8-K 1 d751501d8k.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 14, 2019

 

 

PRUDENTIAL FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

 

 

New Jersey   001-16707   22-3703799
(State or other jurisdiction   (Commission File   (I.R.S. Employer
of incorporation)   Number)   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))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

  

Trading

Symbol(s)

  

Name of Each Exchange

on Which Registered

Common Stock, Par Value $.01   PRU   New York Stock Exchange
5.625% Junior Subordinated Notes   PRS   New York Stock Exchange

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 14, 2019. Shareholders voted as follows on the matters presented for a vote.

1. The nominees for election to the Board of Directors were elected based upon the following votes:

 

Nominee

    For      Against      Abstain      Broker
Non-Votes		  

Thomas J. Baltimore, Jr.

      178,524,050        83,035,878        1,104,250        41,598,636  

Gilbert F. Casellas

      250,111,571        11,439,147        1,114,954        41,598,636  

Robert M. Falzon

      256,678,026        4,891,355        1,095,113        41,598,636  

Mark B. Grier

      256,324,174        5,220,989        1,119,215        41,598,636  

Martina Hund-Mejean

      260,196,563        1,428,237        1,040,463        41,598,636  

Karl J. Krapek

      248,840,181        12,665,644        1,160,238        41,598,636  

Peter R. Lighte

      259,125,344        2,403,415        1,136,433        41,598,636  

Charles F. Lowrey

      244,406,441        16,327,870        1,930,815        41,598,636  

George Paz

      259,994,533        1,520,546        1,150,008        41,598,636  

Sandra Pianalto

      258,795,721        2,871,752        997,236        41,598,636  

Christine A. Poon

      257,281,125        4,354,107        1,029,971        41,598,636  

Douglas A. Scovanner

      259,933,198        1,556,379        1,176,889        41,598,636  

Michael A. Todman

      258,124,251        3,426,244        1,115,813        41,598,636  

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

Votes for approval: 292,025,113

Votes against: 11,316,469

Abstentions: 923,203

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: 242,419,189

Votes against: 17,882,959

Abstentions: 2,363,863

Broker non-votes: 41,598,636

4. The shareholder proposal regarding Right to Act by Written Consent was not approved based on the following votes:

Votes for approval: 35,294,770

Votes against: 224,667,010

Abstentions: 2,701,621

Broker non-votes: 41,598,636

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 14, 2019

 

PRUDENTIAL FINANCIAL, INC.

By:   /s/ Margaret M. Foran
Name:   Margaret M. Foran
Title:  

Chief Governance Officer, Senior Vice

President and Corporate Secretary

 

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