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 14, 2013

 

 

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 Company’s Annual Meeting of Shareholders was held on May 14, 2013. 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

  

Votes For

    

Votes
Against

    

Abstentions

    

Broker

Non-Votes

 

Thomas J. Baltimore, Jr.

     284,861,793         7,026,677         1,755,575         32,761,176   

Gordon M. Bethune

     278,114,600         13,807,380         1,722,986         32,761,176   

Gaston Caperton

     289,263,740         2,679,564         1,700,541         32,761,176   

Gilbert F. Casellas

     287,976,779         3,918,765         1,748,472         32,761,176   

James G. Cullen

     274,566,725         17,378,164         1,698,651         32,761,176   

William H. Gray III

     287,158,194         4,748,255         1,736,858         32,761,176   

Mark B. Grier

     288,271,802         3,776,471         1,594,625         32,761,176   

Constance J. Horner

     274,989,694         16,968,458         1,684,423         32,761,176   

Martina Hund-Mejean

     289,948,885         2,038,528         1,654,711         32,761,176   

Karl J. Krapek

     289,528,373         2,342,293         1,774,303         32,761,176   

Christine A. Poon

     289,930,335         2,068,552         1,644,601         32,761,176   

John R. Strangfeld

     284,192,269         6,438,062         3,013,371         32,761,176   

James A. Unruh

     287,525,648         4,355,520         1,763,589         32,761,176   

2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2013 was approved based upon the following votes:

Votes for approval: 320,275,300

Votes against: 3,610,024

Abstentions: 2,519,686

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: 226,256,366

Votes against: 64,441,937

Abstentions: 2,945,216

Broker non-votes: 32,761,176

4. The shareholder proposal regarding written consent by shareholders was not approved based upon the following votes:

Votes for approval: 77,841,557

Votes against: 210,927,973

Abstentions: 4,871,995

Broker non-votes: 32,761,176


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, 2013

 

PRUDENTIAL FINANCIAL, INC.
By:  

/s/ Margaret M. Foran

  Name:   Margaret M. Foran
  Title:  

Chief Governance Officer,

Vice President and Corporate Secretary