SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934
For the month of September, 2011
PRUDENTIAL PUBLIC LIMITED COMPANY
(Translation of registrant’s name into English)
LAURENCE POUNTNEY HILL,
LONDON, EC4R 0HH, ENGLAND
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.
Form 20-F x Form 40-F ¨
Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes ¨ No x
If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82-
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Date: September 28, 2011
| PRUDENTIAL PUBLIC LIMITED COMPANY | ||
| By: | /s/ Clive Burns | |
| Clive Burns | ||
| Head of Group Secretariat | ||
NOTIFICATION OF TRANSACTIONS OF DIRECTORS / PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY OR CONNECTED PERSONS
| 1. | Name of the issuer |
Prudential plc
| 2. | State whether the notification relates to (i) a transaction notified in accordance with DTR 3.1.2R; (ii) a disclosure made in accordance LR 9.8.6R(1); or (iii) a disclosure made in accordance with section 793 of the Companies Act (2006) |
(i)
| 3. | Name of person discharging managerial responsibilities/director |
M Coltman, H Davies, R Devey, J Foley, M McLintock, N Nicandrou, B Stowe, T Thiam, M Wells
| 4. | State whether notification relates to a person connected with a person discharging managerial responsibilities/director named in 3 and identify the connected person |
N/A
| 5. | Indicate whether the notification is in respect of a holding of the person referred to in 3 or 4 above or in respect of a non-beneficial interest |
Notification relates to the persons named in 3 above
| 6. | Description of shares (including class), debentures or derivatives or financial instruments relating to shares |
Ordinary shares of 5p each
| 7. | Name of registered shareholder(s) and, if more than one, the number of shares held by each of them |
M Coltman - shares held in trust in the name of BWCI Trust Company Limited
H Davies
R Devey - shares held in trust in the name of BWCI Trust Company Limited
J Foley - shares held in trust in the name of BWCI Trust Company Limited
M McLintock - shares held in trust in the name of BWCI Trust Company Limited
N Nicandrou - shares held in trust in the name of BWCI Trust Company Limited
- shares held in the Prudential Group Share Incentive Plan by Yorkshire Building Society Trustees
B Stowe - shares held in trust in the name of BWCI Trust Company Limited
- American Depository Receipts (ADRs) representing Prudential plc ordinary shares (Ratio 1 ADR equals 2 ordinary shares) held in trust in the name of BWCI Trust Company Limited
T Thiam - shares held in trust in the name of BWCI Trust Company Limited
M Wells - American Depository Receipts (ADRs) representing Prudential plc ordinary shares (Ratio 1 ADR equals 2 ordinary shares) held in trust in the name of BWCI Trust Company Limited
| 8. | State the nature of the transaction |
Dividend Re-investment Plan 2011 interim dividend on ordinary shares of Prudential plc
| 9. | Number of shares, debentures or financial instruments relating to shares acquired |
M Coltman
340 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
H Davies
22 ordinary shares
R Devey
1,049 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
John Foley
5,778 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the PruCap Deferred Share Plan
M McLintock
4,042 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
N Nicandrou
1,036 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
7 ordinary shares acquired in respect of shares held in trust under the Prudential Group Share Incentive Plan
B Stowe
315 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
674 American Depository Receipts (ADRs) representing 1,348 Prudential plc ordinary shares (Ratio 1 ADR equals 2 ordinary shares) held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Tidjane Thiam
4,938 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
M Wells
643 American Depository Receipts (ADRs) representing 1,286 Prudential plc ordinary shares (Ratio 1 ADR equals 2 ordinary shares) held in trust under Deferred Share Awards under the Group Deferred Bonus Plan
| 10. | Percentage of issued class acquired (treasury shares of that class should not be taken into account when calculating percentage) |
M Coltman - less than 0.00002%
H Davies - less than 0.0000009%
R Devey - less than 0.00005%
J Foley - less than 0.0003%
M McLintock - less than 0.0002%
N Nicandrou - less than 0.00005%
B Stowe - less than 0.00007%
T Thiam - less than 0.0002%
M Wells - less than 0.00006%
| 11. | Number of shares, debentures or financial instruments relating to shares disposed |
N/A
12. Percentage of issued class disposed (treasury shares of that class should not be taken into account when calculating percentage)
N/A
| 13. | Price per share or value of transaction |
£5.6319 per share, inclusive of 0.5% commission and 0.5% stamp duty
£5.6319 per share - shares held in Trust in the name of BWCI Trust Company Limited – date of transaction 22 September 2011
£5.60 per share - shares held in Trust with Yorkshire Building Society - date of transaction 22 September 2011
USD16.99 per ADR - ADRs held in Trust in the name of BWCI Trust Company Limited – date of transaction 22 September 2011
14. Date and place of transaction
See section 13 above - London in respect of shares, New York in respect of ADRs
15. Total holding following notification and total percentage holding following notification (any treasury shares should not be taken into account when calculating percentage)
M Coltman - 184,309 ordinary shares, less than 0.008%
H Davies - 3,083 ordinary shares, less than 0.0002%
R Devey – 728,463 ordinary shares, less than 0.02%
J Foley – 703,054 ordinary shares, less than 0.03%
M McLintock – 802,140 ordinary shares, less than 0.04%
N Nicandrou – 844,572 ordinary shares, less than 0.04%
B Stowe – 1,102,459 ordinary shares (made up of 491,666 ADRs representing 983,332 ordinary shares and 119,127 ordinary shares), less than 0.05%
T Thiam – 1,834,455 ordinary shares, less than 0.08%
M Wells – 1,101,514 ordinary shares, (made up of 550,757 ADRs representing 1,101,514 ordinary shares), less than 0.05%
| 16. | Date issuer informed of transaction |
27 September 2011 - London, New York
| 17. | Date of grant |
N/A
| 18. | Period during which or date on which it can be exercised |
N/A
| 19. | Total amount paid (if any) for grant of the option |
N/A
| 20. | Description of shares or debentures involved (class and number) |
N/A
| 21. | Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
N/A
| 22. | Total number of shares or debentures over which options held following notification |
N/A
| 23. | Any additional information |
N/A
| 24. | Name of contact and telephone number for queries |
Jennie Webb, Group Secretariat, 020 7548 2027
Name of duly authorised officer of issuer responsible for making notification
Clive Burns, Head of Group Secretariat, 020 7548 3805
Date of notification
28 September 2011 - London, New York
Prudential plc is not affiliated in any manner with Prudential Financial Inc, a company whose principal place of business is in the United States of America
Notes: This form is intended for use by an issuer to make an RIS notification required by DR 3.3.
| (1) | An issuer making a notification in respect of a transaction relating to the shares or debentures of the issuer should complete boxes 1 to 16, 23 and 24. |
| (2) | An issuer making a notification in respect of a derivative relating the shares of the issuer should complete boxes 1 to 4, 6, 8,13, 14, 16, 23 and 24. |
| (3) | An issuer making a notification in respect of options granted to a director/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
| (4) | An issuer making a notification in respect of a financial instrument relating to the shares of the issuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
END