0001193125-18-156092.txt : 20180508 0001193125-18-156092.hdr.sgml : 20180508 20180508165102 ACCESSION NUMBER: 0001193125-18-156092 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180508 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20180508 DATE AS OF CHANGE: 20180508 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 18815412 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 8-K 1 d585015d8k.htm 8-K 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 8, 2018

 

 

PRUDENTIAL FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

 

 

New Jersey   001-16707   22-3703799

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(I.R.S. Employer

Identification No.)

751 Broad Street

Newark, New Jersey 07102

(Address of principal executive offices and zip code)

(973) 802-6000

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

  ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders

The Annual Meeting of Shareholders of Prudential Financial, Inc. (the “Company”) was held on May 8, 2018. Shareholders voted as follows on the matters presented for a vote.

1. The nominees for election to the Board of Directors were elected, each for a one-year term, based upon the following votes:

 

Nominee

    For      Against      Abstain      Broker
Non-Votes		  

Thomas J. Baltimore

      267,168,383        1,976,604        1,190,914        39,943,829  

Gilbert F. Casellas

      256,724,644        9,409,850        4,199,521        39,943,829  

Mark B. Grier

      263,089,956        6,127,535        1,118,079        39,943,829  

Martina Hund-Mejean

      268,135,044        1,044,628        1,154,927        39,943,829  

Karl J. Krapek

      263,205,460        5,868,204        1,261,751        39,943,829  

Peter R. Lighte

      267,802,563        1,298,045        1,234,328        39,943,829  

George Paz

      267,832,425        1,161,691        1,342,122        39,943,829  

Sandra Pianalto

      263,633,617        5,625,818        1,076,189        39,943,829  

Christine A. Poon

      265,128,820        4,045,828        1,160,230        39,943,829  

Douglas A. Scovanner

      267,984,774        1,125,436        1,226,487        39,943,829  

John R. Strangfeld

      262,304,422        4,512,455        3,518,967        39,943,829  

Michael A. Todman

      267,938,566        1,174,361        1,223,797        39,943,829  

2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2018 was approved based upon the following votes:

Votes for approval: 301,722,573

Votes against: 7,562,778

Abstentions: 995,437

There were no broker non-votes for this item.

3. The proposal to approve, on an advisory basis, the compensation of the Company’s named executive officers was approved based upon the following votes:

Votes for approval: 255,465,664

Votes against: 11,800,873

Abstentions: 3,070,127

Broker non-votes: 39,943,829

4. The shareholder proposal regarding an independent Board Chairman was not approved based on the following votes:

Votes for approval: 106,630,149

Votes against: 161,583,541

Abstentions: 2,120,483

Broker non-votes: 39,943,829

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: May 8, 2018

 

PRUDENTIAL FINANCIAL, INC.

By:  

/s/ Margaret M. Foran

  Name:   Margaret M. Foran
    Title:   Chief Governance Officer, Senior Vice
President and Corporate Secretary