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Prudential plc Capital/Financing Update 2017

Apr 7, 2017

50562_rns_2017-04-07_68c02e3a-33d8-4899-aebe-d926e4018554.pdf

Capital/Financing Update

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==> picture [104 x 57] intentionally omitted <==

Monthly Return of Equity Issuer on Movements in Securities

For the month ended (dd/mm/yyyy) : 31/03/2017

To : Hong Kong Exchanges and Clearing Limited

Name of Issuer Prudential plc Date Submitted 7 April 2017

  • I. Movements in Authorised Share Capital

  • Ordinary Shares (1) Stock code : 2378 Description : Ordinary shares of GBP 0.05 each Par value Authorised share No. of ordinary (State capital shares currency) (State currency) Balance at close of preceding month N/A Increase/(decrease) Balance at close of the month (2) Stock code : N/A Description : Par value Authorised share No. of ordinary (State capital shares currency) (State currency) Balance at close of preceding month Increase/(decrease) Balance at close of the month

  • Preference Shares

2. Preference Shares 2. Preference Shares 2. Preference Shares 2. Preference Shares 2. Preference Shares
Stock code :
N/A
Description :
No. of
preference
shares
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
Par value
(State
currency)
3.OtherClasses ofShares
Stock code :
N/A
Description :
No. of other
classes of
shares
Balance at close of preceding month
Increase/(decrease)
Balance at close of the month		 Authorised share
capital
(State currency)
Par value
(State
currency)
Total authorised share capital at the end of the month_(State_
currency):
N/A

Total authorised share capital at the end of the month (State currency) :

II. Movements in Issued Share Capital

Balance at close of
preceding month
Increase/ (decrease)
during the month
Balance at close of
the month		 No. of ordinary shares
No of preference
shares
No. of other
classes of shares
(1)
(2)		 No. of ordinary shares
No of preference
shares
No. of other
classes of shares
(1)
(2)		 No. of ordinary shares
No of preference
shares
No. of other
classes of shares
(1)
(2)		 No. of ordinary shares
No of preference
shares
No. of other
classes of shares
(1)
(2)
2,581,238,504
4,400,450
2,585,638,954		 N/A

 N/A
 N/A

III. Details of Movements in Issued Share Capital

Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer) Share Options (underShare OptionSchemes oftheIssuer)
Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Movement during themonth No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
Granted Exercised Cancelled Lapsed








1.2003/2013









Nil
Nil
Nil		 4,704
12,957
29,119		 Nil
5,266
797		 Nil 4,704
12,957
Nil		 127,399
Prudential
Savings-
Related Share
Option Scheme
(/ /)
Ordinaryshares
(Note 1)
2.2013/2023		 7,554 3,230,735
Prudential
Savings-
Related Share
Option Scheme
(/ /)
Ordinaryshares
(Note 1)


3.2011/2021
 Nil 166,557
Prudential
International
Savings-
Related Share
Option Scheme
(/ /)
Ordinaryshares
(Note 1)

III. Details of Movements in Issued Share Capital (Continued)

Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued)
Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Movement during themonth No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
Granted Exercised Cancelled Lapsed











4. 2011/2021 Nil
Nil
Nil
Nil		 Nil
9,013
87,577
18,264		 Nil
Nil
Nil
5,347		 Nil Nil
9,013
87,577
404,500		 Nil
Prudential
International
Assurance
Sharesave Plan
(/ /)
Ordinaryshares
(Note 1)
5.2002/2012		 Nil 359,177
Prudential
International
Savings-
Related Share
Option Scheme
for Non-
Employees
(/ /)
Ordinaryshares
(Note 1)
6.2012/2022		 Nil 2,762,204
Prudential
International
Savings-
Related Share
Option Scheme
for Non-
Employees
(/ /)
Ordinaryshares
(Note 1)
7. 2011		 Nil 3,034,671
Prudential
Agency
LongTerm
Incentive
Plan
(/ /)
Ordinaryshares
(Note 1)

III. Details of Movements in Issued Share Capital (Continued)

Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued) Share Options (under Share Option Schemes of the Issuer) (Continued)
Particulars of share
option scheme
including EGM
approval date
(dd/mm/yyyy) and
class of shares
issuable		 Movement during themonth No. of new shares of
issuer issued during
the month pursuant
thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month
Granted Exercised Cancelled Lapsed
8. 2013
Prudential
LongTerm
Incentive
Plan
(/ /)
Ordinaryshares
Nil
Nil
390,807
Nil
(Note 1)
Total A. (Ordinary shares)
(Preference shares)
(Other class)
Total funds raised during the month from exercise of
options (State currency)
GBP 1,245,319.22		 8. 2013 Nil 3,881,699
4,400,450
N/A
N/A		 14,943,757
Prudential
LongTerm
Incentive
Plan
(/ /)
Ordinaryshares

