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, 2009
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 24, 2009
PRUDENTIAL PUBLIC LIMITED COMPANY
By: | /S/ SYLVIA EDWARDS | |
Sylvia Edwards | ||
Assistant Group Secretary |
NOTIFICATION OF TRANSACTIONS OF DIRECTORS / PERSONS DISCHARGING MANAGERIAL RESPONSIBILITY OR CONNECTED PERSONS
1. | Name of theissuer |
Prudential plc
2. | State whether the notification relates to (i) a transaction notified in accordance withDTR 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 ofperson discharging managerial responsibilities/director |
A Turnbull, C Manning, M Garrett, T Thiam, M McLintock, K O’Donovan, N Prettejohn, M Tucker, B Stowe, J Foley, P Vacassin, S Whitehead
4. | State whether notification relates to aperson connected with aperson discharging managerial responsibilities/director named in 3 and identify theconnected person |
C Prettejohn – wife of N Prettejohn
5. | Indicate whether the notification is in respect of a holding of theperson referred to in 3 or 4 above or in respect of a non-beneficial interest |
Notification relates to the persons named in 3 and 4 above
6. | Description ofshares (includingclass), debentures or derivatives or financial instruments relating toshares |
Ordinary shares of 5p each
7. | Name of registered shareholder(s) and, if more than one, the number ofshares held by each of them |
Andrew Turnbull – shares held in own name
Clark Manning – shares held in own name
Clark Manning – shares held in trust in the name of BWCI Trust Company Limited
Michael Garrett – shares held with HSBC Global Custody Nominees UK Limited
Tidjane Thiam – shares held in trust in the name of BWCI Trust Company Limited
Michael McLintock – shares held in trust in the name of BWCI Trust Company Limited
Kathleen O’Donovan – shares held in own name
Nick Prettejohn – in own name & in the name of his wife
Nick Prettejohn – shares held in trust in the name of BWCI Trust Company Limited
Mark Tucker – shares held in own name
Mark Tucker – shares held in trust in the name of BWCI Trust Company Limited
Barry Stowe – shares held in trust in the name of BWCI Trust Company Limited
John Foley – shares held in a portfolio with NatWest Nominees
John Foley – shares held in trust in the name of BWCI Trust Company Limited
Priscilla Vacassin – shares held in trust in the name of BWCI Trust Company Limited
Stephen Whitehead – shares held in trust in the name of BWCI Trust Company Limited
8. | State the nature of the transaction |
Scrip Dividend on ordinary shares of Prudential plc – see section 9
9. | Number ofshares, debentures or financial instruments relating toshares acquired |
Andrew Turnbull
137 ordinary shares
Clark Manning
2,945 ordinary shares
328 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Michael Garrett
364 ordinary shares held with HSBC Global Custody Nominees UK Limited
Tidjane Thiam
1,303 ordinary shares acquired in respect of shares held in trust under a Deferred Share Award under the Prudential Annual Incentive Plan
Michael McLintock
4,954 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Kathleen O’Donovan
197 ordinary shares
Nick Prettejohn
1,696 ordinary shares – 1,695 shares on his holding and 1 share on his wife’s holding
2,093 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Mark Tucker
3,945 ordinary shares
1,882 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Barry Stowe
765 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
John Foley
940 ordinary shares held in a portfolio with NatWest Nominees
8,021 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the PruCap Deferred Share Award
Priscilla Vacassin
1,453 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
Stephen Whitehead
741 ordinary shares acquired in respect of shares held in trust under Deferred Share Awards under the Prudential Annual Incentive Plan
10. | Percentage of issuedclass acquired (treasury shares of thatclass should not be taken into account when calculating percentage) |
A Turnbull – less than 0.000006%
Clark Manning – less than 0.0002%
Michael Garrett – less than 0.00002%
Tidjane Thiam – less than 0.00006%
Michael McLintock – less than 0.0002%
Kathleen O’Donovan – less than 0.000008%
Nick Prettejohn – less than 0.0002%
Mark Tucker Less than 0.0003%
Barry Stowe Less than 0.00004%
John Foley Less than 0.0004%
Priscilla Vacassin Less than 0.00006%
Stephen Whitehead Less than 0.00003%
11. | Number ofshares, debentures or financial instruments relating toshares disposed |
N/A
12. | Percentage of issuedclass disposed (treasury shares of thatclass should not be taken into account when calculating percentage) |
N/A
13. | Price per share or value of transaction |
£5.2628
14. | Date and place of transaction |
24 September 2009, London
15. | Total holding following notification and total percentage holding following notification (anytreasury shares should not be taken into account when calculating percentage) |
Andrew Turnbull – 11,584 ordinary shares, less than 0.0005%
Clark Manning – 1,774,328 ordinary shares, less than 0.08%
Michael Garrett – 30,840 ordinary shares, less than 0.002%
Tidjane Thiam – 905,122 ordinary shares, less than 0.04%
Michael McLintock – 856,210 ordinary shares, less than 0.04%
Kathleen O’Donovan – 19,643 ordinary shares, 0.0008%
Nick Prettejohn – 1,054,169 ordinary shares, less than 0.05%
Mark Tucker – 1,436,383 ordinary shares, less than 0.06%
Barry Stowe – 641,768 ordinary shares (made up of 128,193 ADRs representing 256,386 ordinary shares and 385,382 ordinary shares), less than 0.03%
John Foley – 757,194 ordinary shares, less than 0.03%
Priscilla Vacassin – 556,030 ordinary shares, less than 0.03%
Stephen Whitehead – 278,986 ordinary shares, less than 0.02%
16. | Date issuer informed of transaction |
24 September 2009, London
18. | Date of grant |
N/A
19. | Period during which or date on which it can be exercised |
N/A
20. | Total amount paid (if any) for grant of the option |
N/A
21. | Description ofshares or debentures involved (class and number) |
N/A
22. | Exercise price (if fixed at time of grant) or indication that price is to be fixed at the time of exercise |
N/A
23. | Total number ofshares or debentures over which options held following notification |
N/A
24. | Any additional information |
N/A
25. | Name of contact and telephone number for queries |
Jennie Webb, Share Plans Administrator, 020 7548 2027
Name of duly authorised officer ofissuer responsible for making notification
Sylvia Edwards, Assistant Group Secretary, 0207 548 3826
Date of notification
24 September 2009, London
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 anRIS notification required byDR 3.3.
(1) | Anissuer making a notification in respect of a transaction relating to theshares or debentures of theissuer should complete boxes 1 to 16, 23 and 24. |
(2) | Anissuer making a notification in respect of a derivative relating theshares of theissuer should complete boxes 1 to 4, 6, 8,13, 14, 16, 23 and 24. |
(3) | Anissuer making a notification in respect of options granted to adirector/person discharging managerial responsibilities should complete boxes 1 to 3 and 17 to 24. |
(4) | Anissuer making a notification in respect of afinancial instrument relating to theshares of theissuer (other than a debenture) should complete boxes 1 to 4, 6, 8, 9, 11, 13, 14, 16, 23 and 24. |
END