Securities Registration: Employee Benefit Plan (s-8)
June 07 2019 - 3:14PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on June 7, 2019.
Registration
No. 333-
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
S-8
REGISTRATION STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
Nielsen Holdings plc
(Exact name of registrant as specified in its charter)
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England and Wales
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98-1225347
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification Number)
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85 Broad Street
New York, New York 10004
(646)
654-5000
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Nielsen House
John Smith Drive
Oxford
Oxfordshire, OX4
2WB
United Kingdom
+1 (646)
654-5000
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(Address, including zip code, and telephone number, including area code, of principal executive offices)
Nielsen 2019 Stock Incentive Plan
(Full Title of the Plan)
George D.
Callard
Chief Legal Officer
Nielsen Holdings plc
85
Broad Street
New York, New York 10004
(646)
654-5000
(Name and address, including zip code, and telephone number, including area code, of agent for service)
With copies to:
Joseph H. Kaufman
Simpson Thacher & Bartlett LLP
425 Lexington Avenue
New
York, New York 10017
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller reporting company and emerging growth company in Rule
12b-2
of the Exchange Act.
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Large accelerated filer
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☒
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Accelerated filer
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☐
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Non-accelerated
filer
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☐
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Smaller reporting company
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☐
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Emerging growth company
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☐
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION
OF REGISTRATION FEE
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Title of securities
to be
registered (1)(2)
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Amount
to be
registered (1)
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Proposed
maximum
offering price
per share (2)
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Proposed
maximum
aggregate
offering price (2)
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Amount of
registration fee
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Common Stock, par value 0.07 per share
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7,200,000
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$22.66
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$163,152,000.00
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$19,774.02
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(1)
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Covers 7,200,000 shares of common stock, par value 0.07 per share (the Common Stock) of
Nielsen Holdings plc (Nielsen or the Company) to be issued under the Nielsen 2019 Stock Incentive Plan (the Plan). In addition, pursuant to Rule 416(c) under the Securities Act of 1933, as amended (the
Securities Act), this Registration Statement also covers an indeterminate amount of interests to be offered or sold pursuant to the Plan.
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(2)
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Computed pursuant to Rule 457(c) and 457(h) of the Securities Act, solely for the purpose of determining the
amount of the registration fee, based upon the average of the high and low prices reported for the Companys Common Stock on the New York Stock Exchange on June 4, 2019.
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PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
The information specified in Items 1 and 2 of Part I of the Form
S-8
is omitted from this filing in
accordance with the provisions of Rule 428 under the Securities Act and the introductory note to Part I of the Form
S-8.
The documents containing the information specified in Part I will be delivered to
eligible employees as specified in Rule 428(b)(1). Such documents are not being filed with the Securities and Exchange Commission (the Commission) either as part of this Registration Statement or as prospectuses or prospectus supplements
pursuant to Rule 424 promulgated under the Securities Act.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
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Incorporation of Documents by Reference.
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The following documents filed with the Commission by the Company pursuant to the Securities Exchange Act of 1934, as amended (the
Exchange Act), are hereby incorporated by reference in this Registration Statement:
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(a)
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the Companys Annual Report on
Form
10-K
for the fiscal year ended December 31, 2018, filed with the Commission on February 28, 2019;
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(b)
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the Companys Quarterly Report on
Form
10-Q
for the quarter ended March 31, 2019, filed with the Commission on April 30, 2019;
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(d)
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the description of the Companys Common Stock contained in the Companys Registration Statement on
Form
8-A
filed with the Commission on January 20, 2011 pursuant to Section 12(b) of the Securities Act, including any amendments or supplements thereto, as updated by the description of the
Companys Common Stock contained in the Companys Current Report on
Form 8-K
filed with the
Commission on September 1, 2015.
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All other documents and reports subsequently filed by the Registrant under
Sections 13(a), 13(c), 14 or 15(d) of the Exchange Act (except for any portions of the Registrants Current Reports on Form
8-K
furnished pursuant to Item 2.02 or Item 7.01 thereof and any corresponding
exhibits thereto not filed with the Commission) after the date of this Registration Statement and prior to the filing of a post-effective amendment to this Registration Statement which indicates that all securities offered hereby have been sold or
which deregisters all securities then remaining unsold will be deemed to be incorporated herein by reference and to be a part hereof from the date of filing of such documents with the Commission.
Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or
superseded for purposes of this Registration Statement to the extent that a statement contained herein, or in any subsequently filed document which also is deemed to be incorporated by reference herein, modifies or supersedes such statement. Any
such statement shall not be deemed to constitute a part of this Registration Statement except as so modified or superseded.
Item 4.
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Description of Securities.
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Not applicable.
Item 5.
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Interests of Named Experts and Counsel.
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Not applicable.
Item 6.
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Indemnification of Directors and Officers.
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The Companys articles of association enable the Company to indemnify its directors and officers and to advance expenses to defend claims against
directors and officers to the full extent of English law. Subject to exceptions described below, English law does not permit a company to exempt a director or certain officers from, or indemnify him or her against, liability in connection with any
negligence, default, breach of duty or breach of trust by him or her in relation to the company. Indemnification is permitted for liabilities incurred in proceedings in which judgment is entered in favor of the director or officer and the director
or officer is acquitted, or the director or officer is held liable, but the court finds that he or she acted honestly or reasonably and the relief should be granted.
