0001127602-24-015485.txt : 20240515 0001127602-24-015485.hdr.sgml : 20240515 20240515164514 ACCESSION NUMBER: 0001127602-24-015485 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240513 FILED AS OF DATE: 20240515 DATE AS OF CHANGE: 20240515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALZON ROBERT CENTRAL INDEX KEY: 0001256465 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 24952057 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 2024-05-13 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001256465 FALZON ROBERT 751 BROAD STREET, 5TH FLOOR ATTN. REGULATORY FILINGS UNIT NEWARK NJ 07102 1 EVP and Vice Chairman 0 Common Stock 2024-05-13 4 M 0 66199 93.36 A 263082 D Common Stock 2024-05-13 4 S 0 60999 118.57 D 202083 D Common Stock 2024-05-13 4 M 0 74325 95.87 A 276408 D Common Stock 2024-05-13 4 S 0 69093 118.57 D 207315 D Common Stock 687 I By 401(k) Common Stock 3580 I By Spouse 2019 Employee Stock Option (Right to Buy) 93.36 2024-05-13 4 M 0 66199 0 D 2029-02-12 Common Stock 66199 0 D 2020 Employee Stock Option (Right to Buy) 95.87 2024-05-13 4 M 0 74325 0 D 2030-02-11 Common Stock 74325 0 D Following the transactions reported on this Form 4, Mr. Falzon continues to hold 207,315 shares directly and 687 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 55,453 vested stock options, 50,260 unvested restricted stock units and 217,164 target performance shares (the exact number awarded being dependent on achievement of performance goals). The options vest in three equal annual installments beginning on February 12, 2020. The options vest in three equal annual installments beginning on February 11, 2021. /s/ Richard J. Baker, attorney-in-fact 2024-05-15