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