0001127602-21-024258.txt : 20210824 0001127602-21-024258.hdr.sgml : 20210824 20210824174557 ACCESSION NUMBER: 0001127602-21-024258 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210824 FILED AS OF DATE: 20210824 DATE AS OF CHANGE: 20210824 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: 211203086 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 2021-08-24 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 2021-08-24 4 M 0 6579 59.41 A 23076 D Common Stock 2021-08-24 4 S 0 6579 104.91 D 16497 D Common Stock 247 I By 401(k) 2012 Employee Stock Option (Right to Buy) 59.41 2021-08-24 4 M 0 6579 0 D 2022-02-14 Common Stock 6579 0 D Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 16,497 shares directly and 247 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 22,021 vested stock options, 7,597 unvested stock options, 6,264 restricted stock units and 32,374 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 4 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2020 and June 30, 2021 based on a plan statement dated June 30, 2021. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B). The options vested in three equal annual installments beginning on February 14, 2013. /s/ Richard J. Baker, attorney-in-fact 2021-08-24