0001127602-18-006384.txt : 20180215 0001127602-18-006384.hdr.sgml : 20180215 20180215162753 ACCESSION NUMBER: 0001127602-18-006384 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180213 FILED AS OF DATE: 20180215 DATE AS OF CHANGE: 20180215 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: 18618069 MAIL ADDRESS: STREET 1: C/O PRUDENTIAL FINANCIAL INC STREET 2: 751 BROAD ST. 4TH FL. CITY: NEWARK STATE: NJ ZIP: 01702 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-02-13 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 2018-02-13 4 M 0 28205 0 A 370159 D Common Stock 2018-02-13 4 F 0 11491 106.89 D 358668 D Common Stock 23525 I By 401(k) 2015 Performance Shares 0 2018-02-13 4 M 0 25548 0 D Common Stock 25548 0 D 2018 Employee Stock Option (Right to Buy) 106.89 2018-02-13 4 A 0 52016 0 A 2028-02-13 Common Stock 52016 52016 D 2018 Performance Shares 0 2018-02-13 4 A 0 19689 0 A Common Stock 19689 19689 D The Compensation Committee awarded these shares, the grant of which was made on February 10, 2015, and originally reported on a Form 4 filed with the SEC on February 12, 2015, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2015 through 2017 performance period. Represents shares withheld for the payment of taxes. Amount reported has been adjusted to include 592 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 and December 31, 2017 based on a plan statement dated December 31, 2017. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B). The options vest in three equal annual installments beginning on February 13, 2019. The performance shares convert to common stock on a 1 to 1 basis. Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021. /s/Andrew Hughes, attorney-in-fact 2018-02-15