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Prudential PLC — Regulatory Filings 2017
Oct 6, 2017
4668_ffr_2017-10-06_9aa5c36d-40a8-4125-a8f6-ffecd90a31b1.zip
Regulatory Filings
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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 October , 2017
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-
Notification and public disclosure of transactions by persons discharging managerial responsibilities and persons closely associated with them
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Michael
Wells | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | 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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive
Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 3 |
| | | (ii) | GBP
17.405 | 1,342 |
| d) | Aggregated information - Aggregated volume - Price | 1,345 GBP
17.406149 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Michael
Wells | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | 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 | American Depositary Receipt ("ADR") 74435K204 | |
| b) | Nature of the transaction(s) | Acquisition
of ADRs in respect of dividends accruing to deferred share awards
under the Prudential Annual Incentive Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | USD
46.98 | 508 |
| d) | Aggregated information - Aggregated volume - Price | 508 USD
46.98 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | New
York Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Nicolaos
Nicandrou | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Executive
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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive
Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 14 |
| | | (ii) | GBP
17.405 | 834 |
| d) | Aggregated information - Aggregated volume - Price | 848 GBP
17.4135024 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | John
Foley | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Executive
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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive
Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 5 |
| | | (ii) | GBP
17.405 | 1,184 |
| d) | Aggregated information - Aggregated volume - Price | 1,189 GBP
17.407166 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Anne
Richards | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Executive
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 transaction(s) | Acquisition
of shares in respect of dividends accruing to deferred share awards
under the Prudential Annual Incentive Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | GBP
17.405 | 276 |
| d) | Aggregated information - Aggregated volume - Price | 276 GBP
17.405 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | London
Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Barry
Stowe | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Executive
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 | American Depositary Receipt ("ADR") 74435K204 | |
| b) | Nature of the transaction(s) | Acquisition
of ADRs in respect of dividends accruing to deferred share awards
under the Prudential Annual Incentive Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | USD
46.98 | 1,158 |
| d) | Aggregated information - Aggregated volume - Price | 1,158 USD
46.98 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | New
York Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Julian
Adams | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Group
Regulatory and Government Relations 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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive
Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 3 |
| | | (ii) | GBP
17.405 | 401 |
| d) | Aggregated information - Aggregated volume - Price | 404 GBP
17.408824 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Raghunath
Hariharan | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Director
of Strategy and Capital Market Relations (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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive Plan and the
Group Deferred Bonus Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 3 |
| | | (ii) | GBP
17.405 | 172 |
| d) | Aggregated information - Aggregated volume - Price | 175 GBP
17.413829 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Jonathan
Oliver | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Group
Communications 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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive Plan and the
Group Deferred Bonus Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 8 |
| | | (ii) | GBP
17.405 | 123 |
| d) | Aggregated information - Aggregated volume - Price | 131 GBP
17.4364504 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Alan
Porter | | |
| --- | --- | --- | --- | --- |
| 2 | Reason for the notification | | | |
| a) | Position/status | Group
General Counsel and Company Secretary (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 transaction(s) | (i)
Acquisition of shares under the dividend re-investment associated
with the Prudential Group Share Incentive Plan (ii)
Acquisition of shares in respect of dividends accruing to deferred
share awards under the Prudential Annual Incentive Plan and the
Group Deferred Bonus Plan | | |
| c) | Price(s) and volume(s) | | Price(s) | Volume(s) |
| | | (i) | GBP
17.92 | 7 |
| | | (ii) | GBP
17.405 | 297 |
| d) | Aggregated information - Aggregated volume - Price | 304 GBP
17.416859 | | |
| e) | Date of the transaction(s) | 2017-10-05 | | |
| f) | Place of the transaction(s) | London
Stock Exchange | | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Al-Noor
Ramji | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Group
Chief Digital 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 transaction(s) | Acquisition
of shares in respect of dividends accruing to deferred share awards
under the Prudential Annual Incentive Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | GBP
17.405 | 160 |
| d) | Aggregated information - Aggregated volume - Price | 160 GBP 17.405 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | London
Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Tim
Rolfe | |
| --- | --- | --- | --- |
| 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 transaction(s) | Acquisition
of shares in respect of dividends accruing to deferred share awards
under the Prudential Annual Incentive Plan and the Group Deferred
Bonus Plan | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | GBP
17.405 | 359 |
| d) | Aggregated information - Aggregated volume - Price | 359 GBP
17.405 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | London
Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Howard
Davies | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Non-Executive
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 transaction(s) | Acquisition
of shares under the Dividend Re-investment Plan for ordinary
shareholders | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | GBP
17.7533 | 74 |
| d) | Aggregated information - Aggregated volume - Price | 74 GBP
17.7533 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | London
Stock Exchange | |
| 1 — a) | Details of the person discharging managerial responsibilities /
person closely associated — Name | Lord
Turner | |
| --- | --- | --- | --- |
| 2 | Reason for the notification | | |
| a) | Position/status | Non-Executive
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 transaction(s) | Acquisition
of shares under the Dividend Re-investment Plan for ordinary
shareholders | |
| c) | Price(s) and volume(s) | Price(s) | Volume(s) |
| | | GBP
17.7533 | 52 |
| d) | Aggregated information - Aggregated volume - Price | 52 GBP
17.7533 | |
| e) | Date of the transaction(s) | 2017-10-05 | |
| f) | Place of the transaction(s) | London
Stock Exchange | |
Additional information
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.
Contact
Jennie Webb, Share Plans Manager, +44 (0)20 7548 2027
Chris Smith, Deputy Group Secretary, +44 (0)20 7548 2115
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: 06 October 2017
| PRUDENTIAL
PUBLIC LIMITED COMPANY |
| --- |
| By:
/s/ Chris Smith |
| Chris
Smith |
| Deputy
Company Secretary |
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