0001127602-21-028939.txt : 20211112 0001127602-21-028939.hdr.sgml : 20211112 20211112145856 ACCESSION NUMBER: 0001127602-21-028939 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211111 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sleyster Scott CENTRAL INDEX KEY: 0001555872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 211402808 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 5TH FLOOR STREET 2: ATTN.: REGULATORY FILINGS UNIT 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 2021-11-11 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001555872 Sleyster Scott 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 Executive Vice President Common Stock 2021-11-11 4 M 0 16448 59.41 A 76463.12 D Common Stock 2021-11-11 4 M 0 5935 47.61 A 82398.12 D Common Stock 2021-11-11 4 S 0 22383 109.62 D 60015.12 D Common Stock 8241 I By 401(k) 2012 Employee Stock Option (Right to Buy) 59.41 2021-11-11 4 M 0 16448 0 D 2022-02-14 Common Stock 16448 0 D 6/12/2012 Employee Stock Option (Right to Buy) 47.61 2021-11-11 4 M 0 5935 0 D 2022-06-12 Common Stock 5935 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.02 to $109.80 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 transactions reported on this Form 4, Mr. Sleyster continues to hold 60,015 shares directly and 8,241 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 104,720 deferred compensations shares, 149,207 vested stock options, 41,234 unvested stock options, 13,509 restricted stock units, and 88,731 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 234 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2020 and September 30, 2021 based on a plan statement dated September 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 vest in three equal annual installments beginning on February 14, 2013. The options vest in three equal annual installments beginning on June 12, 2013. /s/ Richard J. Baker, attorney-in-fact 2021-11-12