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