0001127602-21-020401.txt : 20210621 0001127602-21-020401.hdr.sgml : 20210621 20210621162716 ACCESSION NUMBER: 0001127602-21-020401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210617 FILED AS OF DATE: 20210621 DATE AS OF CHANGE: 20210621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jones Wendy Elizabeth CENTRAL INDEX KEY: 0001723472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 211030936 MAIL ADDRESS: STREET 1: 2025 HAMILTON AVE CITY: SAN JOSE STATE: CA ZIP: 95125 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 2021-06-17 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001723472 Jones Wendy Elizabeth 751 BROAD STREET, 4TH FLOOR ATTN: CORPORATE COMPLIANCE NEWARK NJ 07102 1 Notional Shares - Optional 0 2021-06-17 4 A 0 2 100.64 A Common Stock 2 208 D 1/4/21 Restricted Stock Units 0 2021-06-17 4 A 0 22 100.64 A Common Stock 22 2010 D 2021 Restricted Stock Units 2021-06-17 4 A 0 16 100.64 A Common Stock 16 1446 D Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors. Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors. Each restricted stock unit represents a contingent right to receive one share of PRU common stock. The restricted stock units vest in one year on January 4, 2022 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors. The restricted stock units vest the earlier of the annual meeting or in one year on May 11, 2022 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors. /s/ Richard J. Baker, attorney-in-fact 2021-06-21