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Form 8-K PRUDENTIAL FINANCIAL For: May 10

May 10, 2022 5:31 PM EDT

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8-K
PRUDENTIAL FINANCIAL INC false 0001137774 0001137774 2022-05-10 2022-05-10 0001137774 us-gaap:CommonStockMember 2022-05-10 2022-05-10 0001137774 pru:A5.625JuniorSubordinatedNotesMember 2022-05-10 2022-05-10 0001137774 pru:A4125JuniorSubordinatedNotesMember 2022-05-10 2022-05-10

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 10, 2022

 

 

PRUDENTIAL FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

 

 

New Jersey   001-16707   22-3703799

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(I.R.S Employer

Identification Number)

 

751 Broad Street
Newark, New Jersey 07102
(Address of principal executive offices and zip code)

(973) 802-6000

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:

 

Title of Each Class

 

Trading

Symbol(s)

 

Name of Each Exchange

on Which Registered

Common Stock, Par Value $.01   PRU   New York Stock Exchange
5.625% Junior Subordinated Notes   PRS   New York Stock Exchange
4.125% Junior Subordinated Notes   PFH   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 


Item 5.07

Submission of Matters to a Vote of Security Holders

The Annual Meeting of Shareholders of Prudential Financial, Inc. (the “Company”) was held on May 10, 2022. Shareholders voted as follows on the matters presented for a vote.

1. The nominees for election to the Board of Directors were elected, each for a one-year term, based upon the following votes:

 

Nominee

   For      Against      Abstain      Broker
Non-Votes
 

Thomas J. Baltimore

     150,652,076        65,550,908        1,993,965        46,724,443  

Gilbert F. Casellas

     199,291,601        16,805,565        2,099,783        46,724,443  

Robert M. Falzon

     206,621,753        9,808,047        1,767,149        46,724,443  

Martina Hund-Mejean

     208,425,158        8,015,465        1,756,326        46,724,443  

Wendy E. Jones

     213,537,518        2,856,633        1,802,798        46,724,443  

Karl J. Krapek

     203,453,896        12,782,786        1,960,267        46,724,443  

Peter R. Lighte

     210,530,094        5,592,236        2,074,619        46,724,443  

Charles F. Lowrey

     195,934,857        20,249,220        2,012,872        46,724,443  

George Paz

     213,493,917        2,778,056        1,924,976        46,724,443  

Sandra Pianalto

     211,339,289        4,911,040        1,946,620        46,724,443  

Christine A. Poon

     202,920,957        13,432,058        1,843,934        46,724,443  

Douglas A. Scovanner

     213,265,932        2,938,711        1,992,306        46,724,443  

Michael A. Todman

     208,348,170        8,029,988        1,818,791        46,724,443  

2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm was approved based upon the following votes:

Votes for approval: 251,258,245

Votes against: 12,134,769

Abstentions: 1,528,378

There were no broker non-votes for this item.

3. The proposal to approve, on an advisory basis, the compensation of the Company’s named executive officers was approved based upon the following votes:

Votes for approval: 201,265,603

Votes against: 13,843,516

Abstentions: 3,087,830

Broker non-votes: 46,724,443

4. The shareholder proposal to adopt the right to act by written consent was not approved based on the following votes:

Votes for approval: 25,684,824

Votes against: 188,319,653

Abstentions: 4,192,472

Broker non-votes: 46,724,443


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: May 10, 2022

 

PRUDENTIAL FINANCIAL, INC.
By:  

/s/ Margaret M. Foran

Name:   Margaret M. Foran
Title:  

Chief Governance Officer, Senior Vice

President and Corporate Secretary



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