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