The exceptions under the English Companies Act of 2006 allow a company to (and the Companys articles of association provide that the Company may):
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purchase and maintain director and officer insurance (the D&O Insurance) against any liability
arising in connection with any negligence, default, breach of duty or breach of trust owed to the company. D&O Insurance generally covers costs incurred in defending allegations and compensatory damages that are awarded. D&O Insurance will
not cover damages awarded in relation to criminal acts, intentional malfeasance or other forms of dishonesty, regulatory offences or excluded matters such as environmental liabilities. In relation to these matters, D&O Insurance generally only
covers defense costs, subject to the obligation of the director or officer to repay the costs if an allegation of criminality, dishonesty or intentional malfeasance is subsequently admitted or found to be true;
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provide a qualifying third party indemnity provision (the QTPIP). This permits a company to indemnify
its directors and certain officers (and directors and certain officers of an associated company) in respect of proceedings brought by third parties (covering both legal costs and the amount of any adverse judgment, except for: the legal costs of an
unsuccessful defense of criminal proceedings or civil proceedings brought by the company itself, fines imposed in criminal proceedings and penalties imposed by regulatory bodies). The Company can therefore indemnify directors and certain officers
against such third party actions as class actions or actions following mergers and acquisitions or share issues; and
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make advancements to a director or certain officers in respect of defense costs in relation to civil and criminal
proceedings against him or her (even if the action is brought by the company itself). This is subject to the requirement for the director or officer to reimburse the company if the defense is unsuccessful. However, if the company has a QTPIP in
place whereby the director or officer is indemnified in respect of legal costs in civil proceedings brought by third parties, then the director or officer will not be required to reimburse the company as the cost of the loan can be paid under the
QTPIP.
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We have entered into indemnification agreements with the members of the board of directors and may enter into indemnification
agreements with certain of our officers. We also purchased directors and officers liability insurance for the members of the board of directors and certain of our officers.
Item 7.
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Exemption from Registration Claimed.
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Not applicable.
Reference is made to the Exhibit Index immediately preceding the signature pages hereto, which is incorporated by reference herein.
(a) The undersigned Registrant hereby undertakes:
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this
Registration Statement:
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(i)
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To include any prospectus required by Section 10(a)(3) of the Securities Act;
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(ii)
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To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement
(or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement. Notwithstanding the foregoing, any increase or decrease in
volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus
filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the Calculation of Registration
Fee table in the effective Registration Statement; and
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(iii)
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To include any material information with respect to the plan of distribution not previously disclosed in the
Registration Statement or any material change to such information in the Registration Statement;
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provided,
however
, that paragraphs (a)(1)(i) and (a)(1)(ii) above do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the registrant
pursuant to section 13 or section 15(d) of the Exchange Act that are incorporated by reference in the Registration Statement.
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(2)
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That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment
shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial
bona fide
offering thereof.
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(3)
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To remove from registration by means of a post-effective amendment any of the securities being registered which
remain unsold at the termination of the offering.
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(b) The undersigned registrant hereby undertakes that, for purposes of determining
any liability under the Securities Act, each filing of the registrants annual report pursuant to Section 13(a) or 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plans annual report pursuant to
Section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new Registration Statement relating to the securities offered therein, and the offering of such securities at that time
shall be deemed to be the initial
bona fide
offering thereof.
(c) Insofar as indemnification for liabilities arising under the Securities Act may
be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Commission such indemnification is against public policy as
expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the
registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the
matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final
adjudication of such issue.
EXHIBIT INDEX
SIGNATURES
Pursuant to the requirements of the Securities Act, the registrant certifies that it has reasonable grounds to believe that it meets all of
the requirements for filing on Form
S-8
and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York on
June 7, 2019.
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NIELSEN HOLDINGS PLC
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By:
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/s/ George D. Callard
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Name: George D. Callard
Title: Chief Legal
Officer
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POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints George D. Callard and Emily
Epstein, and each of them, any of whom may act without joinder of the other, the individuals true and lawful
attorneys-in-fact
and agents, with full power of
substitution and resubstitution, for the person and in his or her name, place and stead, in any and all capacities, to sign this Registration Statement and any and all amendments or supplements to the Registration Statement, including post-effective
amendments, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, and does hereby grant unto said
attorneys-in-fact
and agents, and each of them, 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 he or she might or could do in person, hereby ratifying and confirming all that said
attorneys-in-fact
and agents,
or any of them, or their or his or her substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant the requirements of the Securities Act, this Registration Statement has been signed
below by the following persons in the capacities and on the dates indicated.
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Signature
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Title
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Date
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/s/ David Kenny
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Chief Executive Officer and Director
(principal executive officer)
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June 7, 2019
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David Kenny
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/s/ David J. Anderson
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Chief Financial Officer and Chief Operating Officer
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June 7, 2019
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David J. Anderson
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(principal financial officer and principal accounting officer)
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/s/ James A. Attwood, Jr.
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Executive Chairman
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June 7, 2019
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James A. Attwood, Jr.
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/s/ Guerrino De Luca
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Director
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June 7, 2019
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Guerrino De Luca
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/s/ Karen M. Hoguet
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Director
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June 7, 2019
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Karen M. Hoguet
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/s/ Harish Manwani
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Director
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June 7, 2019
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Harish Manwani
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/s/ Robert C. Pozen
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Director
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June 7, 2019
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Robert C. Pozen
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/s/ David Rawlinson
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Director
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June 7, 2019
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David Rawlinson
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/s/ Javier G. Teruel
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Director
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June 7, 2019
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Javier G. Teruel
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/s/ Lauren Zalaznick
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Director
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June 7, 2019
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Lauren Zalaznick
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/s/ Emily Epstein
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Registrants Authorized Representative in the United States
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June 7, 2019
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Emily Epstein
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