0001127602-24-007798.txt : 20240301
0001127602-24-007798.hdr.sgml : 20240301
20240301145222
ACCESSION NUMBER: 0001127602-24-007798
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240228
FILED AS OF DATE: 20240301
DATE AS OF CHANGE: 20240301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAPPLER ANN M
CENTRAL INDEX KEY: 0001280546
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 24709037
MAIL ADDRESS:
STREET 1: PRUDENTIAL FINANCIAL, INC.
STREET 2: 751 BROAD STREET, 5TH FLOOR
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
2024-02-28
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001280546
KAPPLER ANN M
751 BROAD STREET, 5TH FLR
ATTN.: REGULATORY FILINGS UNIT
NEWARK
NJ
07102
1
EVP and General Counsel
0
Common Stock
2024-02-28
4
M
0
1070
77.15
A
24662
D
Common Stock
2024-02-28
4
M
0
6941
63.59
A
31603
D
Common Stock
2024-02-28
4
S
0
7222
108.39
D
24381
D
Common Stock
798
I
By 401(k)
10/13/15 Employee Stock Option (Right to Buy)
77.15
2024-02-28
4
M
0
1070
0
D
2025-10-13
Common Stock
1070
0
D
2016 Employee Stock Option (Right to Buy)
63.59
2024-02-28
4
M
0
6941
0
D
2026-02-09
Common Stock
6941
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.39 to $108.42 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 sold at each separate price within the ranges set forth in footnote 1 to this Form 4.
Following the transaction reported on this Form 4, Ann Kappler continues to hold 24,381 shares directly and 798 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 19,254 restricted stock units and 57,328 target performance shares (the exact number awarded being dependent on achievement of performance goals).
The options vest in three equal annual installments beginning on October 13, 2016.
The options vested in three equal annual installments beginning on February 9, 2017.
/s/ Danny Fiore, attorney-in-fact
2024-03-01