0001127602-20-028873.txt : 20201112
0001127602-20-028873.hdr.sgml : 20201112
20201112180208
ACCESSION NUMBER: 0001127602-20-028873
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201111
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHMIDT TIMOTHY L
CENTRAL INDEX KEY: 0001760181
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 201308356
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
2020-11-11
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001760181
SCHMIDT TIMOTHY L
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
Senior Vice President
Common Stock
2020-11-11
4
S
0
5000
73.56
D
17450
D
Common Stock
240
I
By 401(k)
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.36 to $73.64, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 17,450 shares directly and 240 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 23,632 vested stock options, 12,565 unvested stock options, 5,251 restricted stock units and 19,073 target performance shares (the exact number awarded being dependent on achievement of performance goals).
Amount reported has been adjusted to include 3 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2020 and September 30, 2020 based on a plan statement dated September 30, 2020. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
/s/ John M. Cafiero, attorney-in-fact
2020-11-12