0001127602-21-027008.txt : 20211013 0001127602-21-027008.hdr.sgml : 20211013 20211013141924 ACCESSION NUMBER: 0001127602-21-027008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211008 FILED AS OF DATE: 20211013 DATE AS OF CHANGE: 20211013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lowrey Charles F CENTRAL INDEX KEY: 0001512629 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 211320953 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 2021-10-08 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001512629 Lowrey Charles F 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 1 1 Chief Executive Officer Chairman of the Board Common Stock 2021-10-08 4 M 0 39958 63.59 A 132767 D Common Stock 2021-10-08 4 S 0 37011 110.00 D 95756 D Common Stock 253 I By 401(k) 2016 Employee Stock Option (Right to Buy) 63.59 2021-10-08 4 M 0 39958 0 D 2026-02-09 Common Stock 39958 0 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 10, 2021. Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 95,756 shares directly and 253 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 238,787 vested stock options, 90,063 unvested stock options, 34,693 restricted stock units, and 209,366 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 7 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between January 01, 2021 and September 30, 2021 based on a plan statement dated September 30, 2021. 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 vested in three equal annual installments beginning on February 9, 2017. /s/ Richard J. Baker, attorney-in-fact 2021-10-13