Form 8-K

 

 

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, 2016

 

 

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 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 Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨    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))

 

 

 


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, 2016. 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, Jr.

     279,691,729         11,067,082         1,226,194         37,079,132   

Gilbert F. Casellas

     283,826,474         6,897,883         1,260,384         37,079,132   

James G. Cullen

     277,659,262         13,074,738         1,250,570         37,079,132   

Mark B. Grier

     282,862,088         7,951,747         1,171,041         37,079,132   

Martina Hund-Mejean

     289,705,682         1,061,193         1,218,343         37,079,132   

Karl J. Krapek

     283,982,240         6,720,142         1,283,502         37,079,132   

Peter R. Lighte

     289,562,100         1,145,431         1,277,789         37,079,132   

George Paz

     289,598,749         1,123,620         1,263,200         37,079,132   

Sandra Pianalto

     289,860,344         953,518         1,171,668         37.079,132   

Christine A. Poon

     287,761,430         3,034,823         1,189,353         37,079,132   

Douglas A. Scovanner

     289,521,373         1,176,648         1,288,144         37,079,132   

John R. Strangfeld

     281,862,031         6,814,173         3,309,480         37,079,132   

Michael A. Todman

     287,607,264         3,127,837         1,250,710         37,079,132   

2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2016 was approved based upon the following votes:

Votes for approval: 324,735,170

Votes against: 3,319,838

Abstentions: 1,009,368

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: 274,708,959

Votes against: 14,994,735

Abstentions: 2,281,434

Broker non-votes: 37,079,132

4. The proposal to approve the Prudential Financial, Inc. 2016 Omnibus Incentive Plan was approved based upon the following votes:

Votes for approval: 274,088,263

Votes against: 16,093,010

Abstentions: 1,804,924

Broker non-votes: 37,079,132

5. The shareholder proposal regarding an independent Board Chairman was not approved based on the following votes:

Votes for approval: 115,133,464

Votes against: 174,543,657

Abstentions: 2,306,575

Broker non-votes: 37,079,132

 


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, 2016

 

PRUDENTIAL FINANCIAL, INC.

By:

 

/s/ Margaret M. Foran

  Name:   Margaret M. Foran
  Title:   Chief Governance Officer, Senior
    Vice President and Corporate Secretary