Form D

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
AVIVA PLC
Jurisdiction of Incorporation/Organization
UN
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • COMMERCIAL UNION PLC
  • CGU PLC
  • CGNU PLC
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

ST HELENS 1 UNDERSHAFT
1 UNDERSHAFT
LONDON, X0 EC3P 3DQ
Phone Number: subscription required

Item 3. Related Persons

Name
ANDREW JOHN MOSS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MARK STEVEN HODGES
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ANDREA MONETA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
PHILLIP GORDON SCOTT
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOHN DAVID AINLEY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
ALAIN HENRI PIERRE DROMER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
THOMAS CHARLES GODLASKY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
SIMON CHRISTOPHER JOHN MACHELL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
AMANDA FELICITY MACKENZIE
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
IGAL MORDECIAH MAYER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
ANUPAM SAHAY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
MARY ELIZABETH FRANCIS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
RICHARD KARL GOELTZ
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
EULEEN YIU KIANG GOH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
CAROLE PIWNICA
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
COLIN MORVEN SHARMAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD

Item 3. Related Persons

Name
PHILLIPPE LESLIE VAN DE WALLE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOHN RUSSELL FOTHERINGHAM WALLS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JONATHAN SCOTT WHEWAY
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 4. Industry Group

INSURANCE

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
12/11/2009

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Other: STOCK DERIVATIVE UNITS (TIED TO AVIVA PLC ORDINARY SHARES)- AVIVA INVESTORS NORTH AMERICA LONG TERM INCENTIVE AWARDS

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
0

Item 13. Offering and Sales Amounts

Total Offering Amount
404107
Total Amount Sold
404107
Total Remaining to be Sold
0
Clarification of Response
OFFERING AMT AMT SOLD ARE ESTIMATED BASED ON THE APPROX. TOTAL DOLLAR AMT EXPECTED TO BE ALLOCATED TO STOCK DERIVATIVE UNITS UNDER THE LONG TERM INCENTIVE AWARDS AWARDED TO EMPLOYEE RECIPIENTS NO CONSIDERATION IS PAID OR PAYABLE BY EMPLOYEE RECIPIENTS

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
19

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
THERE ARE NO PROCEEDS OF THE OFFERING, AS NO CASH CONSIDERATION IS PAID OR PAYABLE BY EMPLOYEE RECIPIENTS OF THE STOCK DERIVATIVE UNIT AWARDS.

Signature and Submission

Issuer Name
AVIVA PLC
Issuer Signature
KIRSTINE ANN COOPER
Signer Name
KIRSTINE ANN COOPER
Signer Title
DEPUTY GROUP COMPANY SECRETARY AND LEGAL COUNSEL
Signature Date
12/18/2009
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