Warrants to Issue Shares of the Issuer which are to be Listed

Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Description of warrants
(Date ofexpiry-dd/mm/yyyy)		 Currency
of nominal
value
Nominal value
at close of
preceding
month		 Currency
of nominal
value
Nominal value
at close of
preceding
month
Exercised
during the
month
Nominal value
at close of the
month
Exercised
during the
month
Nominal value
at close of the
month
Exercised
during the
month
Nominal value
at close of the
month

No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month

No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month





1. N/A











N/A
N/A
N/A

( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
2.N/A

( / / )

( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3. N/A

( / / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4. N/A

( / / )
( / / )
Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
( / / )

Convertibles (i.e. Convertible into Shares of the Issuer which are to be Listed)

Class and description Class and description Currency of
amount
outstanding

Amount at
close of
preceding
month		 Converted
during the
month		 Amount at
close of the
month		 Amount at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month






1. N/A




Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy))
2. N/A


Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
3. N/A


Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)
4. N/A


Stock code (if listed)
Class of shares
issuable_(Note 1)_
Subscription price
EGM approval date
(if applicable)
(dd/mm/yyyy)

Any other Agreements or Arrangements to Issue Shares of the Issuer which are to be Listed, including Options (other than under Share Option Schemes)


Options (other than under Share Option Schemes)
Options (other than under Share Option Schemes)
Full particulars including EGM approval date (dd/mm/yyyy),
if applicable, and class of shares issuable:		 No. of new shares
of issuer issued
during the month
pursuant thereto
No. of new shares of
issuer which may be
issued pursuant
thereto as at close of
the month

1.
2.
3.
N/A		 N/A
N/A
N/A
( / / )
shares_(Note 1)_
N/A
( / / )
shares_(Note 1)_
N/A
( / / )
shares_(Note 1)_
Total D.(Ordinary shares)
(Preference shares)
(Other class)

Other Movements in Issued Share Capital


Type of Issue
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month
No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month

1. Rights issue
At price :
State
currency		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
2. Open offer
At price :
State
currency		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
3. Placing
At price :
State
currency		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
4. Bonus issue Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )

N/A
Type of Issue No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month

5. Scrip dividend
At price :
State
currency		 Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )

N/A
6. Repurchase of
shares		 N/A
Class
of
shares
repurchased_(Note 1)
Cancellation date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
7. Redemption of
shares		 N/A
Class
of
shares
redeemed_(Note 1)
Redemption date :
(dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
8. Consideration
issue
At price :
State
currency		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
Type of Issue No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month		 No. of new
shares of
issuer
issued
during the
month
pursuant
thereto
No. of new
shares of
issuer which
may be
issued
pursuant
thereto as at
close of the
month

9. Capital
reorganisation		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
10. Other
(Please specify)At price :
State
currency		 N/A
Class
of
shares
issuable_(Note 1)
Issue and allotment
date : (dd/mm/yyyy)
EGM approval date:
(dd/mm/yyyy)
_
( / / )
( / / )
Total E. (Ordinary shares)
(Preference shares)
(Other class)		 N/A
N/A
N/A
Total increase / (decrease) in ordinary shares during the month (i.e. Total of A to E):
(1)
(2)
Total increase / (decrease) in preference shares during the month (i.e. Total of A to E):
Total increase / (decrease) in other classes of shares during the month (i.e. Total of A to
E):
(These figures should be the same as the relevant figures under II above (“Movements in
Capital”).)		 4,400,450
N/A
N/A
N/A
Issued Share

Remarks (if any):

New ordinary shares are issued when options are exercised under the schemes in Section III, items 1, 2, 4, 5 and 6 (the “Schemes”). Thus, exercises of options under the Schemes will increase the Company’s issued

ordinary share capital.

From November 2014, in order to satisfy anticipated exercises of options under Section III, item 3, the 2011/2021 Prudential International Savings-Related Share Option Scheme (the “Scheme”), new ordinary shares are from time to time issued by the Company and allotted to Sanne Fiduciary Services Limited, thereby increasing the Company’s issued ordinary share capital. These shares are held by the Prudential Employee Share Trust on behalf of the participants of the Scheme and released to them when they exercise their option.

Section III, items 7 and 8, 2011 Prudential Agency Long Term Incentive Plan and 2013 Prudential Long Term Incentive Plan (the “Plans”) are discretionary share plans and not share option schemes. However, for the sake of completeness the figures are included in Section III as new shares are issued in order to satisfy awards. In order to satisfy anticipated releases of shares to participants following the vesting of awards under the Plans, new ordinary shares are from time to time issued by the Company and allotted to Sanne Fiduciary Services Limited, thereby increasing the Company’s issued ordinary share capital.

Submitted by: Wong Shuk Ying

Title: Deputy Group Secretary (Director, Secretary or other duly authorised officer)

Notes :

1. State the class of shares (e.g. ordinary, preference or other).

2. If there is insufficient space, please append the prescribed continuation sheet.

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