0001127602-18-035711.txt : 20181210
0001127602-18-035711.hdr.sgml : 20181210
20181210170243
ACCESSION NUMBER: 0001127602-18-035711
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181201
FILED AS OF DATE: 20181210
DATE AS OF CHANGE: 20181210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TANJI KENNETH
CENTRAL INDEX KEY: 0001760674
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 181226855
MAIL ADDRESS:
STREET 1: 751 BROAD STREET, 4TH FLOOR
STREET 2: ATTN: CORPORATE COMPLIANCE
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
3
1
form3.xml
PRIMARY DOCUMENT
X0206
3
2018-12-01
0
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001760674
TANJI KENNETH
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
EVP and CFO
Common Stock
14501
D
Common Stock
38
I
By 401(k)
2011 Employee Stock Option (Right to Buy)
64.01
2021-02-08
Common Stock
9600
D
2012 Employee Stock Option (Right to Buy)
59.41
2022-02-14
Common Stock
11843
D
2013 Employee Stock Option (Right to Buy)
57.00
2023-02-12
Common Stock
17442
D
2014 Employee Stock Option (Right to Buy)
84.53
2024-02-11
Common Stock
5195
D
2015 Employee Stock Option (Right to Buy)
78.08
2025-02-10
Common Stock
9096
D
2016 Employee Stock Option (Right to Buy)
63.59
2026-02-09
Common Stock
8833
D
2016 Performance Shares
0
Common Stock
2909
D
2017 Employee Stock Option (Right to Buy)
110.45
2027-02-14
Common Stock
2669
D
2017 Performance Shares
0
Common Stock
2063
D
2018 Employee Stock Option (Right to Buy)
106.89
2028-02-13
Common Stock
2357
D
2018 Performance Shares
0
Common Stock
1785
D
The options vest in three equal annual installments beginning on February 8, 2012.
The options vest in three equal annual installments beginning on February 14, 2013.
The options vest in three equal annual installments beginning on February 12, 2014.
The options vest in three equal annual installments beginning on February 11, 2015.
The options vest in three equal annual installments beginning on February 10, 2016.
The options vest in three equal annual installments beginning on February 9, 2017.
Represents the target number of shares to be received relative to the Company's average ROE goals for the 2016 through 2018 performance period and relative performance against certain life insurance peer companies. The actual number of shares to be received will be determined by the Compensation Committee in February 2019.
The options vest in three equal annual installments beginning on February 14, 2018.
Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020.
The options vest in three equal annual installments beginning on February 13, 2019.
Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021.
/s/Andrew Hughes, attorney-in-fact
2018-12-10
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): TANJI POA
EXHIBIT 24
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes
and appoints each of Margaret M. Foran, John M. Cafiero, and Andrew Hughes,
signing singly, the undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of Prudential Financial, Inc. (the "Company"),
Forms 3, 4, and 5 (and any other Form that may be required by the Securities
and Exchange Commission) in accordance with Section 16(a) of the Securities
Exchange Act of 1934 and Form 144 in accordance with Rule 144 of the Securities
Act of 1933 and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Section 16(a)
Form or Form 144, complete and execute any amendment or amendments thereto, and
timely file such form with the United States Securities and Exchange Commission
and any stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation
and resubstitution, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934 and Rule 144 of the Securities Act of 1933.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to make filings pursuant to Section 16(a) and
Rule 144 with respect to the undersigned's holdings of and transactions in
securities issued by the Company, unless earlier revoked by the undersigned in a
signed writing delivered to the foregoing attorneys-in-fact.
This Power of Attorney shall be governed by and construed in accordance with New
Jersey law.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 14th day of November, 2018.
/s/Kenneth Y Tanji
Signature