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, 2012
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: April 2, 2012
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 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 |
B L Stowe
4. | State whether notification relates to aperson connected with aperson discharging managerial responsibilities/director named in 3 and identify theconnected person |
Relates to person named in 3 above
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 |
Relates to person named in 3 above
6. | Description ofshares (includingclass), debentures or derivatives or financial instruments relating toshares |
American Depository Receipts (ADRs) – representing a ratio 1 ADR equals 2 Prudential plc Ordinary Shares of 5p each
7. | Name of registered shareholder(s) and, if more than one, the number ofshares held by each of them |
Transaction 1 – BWCI Trust Company Limited
Transaction 2 – Raymond James (Client Account)
8. | State the nature of the transaction |
Transaction 1
Release of conditional awards under the Prudential Group Performance Share Plan and the Prudential Business Unit Performance Plan
Transaction 2
Gift of Shares for charitable purposes
9. | Number ofshares, debentures or financial instruments relating toshares acquired |
Transaction 1
204,649 ADRs (each ADR representing 2 Prudential plc Ordinary Shares of 5p each)
10. | Percentage of issuedclass acquired (treasury shares of thatclass should not be taken into account when calculating percentage) |
Less than 0.02%
11. | Number ofshares, debentures or financial instruments relating toshares disposed |
Transaction 1 – 102,325 ADRs to cover tax liabilities (an ADR represents 2 Prudential plc Ordinary Shares of 5p each)
Transaction 2 – 12,500 Ordinary Shares of 5p each
12. | Percentage of issuedclass disposed (treasury shares of thatclass should not be taken into account when calculating percentage) |
Less than 0.009%
13. | Price per share or value of transaction |
Transaction 1 – US$23.9311
Transaction 2 – Value of gift to charity £94,000
14. | Date and place of transaction |
29 March 2012, New York
15. | Total holding following notification and total percentage holding following notification (anytreasury shares should not be taken into account when calculating percentage) |
B Stowe – 940,741 ordinary shares (made up of 422,718 ADRs representing 845,436 Ordinary Shares and 95,305 Ordinary Shares), less than 0.04%
16. | Date issuer informed of transaction |
30 March 2012
If aperson discharging managerial responsibilities has been granted options by theissuercomplete the following boxes
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 ofshares 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 ofshares 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, Share Plans Adviser, 020 7548 2027
Name of duly authorised officer ofissuer responsible for making notification
Clive Burns, Head of Group Secretariat, 020 7548 3805
Date of notification
2 April 2012
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