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
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)
Clarification of Response
Item 3. Related Persons
Name
ALAIN HENRI PIERRE DROMER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
THOMAS CHARLES GODLASKY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
SIMON CHRISTOPHER JOHN MACHELL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
AMANDA FELICITY MACKENZIE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
IGAL MORDECIAH MAYER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ANUPAM SAHAY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARY ELIZABETH FRANCIS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RICHARD KARL GOELTZ
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
EULEEN YIU KIANG GOH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CAROLE PIWNICA
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
COLIN MORVEN SHARMAN
Address
subscription required
Relationship(s)
Clarification of Response
CHAIRMAN OF THE BOARD
Item 3. Related Persons
Name
PHILLIPPE LESLIE VAN DE WALLE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN RUSSELL FOTHERINGHAM WALLS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JONATHAN SCOTT WHEWAY
Address
subscription required
Relationship(s)
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