0001127602-22-025952.txt : 20221117 0001127602-22-025952.hdr.sgml : 20221117 20221117163308 ACCESSION NUMBER: 0001127602-22-025952 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221115 FILED AS OF DATE: 20221117 DATE AS OF CHANGE: 20221117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Axel Robert CENTRAL INDEX KEY: 0001602678 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 221398877 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 5TH FLOOR STREET 2: ATTN.: REGULATORY FILINGS UNIT 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 2022-11-15 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001602678 Axel Robert 751 BROAD STREET, 5TH FLOOR ATTN: REGULATORY FILINGS UNIT NEWARK NJ 07102 1 SVP and Controller Common Stock 2022-11-15 4 S 0 6300 109.01 D 4691 D Common Stock 2022-11-15 4 M 0 502 87.45 A 5193 D Common Stock 2022-11-15 4 S 0 456 109.13 D 4737 D Common Stock 2022-11-15 4 M 0 1685 78.08 A 6422 D Common Stock 2022-11-15 4 S 0 1458 109.13 D 4964 D Common Stock 2022-11-15 4 M 0 4207 63.59 A 9171 D Common Stock 2022-11-15 4 S 0 3364 109.13 D 5807 D Common Stock 1254 I By 401(k) 3/11/2014 Employee Stock Option (right to buy) 87.45 2022-11-15 4 M 0 502 0 D 2024-03-11 Common Stock 502 0 D 2015 Employee Stock Option (Right to Buy) 78.08 2022-11-15 4 M 0 1685 0 D 2025-02-10 Common Stock 1685 0 D 2016 Employee Stock Option (Right to Buy) 63.59 2022-11-15 4 M 0 4207 0 D 2026-02-09 Common Stock 4207 0 D The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $108.99 to $109.03, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (1) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $109.11 to $109.18, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnote (2) to this Form 4. Following the transactions reported on this Form 4, Mr. Axel continues to hold 5,807 shares directly and 1,254 shares indirectly in a 401(k) account. Mr. Axel also holds an additional 1,485 Deferred Compensation shares, 10,115 vested stock options, 1,314 unvested stock options, 3,451 restricted stock units, and 14,438 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 51 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2021, and September 30, 2022, based on a plan statement dated September 30, 2022. 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 March 11, 2015. The options vest in three equal annual installments beginning on February 10, 2016. The options vested in three equal annual installments beginning on February 9, 2017. /s/ Richard J. Baker, attorney-in-fact 2022-11-17