0001127602-14-014328.txt : 20140409 0001127602-14-014328.hdr.sgml : 20140409 20140409144007 ACCESSION NUMBER: 0001127602-14-014328 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140407 FILED AS OF DATE: 20140409 DATE AS OF CHANGE: 20140409 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: Pelletier Stephen CENTRAL INDEX KEY: 0001602568 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 14753243 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 4TH FLOOR STREET 2: ATTN.: CORPORATE COMPLIANCE CITY: NEWARK STATE: NJ ZIP: 07102 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-04-07 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001602568 Pelletier Stephen 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 Executive Vice President 4/7/2014 Employee Stock Option (Right to Buy) 81.17 2014-04-07 4 A 0 13364 0 A 2024-04-07 Common Stock 13364 13364 D 4/7/2014 Performance Shares 0 2014-04-07 4 A 0 5243 0 A Common Stock 5243 5243 D The options vest in three equal annual installments beginning April 7, 2015. 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 for the 2014 through 2016 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2017. /s/John M. Cafiero, attorney-in-fact 2014-04-09