0001127602-22-001249.txt : 20220110 0001127602-22-001249.hdr.sgml : 20220110 20220110164203 ACCESSION NUMBER: 0001127602-22-001249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220107 FILED AS OF DATE: 20220110 DATE AS OF CHANGE: 20220110 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: 22521711 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 2022-01-07 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 2022-01-07 4 M 0 7504 84.53 A 99692 D Common Stock 2022-01-07 4 S 0 7031 115.00 D 92661 D Common Stock 2022-01-07 4 M 0 10687 78.08 A 103348 D Common Stock 2022-01-07 4 S 0 9869 115.00 D 93479 D Common Stock 653 I By 401(k) Common Stock 3580 I By Spouse 2014 Employee Stock Option (Right to Buy) 84.53 2022-01-07 4 M 0 7504 0 D 2024-02-11 Common Stock 7504 0 D 2015 Employee Stock Option (Right to Buy) 78.08 2022-01-07 4 M 0 10687 0 D 2025-02-10 Common Stock 10687 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 93,479 shares directly and 653 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 124,360 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 11, 2015. The options vested in three equal annual installments beginning on February 10, 2016. /s/ Richard J. Baker, attorney-in-fact 2022-01-10