6-K 1 a9821y.htm DIRECTOR/PDMR SHAREHOLDING a9821y
 
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 May, 2021
 
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
 
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 transactions
 
 
(i)    Acquisition of shares for nil consideration following the release of an award made in 2018 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 2018 under the Annual Incentive Plan by the Trustee
(iii)  Sale of shares in relation to the transactions described in (i) & (ii) above only to cover withholding tax and fees
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
221,721
 
(ii)
Nil
59,344
 
(iii)
GBP 14.9984
 
132,234
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
281,065
 
GBP 14.9984
e)
 
Date of the transactions
 
2021-05-17
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
 
Group Chief Financial Officer and Chief Operating 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 2018 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 2018 under the Annual Incentive Plan by the Trustee
(iii)  Sale of shares in relation to the transactions described in (i) & (ii) above only to cover withholding tax and fees
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
 
91,685
(ii)
Nil
 
34,289
(iii)
GBP 14.9984
 
59,269
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
125,974
 
GBP 14.9984
 
e)
 
Date of the transactions
 
2021-05-17
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 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 2018 under the Prudential Long Term Incentive Plan by the trustee
        of the Prudential plc Employee Share Trust (the "Trustee")
(ii)   Sale of shares in relation to the transaction described in (i) above only to cover withholding tax and fees
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
 
47,545
(ii)
GBP 14.9984
 
11,276
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
47,545
 
GBP 14.9984
e)
 
Date of the transactions
 
2021-05-17
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, Prudential Corporation Asia (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 2018 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 2018 under the Annual Incentive Plan by the Trustee
(iii)       Sale of shares in relation to the transaction described in (i) above only to cover withholding tax and fees
 
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
 
119,407
(ii)
Nil
 
38,511
(iii)
GBP 14.9984
 
9,363
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
157,918
 
GBP 14.9984
e)
 
Date of the transactions
 
2021-05-17
f)
 
Place of the transactions
 
London Stock Exchange
 
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
Name
 
Laura Prieskorn
 
2
 
Reason for the notification
 
a)
 
Position/status
 
Chief Executive Officer of Jackson Holdings LLC (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 2018 under the Prudential Long Term Incentive Plan by the
             trustee of the Prudential plc Employee Share Trust (the "Trustee")
(ii)        Sale of shares in relation to the transaction described in (i) above only to cover withholding tax and fees
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
 
44,252
(ii)
GBP 14.9984
 
18,474
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
44,252
 
GBP 14.9984
e)
 
Date of the transactions
 
2021-05-17
f)
 
Place of the transactions
 
London Stock Exchange
 
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
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 transactions
 
 
(i)         Acquisition of shares for nil consideration following the release of an award made in 2018 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 2018 under the Annual Incentive Plan by the Trustee
(iii)       Sale of shares in relation to the transactions described in (i) & (ii) above only to cover withholding tax and fees
 
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
Nil
 
51,293
(ii)
Nil
 
21,902
 
GBP 14.9984
 
34,437
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
73,195
 
GBP 14.9984
e)
 
Date of the transactions
 
2021-05-17
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 2018 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 Deferred Bonus Plan by the Trustee
(iii)       Acquisition of shares for nil consideration following the release of an award made in 2018 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
 
8,360
(ii)
Nil
 
46,634
(iii)
Nil
 
23,752
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
78,746
 
N/A
e)
 
Date of the transactions
 
2021-05-17
f)
 
Place of the transactions
 
London Stock Exchange
 
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
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 transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2024 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
 
305,382
(ii)
GBP 15.05
 
28,074
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
333,456
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
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
 
Group Chief Financial Officer and Chief Operating 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 2024 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
 
126,245 
(ii)
GBP 15.05
 
24,570
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
150,815
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
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 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 2024 subject to the achievement of performance criteria
(ii)        Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
111,215
 
(ii)
GBP 15.05 
 
24,889
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
136,104
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
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, Prudential Corporation Asia (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 2024 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
165,836
 
(ii)
GBP 15.05
33,225
 
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
199,061
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
f)
 
Place of the transactions
 
London Stock Exchange
 
 
 
1
 
Details of the person discharging managerial responsibilities / person closely associated
 
a)
 
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 transactions
 
 
(i)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2024 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
72,159
 
(ii)
 
GBP 15.05
15,773
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
87,932
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
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)    Receipt of an award under the Prudential Long Term Incentive Plan to be released in April 2024 subject to the achievement of performance criteria
(ii)   Receipt of an award under the Annual Incentive Plan to be released in April 2024
 
c)
 
Price(s) and volume(s)
 
 
 
Price(s)
 
Volume(s)
(i)
GBP 15.05
52,679
 
(ii)
GBP 15.05
 
6,657
d)
 
Aggregated information
 
- Aggregated volume
 
- Price
 
 
 
59,336
 
GBP 15.05
e)
 
Date of the transactions
 
2021-05-17
f)
 
Place of the transactions
 
London Stock Exchange
 
Additional information
 
About Prudential plc
 
Prudential plc is an Asia-led portfolio of businesses focused on structural growth markets. The business helps people get the most out of life through life and health insurance and retirement and asset management solutions. Prudential plc has 17 million life customers in its Asia and Africa businesses and is listed on stock exchanges in London, Hong Kong, Singapore and New York. 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, nor with The Prudential Assurance Company Limited, a subsidiary of M&G plc, a company incorporated in the United Kingdom.
 
 
 
Contact
 
Jennie Webb, Share Plans and Share Capital Manager, +44 (0)20 3977 9750
 
Sylvia Edwards, Deputy Group Secretary, +44 (0)20 3977 9214
 
 
 
 
 
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: 18 May 2021
 
 
 
 
PRUDENTIAL PUBLIC LIMITED COMPANY
 
 
 
By: /s/ Sylvia Edwards
 
 
 
Sylvia Edwards
 
Deputy Group Secretary