0001127602-15-033117.txt : 20151203 0001127602-15-033117.hdr.sgml : 20151203 20151203150312 ACCESSION NUMBER: 0001127602-15-033117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151201 FILED AS OF DATE: 20151203 DATE AS OF CHANGE: 20151203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL FINANCIAL INC CENTRAL INDEX KEY: 0001137774 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 223703799 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 751 BROAD ST CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 9738026000 MAIL ADDRESS: STREET 1: 751 BROAD ST CITY: NEWARK STATE: NJ ZIP: 07102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRIER MARK B CENTRAL INDEX KEY: 0001184670 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 151267185 MAIL ADDRESS: STREET 1: C/O PRUDENTIAL FINANCIAL INC STREET 2: 751 BROAD ST. 4TH FL. CITY: NEWARK STATE: NJ ZIP: 01702 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2015-12-01 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001184670 GRIER MARK B 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 1 Vice Chairman Common Stock 2015-12-01 4 M 0 63669 76.15 A 363997 D Common Stock 2015-12-01 4 S 0 62245 86.93 D 301752 D Common Stock 22002 I By 401(k) 2/14/06 Employee Stock Option (Right to Buy) 76.15 2015-12-01 4 M 0 63669 0 D 2016-02-14 Common Stock 63669 0 D The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2015. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.57 to $87.59 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Following the transactions reported on this Form 4, Mr. Grier continues to hold 301,752 shares directly and 22,002 shares indirectly in a 401(k) account. Mr. Grier also holds an additional 212,237 vested stock options, 178,978 unvested stock options, and 73,671 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 569 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2014 and September 30, 2015 based on a plan statement dated September 30, 2015. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B). The option vests in three equal annual installments beginning on February 14, 2007. /s/John M. Cafiero, attorney-in-fact 2015-12-03 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): GRIER POWER OF ATTORNEY 11-24-2015 EXHIBIT 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Margaret M. Foran, John M. Cafiero, and Andrew Hughes, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Prudential Financial, Inc. (the "Company"), Forms 3, 4, and 5 (and any other Form that may be required by the Securities and Exchange Commission) in accordance with Section 16(a) of the Securities Exchange Act of 1934 and Form 144 in accordance with Rule 144 of the Securities Act of 1933 and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Section 16(a) Form or Form 144, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation and resubstitution, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 and Rule 144 of the Securities Act of 1933. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to make filings pursuant to Section 16(a) and Rule 144 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. This Power of Attorney shall be governed by and construed in accordance with New Jersey law. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 24th day of November, 2015. /s/Mark B. Grier Signature