0001127602-16-051961.txt : 20160512 0001127602-16-051961.hdr.sgml : 20160512 20160512162059 ACCESSION NUMBER: 0001127602-16-051961 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160510 FILED AS OF DATE: 20160512 DATE AS OF CHANGE: 20160512 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HORNER CONSTANCE J CENTRAL INDEX KEY: 0001174479 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 161643999 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-05-10 1 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001174479 HORNER CONSTANCE J 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 Common Stock 2016-05-10 4 M 0 8242 0 A 14962.82 D Common Stock 2016-05-10 4 D 0 8242 77.16 D 6720.82 D Notional Shares - Optional 0 2016-05-10 4 M 0 6447 0 D Common Stock 6447 0 D 2015 Restricted Stock Units 0 2016-05-10 4 M 0 1795 0 D Common Stock 1795 0 D Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors. Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors. Each restricted stock unit represents a contingent right to receive one share of PRU common stock or the economic equivalent thereof. The restricted stock units become payable, in PRU common stock or in cash, at the election of the reporting person, upon or following the reporting person's termination of service as a Director unless the reporting person elects an earlier date pursuant to the terms of the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors. The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2016. /s/John M. Cafiero, attorney-in-fact 2016-05-12