0001127602-20-005745.txt : 20200214 0001127602-20-005745.hdr.sgml : 20200214 20200214172846 ACCESSION NUMBER: 0001127602-20-005745 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200211 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALZON ROBERT CENTRAL INDEX KEY: 0001256465 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 20622122 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 4/A 1 form4a.xml PRIMARY DOCUMENT X0306 4/A 2020-02-11 2020-02-13 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001256465 FALZON ROBERT 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 EVP and Vice Chairman Common Stock 74096 D 2016 Employee Stock Option (Right to Buy) 63.59 2026-02-09 Common Stock 50474 50474 D On February 13, 2020, a Form 4 was filed reporting, among other things, an exercise of options to purchase 50,474 shares of common stock and a sale of 39,748 shares of common stock. However, this option exercise and sale transaction were cancelled and did not occur. All other information reported in the February 13, 2020 Form 4 was correct and remains unchanged. The options vest in three equal annual installments beginning on February 9, 2017. /s/Andrew Hughes, attorney-in-fact 2020-02-14