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