary Receipt included as Exhibit A to the Form of Amended and Restated Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.

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PART II

INFORMATION NOT REQUIRED IN PROSPECTUS

Item 3. EXHIBITS

(a)

Form of Amended and Restated Deposit Agreement, by and among AstraZeneca PLC (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”). ___ Filed herewith as Exhibit (a).

(b)

Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby. ___ None.

(c)

Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. ___ None.

(d)

Opinion of counsel for the Depositary as to the legality of the securities to be registered. ___ Filed herewith as Exhibit (d).

(e)

Certificate under Rule 466. ___ None.

(f)

Powers of Attorney for certain officers and directors and the authorized representative of the Company. ___ Set forth on the signature pages hereto.

II-1

Item 4. UNDERTAKINGS

(a)

The Depositary undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.

(b)

If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule.

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SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity created by the Amended and Restated Deposit Agreement, by and among AstraZeneca PLC, Citibank, N.A., as depositary, and all Holders and Beneficial Owners from time to time of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 14th day of November, 2014.

	Legal entity created by the Amended and Restated Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing the right to receive one (1) Share of AstraZeneca PLC CITIBANK, N.A., solely in its capacity as Depositary

	By:	/s/ *Keith Galfo*
		Name: Keith Galfo
		Title: Vice President

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SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, AstraZeneca PLC certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned thereunto duly authorized, in London, England on November 14, 2014.

	ASTRAZENECA PLC

	By:	/s/ *Pascal Soriot*
		Name: Pascal Soriot
		Title: Chief Executive Officer

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POWERS OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints each of Pascal Soriot and Marc Dunoyer to act as his/her true and lawful attorney-in-fact and agent, with full power of substitution, for him/her and in his/her name, place and stead, in any and all such capacities, to sign any and all amendments, including post-effective amendments, and supplements to this Registration Statement, and to file the same, with all exhibits thereto and other documents in connection therewith, with the United States Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as s/he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his/her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement on Form F-6 has been signed by the following persons in the following capacities on November 14, 2014.

Signature		Title

/s/ *Leif Johansson*		Non-Executive Chairman of the Board of Directors
Leif Johansson

/s/ *Pascal Soriot*		Chief Executive Director and Executive Director
Pascal Soriot

/s/ *Marc Dunoyer*		Chief Financial Officer and Executive Director
Marc Dunoyer

/s/ *John Varley*		Non-Executive Director
John Varley

/s/ *Marcus Wallenberg*		Non-Executive Director
Marcus Wallenberg

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Signature		Title

/s/ *Dame Nancy Rothwell*		Non-Executive Director
Dame Nancy Rothwell

/s/ *Jean-Philippe Courtois*		Non-Executive Director
Jean-Philippe Courtois

/s/ *Rudy Markham*		Non-Executive Director
Rudy Markham

/s/ *Bruce Burlington*		Non-Executive Director
Bruce Burlington

/s/ *Baroness Shriti Vadera*		Non-Executive Director
Baroness Shriti Vadera

/s/ *Geneviève Berger*		Non-Executive Director
Geneviève Berger

/s/ *Graham Chipchase*		Non-Executive Director
Graham Chipchase

/s/ *Ann Cairns*		Non-Executive Director
Ann Cairns

Authorized Representative in the U.S. /s/ *Richard Kenny*
Richard Kenny

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Index to Exhibits

Exhibit	Document	Sequentially Numbered Page

(a)	Form of Amended and Restated Deposit Agreement

(d)	Opinion of counsel to the Depositary

This ‘F-6’ Filing	Date	Other Filings

Filed on:	11/14/14	4, F-6EF
		List all Filings

Citibank, N.A./ADR – ‘F-6’ on 11/14/14 re: Astrazeneca PLC

On: Friday, 11/14/14, at 1:19pm ET · Accession #: 1193805-14-2183 · File #: 333-200202

Previous ‘F-6’: ‘F-6’ on 10/22/14 · Next: ‘F-6’ on 11/28/14 · Latest: ‘F-6/A’ on 3/15/24

Registration of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) — Form F-6
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F-6 — Registration of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)

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Dates Referenced Herein and Documents Incorporated by Reference

Citibank, N.A./ADR – ‘F-6’ on 11/14/14 re: Astrazeneca PLC

On: Friday, 11/14/14, at 1:19pm ET · Accession #: 1193805-14-2183 · File #: 333-200202

Previous ‘F-6’: ‘F-6’ on 10/22/14 · Next: ‘F-6’ on 11/28/14 · Latest: ‘F-6/A’ on 3/15/24

Registration of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) — Form F-6Filing Table of Contents

F-6 — Registration of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)

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Dates Referenced Herein and Documents Incorporated by Reference

Registration of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) — Form F-6
Filing Table of Contents