Causeway Capital Form 8.3 - Aviva plc

 
TIDMAV. 
 
 

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

1.KEY INFORMATION

 
(a) Full name of discloser:                 Causeway Capital Management LLC 
(b) Owner or controller 
of interests and short 
positions  disclosed, if 
different from 1(a): 
The naming of nominee 
or vehicle companies 
is insufficient. For  a 
trust, the trustee(s), settlor and 
beneficiaries must be named. 
(c) Name of offeror/offeree                 Aviva plc 
in relation to whose 
relevant  securities this form relates: 
Use a separate form for 
each offeror/offeree 
(d) If an exempt fund manager connected 
with an offeror/offeree, 
state this and specify identity 
of offeror/offeree: 
(e) Date position held/dealing              March 26, 2015 (dealing) 
undertaken: 
For an opening position disclosure, 
state the latest 
practicable date prior to the disclosure 
(f) In addition to the company in           NO 
1(c) above, is the discloser                If YES, specify which: 
making disclosures in respect of 
any other party to the offer? 
If it is a cash offer or possible 
cash offer, state "N/A" 
 
 

2.POSITIONS OF THE PERSON MAKING THE DISCLOSURE

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.

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

 
Class of relevant     25p ordinary 
security: 
                      Interests                          Short positions 
                      Number                    %        Number   % 
(1) Relevant          65,543,775                2.220% 
securities 
owned 
and/or controlled: 
(2) Cash-settled      669,721 shares(economic   0.023% 
derivatives:          exposure 
                      only via total 
                      return swap with no 
                      voting rights) 
(3) Stock-settled 
derivatives 
(including 
options) 
and agreements 
to 
purchase/DEALING: 
TOTAL*:               66,213,496                2.24% 
 
 

* Total includes economic exposure obtained through total return swap, but there are no voting rights associated with this exposure.

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b)Rights to subscribe for new securities (including directors' and other employee options)

 
Class of relevant security in relation 
to which subscription  right exists: 
Details, including nature of the rights 
concerned and relevant  percentages: 
 
 

3.DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

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

(a)Purchases and sales

 
Class of relevant  Purchase/DEALING Number of securities Price per unit 
security 
25p ordinary       Sale          180,991 shares       GBP5.523 
 
 

(b)Cash-settled derivative transactions

 
Class of relevant    Product       Nature of             Number of reference   Price per unit 
security             description   dealing               securities 
                     e.g. CFD      e.g. 
                                   opening/closing 
                                   a long/short 
                                   position, 
                                   increasing/reducing 
                                   a long/short 
                                   position 
25p ordinary         Sale          Reducing              93,458 shares         GBP5.524 
                                   a long 
                                   position 
 
 

(c)Stock-settled derivative transactions (including options)

(i)Writing, selling, purchasing or varying

 
Class of    Product           Writing,       Number          Exercise price   Type             Expiry date   Option money 
relevant    descriptione.g.   purchasing,    of securities   per unit         e.g. American,                 paid/ 
security    call              selling,       to                               European etc.                  received 
            option            varying etc.   which option                                                    per unit 
                                             relates 
 
 

(ii)Exercise

 
Class of    Product       Exercising/   Number          Exercise price 
relevant    description   exercised     of securities   per unit 
security    e.g. call     against 
            option 
 
 

(d)Other dealings (including subscribing for new securities)

 
Class of relevant    Nature of dealing    Details   Price per unit (if 
security             e.g. subscription,             applicable) 
                     conversion 
 
 

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 person making the disclosure and any 
party to the offer or any person acting in 
concert with a party to  the offer: 
Irrevocable commitments and letters of intent 
should not be  included. 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 person making the disclosure 
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

 
Is a Supplemental Form 8 (Open Positions) attached?    NO 
 
 
Date of disclosure:    March 26, 2015 
Contact name:          Nicolas Chang 
Telephone number:      [phone] 
 
 

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 [e-mail] Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 
 
 
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