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