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 13, 2014
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 13, 2014. 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. |
290,782,800 | 5,656,433 | 1,599,834 | 30,576,537 | ||||||||||||
| Gordon M. Bethune |
284,119,478 | 12,311,432 | 1,607,360 | 30,576,537 | ||||||||||||
| Gilbert F. Casellas |
292,804,826 | 3,618,577 | 1,614,861 | 30,576,537 | ||||||||||||
| James G. Cullen |
281,157,442 | 15,320,632 | 1,559,832 | 30,576,537 | ||||||||||||
| Mark B. Grier |
293,605,228 | 2,953,951 | 1,479,450 | 30,576,537 | ||||||||||||
| Constance J. Horner |
280,403,352 | 16,102,433 | 1,531,774 | 30,576,537 | ||||||||||||
| Martina Hund-Mejean |
294,995,796 | 1,437,289 | 1,604,579 | 30,576,537 | ||||||||||||
| Karl J. Krapek |
294,736,121 | 1,701,340 | 1,600,451 | 30,576,537 | ||||||||||||
| Christine A. Poon |
295,066,550 | 1,389,968 | 1,581,859 | 30,576,537 | ||||||||||||
| Douglas A. Scovanner |
294,928,518 | 1,434,551 | 1,675,438 | 30,576,537 | ||||||||||||
| John R. Strangfeld |
287,617,512 | 7,780,224 | 2,640,479 | 30,576,537 | ||||||||||||
| James A. Unruh |
292,499,624 | 3,937,551 | 1,601,039 | 30,576,537 | ||||||||||||
2. The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2014 was approved based upon the following votes:
Votes for approval: 323,684,629
Votes against: 3,578,153
Abstentions: 1,352,968
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: 253,481,963
Votes against: 41,795,898
Abstentions: 2,761,569
Broker non-votes: 30,576,537
4. The shareholder proposal regarding executive stock ownership was not approved based upon the following votes:
Votes for approval: 79,276,981
Votes against: 214,766,016
Abstentions: 3,990,892
Broker non-votes: 30,576,537
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, 2014
| PRUDENTIAL FINANCIAL, INC. | ||||
| By: | /s/ Margaret M. Foran | |||
| Name: | Margaret M. Foran | |||
| Title: | Chief Governance Officer, | |||
| Vice President and Corporate Secretary | ||||