0001127602-23-029767.txt : 20231218 0001127602-23-029767.hdr.sgml : 20231218 20231218114647 ACCESSION NUMBER: 0001127602-23-029767 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANJI KENNETH CENTRAL INDEX KEY: 0001760674 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 231492698 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] ORGANIZATION NAME: 02 Finance 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 X0508 4 2023-12-14 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001760674 TANJI KENNETH 751 BROAD STREET, 5TH FLOOR ATTN: REGULATORY FILINGS UNIT NEWARK NJ 07102 1 EVP and CFO 0 Common Stock 2023-12-14 4 M 0 5195 84.53 A 52350 D Common Stock 2023-12-14 4 M 0 9096 78.08 A 61446 D Common Stock 2023-12-14 4 M 0 8833 63.59 A 70279 D Common Stock 2023-12-14 4 S 0 23124 105.14 D 47155 D Common Stock 50 I By 401(k) 2014 Employee Stock Option (Right to Buy) 84.53 2023-12-14 4 M 0 5195 0 D 2024-02-11 Common Stock 5195 0 D 2015 Employee Stock Option (Right to Buy) 78.08 2023-12-14 4 M 0 9096 0 D 2025-02-10 Common Stock 9096 0 D 2016 Employee Stock Option (Right to Buy) 63.59 2023-12-14 4 M 0 8833 0 D 2026-02-09 Common Stock 8833 0 D Following the transactions reported on this Form 4, Mr. Tanji continues to hold 47,155 shares directly and 50 shares indirectly in a 401(k) account. Mr. Tanji also holds an additional 60,385 vested stock options, 18,436 restricted stock units and 84,826 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, 2022, and September 30, 2023, based on a plan statement dated September 30, 2023. 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 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 2023-12-18