0001145549-19-020964.txt : 20190709 0001145549-19-020964.hdr.sgml : 20190709 20190709162116 ACCESSION NUMBER: 0001145549-19-020964 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190430 FILED AS OF DATE: 20190709 DATE AS OF CHANGE: 20190709 EFFECTIVENESS DATE: 20190709 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL INVESTMENT PORTFOLIOS 4 CENTRAL INDEX KEY: 0000807394 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-04930 FILM NUMBER: 19947439 BUSINESS ADDRESS: STREET 1: 655 BROAD STREET STREET 2: 17TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 973-802-6469 MAIL ADDRESS: STREET 1: 655 BROAD STREET STREET 2: 17TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 FORMER COMPANY: FORMER CONFORMED NAME: DRYDEN MUNICIPAL BOND FUND DATE OF NAME CHANGE: 20030709 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL MUNICIPAL BOND FUND DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL BACHE MUNICIPAL BOND FUND DATE OF NAME CHANGE: 19910527 0000807394 S000004643 PGIM Muni High Income Fund C000012650 Class Z PHIZX C000012651 Class A PRHAX C000012652 Class B PMHYX C000012653 Class C PHICX C000190115 Class R6 PHIQX N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0000807394 XXXXXXXX false false false N-1A true Prudential Investment Portfolios 4 811-04930 0000807394 549300W5ICYQ5O9FF145 655 Broad Street 17th Floor Newark 07102-4077 US-NJ US 1-800-225-1852 The Bank of New York Mellon 240 Greenwich Street New York 10286 1-212-495-1784 Records related to its functions as custodian. Prudential Investment Portfolios 4 655 BROAD STREET 17TH FLOOR Newark 07102-4077 1-800-225-1852 Records related to its functions as registrant. PGIM INVESTMENTS LLC 655 Broad Street 17th Floor Newark 07102-4077 1-800-225-1852 Records related to its functions as advisor. PGIM, Inc. 655 BROAD STREET 17th Floor NEWARK 07102-4077 973-367-6089 Records related to its functions as sub advisor. Y N N-1A 1 Y Ellen S. Alberding N/A N Barry H. Evans N/A N Keith F. Hartstein N/A N Laurie Simon Hodrick N/A N Michael S. Hyland N/A N Stuart S. Parker 001767335 Y Scott E. Benjamin 004385999 Y Grace C. Torres N/A Y Brian K. Reid N/A N Kevin J. Bannon N/A N Linda W. Bynoe N/A N Dino Capasso N/A c/o PGIM Investments LLC 655 BROAD STREET NEWARK 07102-4077 XXXXXX Y N N N N N PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC 008-36540 000018353 N/A Y N KPMG LLP 185 5493003PVCIGA21K0K42 N N N N N N N PGIM Muni High Income Fund S000004643 XF4M2KJIB02007UI7B73 Y 5 0 0 N/A N N Y N Securities Finance Trust Company (eSecLending) 549300TG9E1QX4XYSB91 N N Revenue sharing split Cash collateral reinvestment fee N/A N/A Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N PGIM INVESTMENTS LLC 801-31104 000105670 N/A N PGIM, INC. 801-22808 000105676 5493009SX8QJBZYIGB87 Y N BNY Mellon Investment Servicing (US) Inc. 084-01761 549300CFZQLI9QMJ1Z03 N Y Prudential Mutual Fund Services LLC 084-05681 N/A Y N N Thomson Reuters Corporation 549300561UZND4C7B569 CA N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N ICE Data Services N/A N Bloomberg Finance L.P. 5493001KJTIIGC8Y1R12 N Y Euroclear Bank SA/NV 549300OZ46BRLZ8Y6F65 BE N Y Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Prudential Mutual Fund Services LLC 084-05681 SEC File number Y N N PGIM INVESTMENTS LLC 801-31104 SEC file number Y N N PRUCO SECURITIES LLC 008-16402 000005685 N/A 0.000000000000 Prudential Annuities Distributors, Inc. 008-39058 000021570 N/A 0.000000000000 Prudential Investment Management Services LLC 008-36540 000018353 N/A 0.000000000000 J.P. Morgan Securities LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 656.120000000000 656.120000000000 B. C. ZIEGLER AND COMPANY 008-00094 000000061 N/A 7789847.500000000000 Merrill Lynch Professional Clearing Corp. 008-33359 000016139 549300PMHS66E71I2D34 284450450.050000000000 Goldman Sachs & Co. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 19807484.800000000000 J.P. Morgan Securities LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 23199075.150000000000 WELLS FARGO SECURITIES LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 69069085.950000000000 RBC CAPITAL MARKETS LLC 008-45411 000031194 549300LCO2FLSSVFFR64 11013474.300000000000 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 105147288.400000000000 JEFFERIES LLC 008-15074 000002347 58PU97L1C0WSRCWADL48 6068092.220000000000 CitiGroup Global Markets Inc. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 169453906.250000000000 BARCLAYS CAPITAL, INC. 008-41342 000019714 AC28XWWI3WIBK2824319 10176984.900000000000 738455653.570000000000 N 843776183.000000000000 0.000000000000 Committed 900000000.000000000000 N N N true INTERNAL CONTROL RPT 2 pip4itemg1aiii.htm

Report of Independent Registered Public Accounting Firm

To the Shareholders of the Fund and Board of Trustees

Prudential Investment Portfolios 4:

In planning and performing our audits of the financial statements of PGIM Muni High Income Fund (the Fund), a series of Prudential Investment Portfolios 4, as of and for the year ended April 30, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion of the Funds's financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing and opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion.

Management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principals. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and trustees of the company; and (3) provide reasonable assurance regarding preventiion or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis.

our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of April 30, 2019.

This report is intended solely for the information and use of management and the Board of Tustees of Prudential Investment Portfolios 4 and the Securities and Exchange Commission and is not inteded to be and should not be used by anyone other than these specified parties.

/s/ KPMG LLP

New York, New York

June 17, 2019