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