0001654954-22-004649.txt : 20220406 0001654954-22-004649.hdr.sgml : 20220406 20220406070705 ACCESSION NUMBER: 0001654954-22-004649 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220406 FILED AS OF DATE: 20220406 DATE AS OF CHANGE: 20220406 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL PLC CENTRAL INDEX KEY: 0001116578 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15040 FILM NUMBER: 22809365 BUSINESS ADDRESS: STREET 1: 1 ANGEL COURT CITY: LONDON STATE: X0 ZIP: EC2R 7AG BUSINESS PHONE: 011442075483737 MAIL ADDRESS: STREET 1: 1 ANGEL COURT CITY: LONDON STATE: X0 ZIP: EC2R 7AG 6-K 1 a4646h.htm DIRECTOR/PDMR SHAREHOLDING a4646h
 
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 April, 2022
 
PRUDENTIAL PUBLIC LIMITED COMPANY
 
(Translation of registrant's name into English)
 
1 Angel Court, London,
England, EC2R 7AG
(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-
 
 
 
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
  
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Mark FitzPatrick
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Interim Group Chief Executive (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)    Acquisition of shares for nil consideration following the release of an award made in 2019 under the Prudential Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)   Acquisition of shares for nil consideration following the release of an award made in 2019 under the Annual Incentive Plan by the Trustee
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
Nil 
27,814
 
(ii)
Nil 
40,926
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
68,740
 
N/A
e)
 
Date of the transactions
 
2022-04-04
f)
 
Place of the transactions
 
London Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
James Turner
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Chief Financial Officer (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)         Acquisition of shares for nil consideration following the release of an award made in 2019 under the Prudential Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)        Acquisition of shares for nil consideration following the release of an award made in 2019 under the Annual Incentive Plan by the Trustee
(iii)       Sale of shares in relation to the transaction described in (i) and (ii) above only to cover withholding tax and fees
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
Nil 
23,349
 
(ii)
Nil
26,166
 
(iii)
GBP 11.27413 
13,822
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
49,515
 
GBP 11.27413
e)
 
Date of the transactions
 
2022-04-04
f)
 
Place of the transactions
 
London Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Nicolaos Nicandrou
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Chief Executive, Asia and Africa (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)         Acquisition of shares for nil consideration following the release of an award made in 2019 under the Prudential Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)        Acquisition of shares for nil consideration following the release of an award made in 2019 under the Annual Incentive Plan by the Trustee
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
Nil 
38,945
 
(ii)
Nil 
56,848
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
95,793
 
N/A
 
e)
 
Date of the transactions
 
2022-04-04
f)
 
Place of the transactions
 
London Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Avnish Kalra
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Chief Risk and Compliance Officer (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)         Acquisition of shares for nil consideration following the release of an award made in 2019 under the Prudential Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)        Acquisition of shares for nil consideration following the release of an award made in 2019 under the PCA Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
Nil 
 3,476
 
(ii)
Nil
18,407
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
21,883
 
N/A
 
e)
 
Date of the transactions
 
2022-04-04
f)
 
Place of the transactions
 
London Stock Exchange
 

1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Jolene Chen
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Human Resources Director (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)         Acquisition of shares for nil consideration following the release of an award made in 2019 under the Prudential Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)        Acquisition of shares for nil consideration following the release of an award made in 2020 under the PCA Deferred Bonus Plan by the Trustee
(iii)       Acquisition of shares for nil consideration following the release of an award made in 2019 under the PCA Long Term Incentive Plan by the trustee of the Prudential plc Employee Share Trust (the "Trustee")
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
Nil 
10,180
 
(ii)
Nil 
62,286
 
(iii)
Nil
29,924
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
102,390
 
N/A
e)
 
Date of the transactions
 
2022-04-04
f)
 
Place of the transactions
 
London Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Mark FitzPatrick
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Interim Group Chief Executive (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2025
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
HKD 116.07
182,131 
 
(ii)
HKD 116.07
 47,926
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
e)
 
Date of the transactions
 
2022-04-05
f)
 
Place of the transactions
 
Hong Kong Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
James Turner
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Chief Financial Officer (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)         Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(ii)        Receipt of an award under the Annual Incentive Plan to be released in April 2025
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
HKD 116.07
182,217 
 
(ii)
HKD 116.07 
43,622
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
225,839
 
HKD 116.07
e)
 
Date of the transactions
 
2022-04-05
f)
 
Place of the transactions
 
Hong Kong Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Nicolaos Nicandrou
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Chief Executive, Asia and Africa (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2025
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
HKD 116.07
242,526 
 
(ii)
HKD 116.07
  66,902
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
309,428
 
HKD 116.07
e)
 
Date of the transactions
 
2022-04-05
f)
 
Place of the transactions
 
Hong Kong Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Avnish Kalra
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Chief Risk and Compliance Officer (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Prudential Asia & Africa (PAA) Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(iii)  Receipt of an award under the Prudential Deferred Bonus Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
HKD 116.07
94,770 
 
(ii)
HKD 116.07
64,008
 
(iii)
HKD 116.07
37,362
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
196,140
 
HKD 116.07
e)
 
Date of the transactions
 
2022-04-05
f)
 
Place of the transactions
 
Hong Kong Stock Exchange
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Jolene Chen
2
 
Reason for the notification
 
a)
 
Position/status
 
Group Human Resources Director (PDMR)
b)
 
Initial notification /Amendment
 
Initial notification
3
 
Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor
 
a)
 
Name
 
Prudential plc
b)
 
LEI
 
5493001Z3ZE83NGK8Y12
4
 
Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type of transaction; (iii) each date; and (iv) each place where transactions have been conducted
 
a)
 
Description of the financial instrument, type of instrument
 
Identification code
 
Ordinary shares of 5 pence each
 
GB0007099541
 
b)
 
Nature of the transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2025 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2025
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
Volume(s)
 
(i)
HKD 116.07
79,434 
 
(ii)
HKD 116.07
13,230
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
92,664
 
HKD 116.07
e)
 
Date of the transactions
 
2022-04-05
f)
 
Place of the transactions
 
Hong Kong Stock Exchange
 
 
 
Additional information
 
About Prudential plc
Prudential plc provides life and health insurance and asset management in Asia and Africa. The business helps people get the most out of life, by making healthcare affordable and accessible and by promoting financial inclusion. Prudential protects people's wealth, helps them grow their assets, and empowers them to save for their goals. The business has more than 18 million life customers and is listed on stock exchanges in London (PRU), Hong Kong (2378), Singapore (K6S) and New York (PUK). Prudential is not affiliated in any manner with Prudential Financial, Inc. a company whose principal place of business is in the United States of America, nor with The Prudential Assurance Company Limited, a subsidiary of M&G plc, a company incorporated in the United Kingdom. https://www.prudentialplc.com/
 
 
Contact
 
Jennie Webb, Senior Manager, Share Plans, +44 (0)20 3977 9750
 
 
 
 
 
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: 6 April 2022
 
 
 
 
PRUDENTIAL PUBLIC LIMITED COMPANY
 
 
 
By: /s/ Sylvia Edwards
 
 
 
Sylvia Edwards
 
Deputy Group Secretary