UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM8-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 14, 2019
PRUDENTIAL FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
| New Jersey | 001-16707 | 22-3703799 | ||
| (State or other jurisdiction | (Commission File | (I.R.S. Employer | ||
| of incorporation) | Number) | Identification No.) |
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 Form8-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 Rule14a-12 under the Exchange Act (17 CFR240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule14d-2(b) under the Exchange Act (17 CFR240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule13e-4(c) under the Exchange Act (17 CFR240.13e-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 |
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 Rule12b-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 14, 2019. Shareholders voted as follows on the matters presented for a vote.
1. The nominees for election to the Board of Directors were elected based upon the following votes:
Nominee | For | Against | Abstain | Broker Non-Votes | ||||||||||||
Thomas J. Baltimore, Jr. | 178,524,050 | 83,035,878 | 1,104,250 | 41,598,636 | ||||||||||||
Gilbert F. Casellas | 250,111,571 | 11,439,147 | 1,114,954 | 41,598,636 | ||||||||||||
Robert M. Falzon | 256,678,026 | 4,891,355 | 1,095,113 | 41,598,636 | ||||||||||||
Mark B. Grier | 256,324,174 | 5,220,989 | 1,119,215 | 41,598,636 | ||||||||||||
Martina Hund-Mejean | 260,196,563 | 1,428,237 | 1,040,463 | 41,598,636 | ||||||||||||
Karl J. Krapek | 248,840,181 | 12,665,644 | 1,160,238 | 41,598,636 | ||||||||||||
Peter R. Lighte | 259,125,344 | 2,403,415 | 1,136,433 | 41,598,636 | ||||||||||||
Charles F. Lowrey | 244,406,441 | 16,327,870 | 1,930,815 | 41,598,636 | ||||||||||||
George Paz | 259,994,533 | 1,520,546 | 1,150,008 | 41,598,636 | ||||||||||||
Sandra Pianalto | 258,795,721 | 2,871,752 | 997,236 | 41,598,636 | ||||||||||||
Christine A. Poon | 257,281,125 | 4,354,107 | 1,029,971 | 41,598,636 | ||||||||||||
Douglas A. Scovanner | 259,933,198 | 1,556,379 | 1,176,889 | 41,598,636 | ||||||||||||
Michael A. Todman | 258,124,251 | 3,426,244 | 1,115,813 | 41,598,636 | ||||||||||||
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: 292,025,113
Votes against: 11,316,469
Abstentions: 923,203
There were nobroker 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: 242,419,189
Votes against: 17,882,959
Abstentions: 2,363,863
Broker non-votes: 41,598,636
4. The shareholder proposal regarding Right to Act by Written Consent was not approved based on the following votes:
Votes for approval: 35,294,770
Votes against: 224,667,010
Abstentions: 2,701,621
Broker non-votes: 41,598,636
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 14, 2019
PRUDENTIAL FINANCIAL, INC. | ||
| By: | /s/ Margaret M. Foran | |
| Name: | Margaret M. Foran | |
| Title: | Chief Governance Officer, Senior Vice President and Corporate Secretary | |
3
