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