0001127602-19-035351.txt : 20191218 0001127602-19-035351.hdr.sgml : 20191218 20191218143523 ACCESSION NUMBER: 0001127602-19-035351 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191107 FILED AS OF DATE: 20191218 DATE AS OF CHANGE: 20191218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALZON ROBERT CENTRAL INDEX KEY: 0001256465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 191292203 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 2019-11-07 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001256465 FALZON ROBERT 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 EVP and Vice Chairman Common Stock 2019-11-07 5 G 0 E 1100 0 D 63128 D Common Stock 599 I By 401(k) Common Stock 3580 I By Spouse Gift to a 501(c)(3) charitable foundation. Following the transactions reported on this Form 4, Mr. Falzon continues to hold 63,128 shares directly and 599 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 106,490 vested stock options, 93,353 unvested stock options and 42,434 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 8 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 28, 2019 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). /s/Andrew Hughes, attorney-in-fact 2019-12-18