Current Report Filing (8-k)
May 08 2018 - 5:01PM
Edgar (US Regulatory)
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 8, 2018
PRUDENTIAL FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
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New Jersey
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001-16707
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22-3703799
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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751 Broad Street
Newark, New Jersey 07102
(Address of principal executive offices and zip code)
(973)
802-6000
(Registrants 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:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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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
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Submission of Matters to a Vote of Security Holders
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The Annual Meeting of Shareholders of Prudential
Financial, Inc. (the Company) was held on May 8, 2018. 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:
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Nominee
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For
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Against
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Abstain
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Broker
Non-Votes
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Thomas J. Baltimore
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267,168,383
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1,976,604
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1,190,914
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39,943,829
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Gilbert F. Casellas
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256,724,644
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9,409,850
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4,199,521
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39,943,829
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Mark B. Grier
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263,089,956
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6,127,535
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1,118,079
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39,943,829
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Martina Hund-Mejean
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268,135,044
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1,044,628
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1,154,927
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39,943,829
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Karl J. Krapek
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263,205,460
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5,868,204
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1,261,751
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39,943,829
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Peter R. Lighte
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267,802,563
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1,298,045
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1,234,328
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39,943,829
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George Paz
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267,832,425
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1,161,691
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1,342,122
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39,943,829
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Sandra Pianalto
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263,633,617
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5,625,818
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1,076,189
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39,943,829
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Christine A. Poon
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265,128,820
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4,045,828
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1,160,230
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39,943,829
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Douglas A. Scovanner
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267,984,774
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1,125,436
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1,226,487
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39,943,829
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John R. Strangfeld
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262,304,422
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4,512,455
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3,518,967
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39,943,829
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Michael A. Todman
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267,938,566
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1,174,361
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1,223,797
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39,943,829
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2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Companys independent registered public
accounting firm for 2018 was approved based upon the following votes:
Votes for approval: 301,722,573
Votes against: 7,562,778
Abstentions: 995,437
There were no broker
non-votes
for this item.
3. The proposal to approve, on an advisory basis, the compensation of the Companys named executive officers was approved based upon the following
votes:
Votes for approval: 255,465,664
Votes against:
11,800,873
Abstentions: 3,070,127
Broker
non-votes:
39,943,829
4. The shareholder proposal regarding an independent Board Chairman was not approved based on
the following votes:
Votes for approval: 106,630,149
Votes against: 161,583,541
Abstentions: 2,120,483
Broker
non-votes:
39,943,829
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 8, 2018
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PRUDENTIAL FINANCIAL, INC.
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By:
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/s/ Margaret M. Foran
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Name:
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Margaret M. Foran
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Title:
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Chief Governance Officer, Senior Vice
President and Corporate Secretary
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