0001127602-22-001066.txt : 20220106 0001127602-22-001066.hdr.sgml : 20220106 20220106145345 ACCESSION NUMBER: 0001127602-22-001066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220104 FILED AS OF DATE: 20220106 DATE AS OF CHANGE: 20220106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALZON ROBERT CENTRAL INDEX KEY: 0001256465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 22514580 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 2022-01-04 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001256465 FALZON ROBERT 751 BROAD STREET, 5TH FLOOR ATTN. REGULATORY FILINGS UNIT NEWARK NJ 07102 1 EVP and Vice Chairman Common Stock 2022-01-04 4 M 0 9526 78.08 A 95721 D Common Stock 2022-01-04 4 S 0 8811 114.00 D 86910 D Common Stock 2022-01-04 4 M 0 20000 63.59 A 106910 D Common Stock 2022-01-04 4 S 0 17929 112.00 D 88981 D Common Stock 2022-01-04 4 M 0 20000 63.59 A 108981 D Common Stock 2022-01-04 4 S 0 17904 113.00 D 91077 D Common Stock 2022-01-04 4 M 0 10474 63.59 A 101551 D Common Stock 2022-01-04 4 S 0 9363 114.00 D 92188 D Common Stock 653 I By 401(k) Common Stock 3580 I By Spouse 2015 Employee Stock Option (Right to Buy) 78.08 2022-01-04 4 M 0 9526 0 D 2025-02-10 Common Stock 9526 10687 D 2016 Employee Stock Option (Right to Buy) 63.59 2022-01-04 4 M 0 20000 0 D 2026-02-09 Common Stock 20000 30474 D 2016 Employee Stock Option (Right to Buy) 63.59 2022-01-04 4 M 0 20000 0 D 2026-02-09 Common Stock 20000 10474 D 2016 Employee Stock Option (Right to Buy) 63.59 2022-01-04 4 M 0 10474 0 D 2026-02-09 Common Stock 10474 0 D The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2021. Following the transactions reported on this Form 4, Mr. Falzon continues to hold 92,188 shares directly and 653 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 142,551 vested stock options, 71,617 unvested stock options, 27,632 unvested restricted stock units and 164,498 target performance shares (the exact number awarded being dependent on achievement of performance goals). The options vested in three equal annual installments beginning on February 10, 2016. The options vested in three equal annual installments beginning on February 9, 2017. /s/ Richard J. Baker, attorney-in-fact 2022-01-06