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