0001127602-19-030681.txt : 20191017 0001127602-19-030681.hdr.sgml : 20191017 20191017124640 ACCESSION NUMBER: 0001127602-19-030681 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191015 FILED AS OF DATE: 20191017 DATE AS OF CHANGE: 20191017 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: 191154663 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 4TH FLOOR STREET 2: ATTN.: CORPORATE COMPLIANCE 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 2019-10-15 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001555872 Sleyster Scott 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 Executive Vice President Common Stock 2019-10-15 4 M 0 12994 48.36 A 55746.12 D Common Stock 2019-10-15 4 S 0 12994 90.00 D 42752.12 D Common Stock 7578 I By 401(k) 2010 Employee Stock Option (Right to Buy) 48.36 2019-10-15 4 M 0 12994 0 D 2020-02-09 Common Stock 12994 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 12, 2019. Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 42,752 shares directly and 7,578 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 93,430 deferred compensation shares, 135,558 vested stock options, 47,807 unvested stock options, and 26,992 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 446 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2018 and September 30, 2019 based on a plan statement dated September 30, 2019. 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 9, 2011. /s/Andrew Hughes, attorney-in-fact 2019-10-17