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