0001127602-17-027601.txt : 20170918 0001127602-17-027601.hdr.sgml : 20170918 20170918145823 ACCESSION NUMBER: 0001127602-17-027601 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170914 FILED AS OF DATE: 20170918 DATE AS OF CHANGE: 20170918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pianalto Sandra CENTRAL INDEX KEY: 0001614199 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 171089763 MAIL ADDRESS: STREET 1: 1000 EATON BOULEVARD CITY: CLEVELAND STATE: OH ZIP: 44122 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 2017-09-14 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001614199 Pianalto Sandra 751 BROAD STREET, 4TH FLOOR ATTN: CORPORATE COMPLIANCE NEWARK NJ 07102 1 Notional Shares - Mandatory 0 2017-09-14 4 A 0 28 101.97 A Common Stock 28 3845 D 2017 Restricted Stock Units 2017-09-14 4 A 0 10 101.97 A Common Stock 10 1410 D Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors. Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2. Each restricted stock unit represents a contingent right to receive one share of PRU common stock. The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2018 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors. /s/Andrew Hughes, attorney-in-fact 2017-09-18