0001127602-22-004634.txt : 20220211 0001127602-22-004634.hdr.sgml : 20220211 20220211172832 ACCESSION NUMBER: 0001127602-22-004634 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220209 FILED AS OF DATE: 20220211 DATE AS OF CHANGE: 20220211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sleyster Scott CENTRAL INDEX KEY: 0001555872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 22622956 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 5TH FLOOR STREET 2: ATTN.: REGULATORY FILINGS UNIT CITY: NEWARK STATE: NJ ZIP: 07102 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 2022-02-09 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001555872 Sleyster Scott 751 BROAD STREET, 5TH FLOOR ATTN: REGULATORY FILINGS UNIT NEWARK NJ 07102 1 Executive Vice President Common Stock 2022-02-09 4 M 0 8659 84.53 A 81084.12 D Common Stock 2022-02-09 4 S 0 8039 121.07 D 73045.12 D Common Stock 2022-02-09 4 M 0 23983 57.00 A 97028.12 D Common Stock 2022-02-09 4 S 0 20912 121.18 D 76116.12 D Common Stock 2022-02-09 4 I 0 6228 121.19 D 2092 I By 401(k) 2014 Employee Stock Option (Right to Buy) 84.53 2022-02-09 4 M 0 8659 0 D 2024-02-11 Common Stock 8659 0 D 2013 Employee Stock Option (Right to Buy) 57.00 2022-02-09 4 M 0 23983 0 D 2023-02-12 Common Stock 23983 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.06 to $121.09, 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 (1) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.15 to $121.26 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. Sleyster continues to hold 76,116 shares directly and 2,092 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 16,573 deferred compensations shares, 130,829 vested stock options, 26,970 unvested stock options, 22,576 restricted stock units, and 91,508 target performance shares (the exact number awarded being dependent on achievement of performance goals). The options vest in three equal annual installments beginning on February 11, 2015. The options vest in three equal annual installments beginning on February 12, 2014. /s/ Richard J. Baker, attorney-in-fact 2022-02-11