SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

KAPPLER ANN M

(Last)

(First)

(Middle)

751 BROAD STREET, 4TH FLR

ATTN.: CORPORATE COMPLIANCE

(Street)

NEWARK

07102

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/01/2020

3. Issuer Name and Ticker or Trading Symbol
PRUDENTIAL FINANCIAL INC [ PRU ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	EVP and General Counsel

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	6,159	D
Common Stock	673	I	By 401(k)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
2014 Employee Stock Option (Right to Buy)	⁽¹⁾	04/15/2024	Common Stock	223	$78.61	D
2015 Employee Stock Option (Right to Buy)	⁽²⁾	02/10/2025	Common Stock	1,516	$78.08	D
10/13/15 Employee Stock Option (Right to Buy)	⁽³⁾	10/13/2025	Common Stock	1,070	$77.15	D
2016 Employee Stock Option (Right to Buy)	⁽⁴⁾	02/09/2026	Common Stock	6,941	$63.59	D
2017 Employee Stock Option (Right to Buy)	⁽⁵⁾	02/14/2027	Common Stock	2,025	$110.45	D
2018 Employee Stock Option (Right to Buy)	⁽⁶⁾	02/13/2028	Common Stock	1,789	$106.89	D
2018 Performance Shares	⁽⁷⁾	⁽⁷⁾	Common Stock	2,708	⁽⁸⁾	D
2019 Employee Stock Option (Right to Buy)	⁽⁹⁾	02/12/2029	Common Stock	2,759	$93.36	D
2019 Performance Shares	⁽¹⁰⁾	⁽¹⁰⁾	Common Stock	3,536	⁽⁸⁾	D
2020 Employee Stock Option (Right to Buy)	⁽¹¹⁾	02/11/2030	Common Stock	3,379	$95.87	D
2020 Performance Share	⁽¹²⁾	⁽¹²⁾	Common Stock	3,756	⁽⁸⁾	D

Explanation of Responses:

1. The options vest in three equal annual installments beginning on April 15, 2015.

2. The options vest in three equal annual installments beginning on February 10, 2016.

3. The options vest in three equal annual installments beginning on October 13, 2016.

4. The options vest in three equal annual installments beginning on February 9, 2017.

5. The options vest in three equal annual installments beginning on February 14, 2018

6. The options vest in three equal annual installments beginning on February 13, 2019.

7. Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021.

8. The performance shares convert to common stock on a 1 to 1 basis.

9. The options vest in three equal annual installments beginning on February 12, 2020.

10. Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022.

11. The options vest in three equal annual installments beginning on February 11, 2021.

12. Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023.

	/s/ Richard J. Baker, attorney-in-fact	09/02/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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