0001127602-20-028879.txt : 20201112
0001127602-20-028879.hdr.sgml : 20201112
20201112181204
ACCESSION NUMBER: 0001127602-20-028879
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201110
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TANJI KENNETH
CENTRAL INDEX KEY: 0001760674
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 201308399
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
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2020-11-10
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
2020-11-10
4
M
0
9600
0
A
31818
D
Common Stock
2020-11-10
4
S
0
9600
75.00
D
22218
D
Common Stock
43
I
By 401(k)
2011 Employee Stock Option (Right to Buy)
64.01
2020-11-10
4
M
0
9600
0
D
2021-02-08
Common Stock
9600
0
D
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2020.
Following the transactions reported on this Form 4, Mr. Tanji continues to hold 22,218 shares directly and 43 shares indirectly in a 401(k) account. Mr. Tanji also holds an additional 65,342 vested stock options, 47,452 unvested stock options, and 36,553 target performance shares (the exact number awarded being dependent on achievement of performance goals).
Amount reported has been adjusted to include 2 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2019 and September 30, 2020 based on a plan statement dated September 30, 2020. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
The options vest in three equal annual installments beginning on February 8, 2011.
/s/ John M. Cafiero, attorney-in-fact
2020-11-12