Form D/A

View Original Filing

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
PRUDENTIAL INSURANCE CO OF AMERICA
Jurisdiction of Incorporation/Organization
NEW JERSEY
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

751 BROAD STREET
NEWARK, NJ 07102
Phone Number: subscription required

Item 3. Related Persons

Name
CHARLES F. LOWREY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND PRESIDENT

Item 3. Related Persons

Name
ROBERT M. FALZON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
VICE CHAIRMAN AND DIRECTOR

Item 3. Related Persons

Name
THOMAS J. BALTIMORE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
GILBERT F. CASELLAS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
MARTINA HUND-MEJEAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
KARL J. KRAPEK
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
PETER R. LIGHTE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
CHRISTINE A. POON
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
DOUGLAS A. SCOVANNER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
MICHAEL A. TODMAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
WENDY E. JONES
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
GEORGE PAZ
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
SANDRA PIANALTO
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response
DIRECTOR

Item 3. Related Persons

Name
ANDREW F. SULLIVAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND HEAD OF U.S. BUSINESSES

Item 3. Related Persons

Name
KENNETH Y. TANJI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

Item 3. Related Persons

Name
STACEY GOODMAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER

Item 3. Related Persons

Name
TIMOTHY P. HARRIS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT

Item 3. Related Persons

Name
ANN M. KAPPLER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL

Item 3. Related Persons

Name
SCOTT G. SLEYSTER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND HEAD OF INTERNATIONAL BUSINESSES

Item 3. Related Persons

Name
LUCIEN A. ALZIARI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF HUMAN RESOURCES OFFICER

Item 3. Related Persons

Name
NANDINI MONGIA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND TREASURER

Item 3. Related Persons

Name
MARGARET M. FORAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT, CHIEF GOVERNANCE OFFICER, AND CORPORATE SECRETARY

Item 3. Related Persons

Name
JOSEPH D. EMANUEL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF ETHICS AND COMPLIANCE OFFICER

Item 3. Related Persons

Name
NAVEEN AGARWAL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
DARIN ARITA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
CAROLINE A. FEENEY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
ALAN M. FINKELSTEIN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
YANELA C. FRIAS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
SALENE HITCHCOCK-GEAR
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
RICHARD G. HUMMERS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
BERNARD J. JACOB
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
JOHN J. KALAMARIDES
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
CANDACE J. WOODS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF ACTUARY

Item 3. Related Persons

Name
LATA N. REDDY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
JAMES J. SHEA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
KEVIN SIMONS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF AUDITOR

Item 3. Related Persons

Name
ANTHONY F. TORRE
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
DYLAN J. TYSON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
GEORGE P. WALDECK
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
TIMOTHY L. SCHMIDT
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER

Item 3. Related Persons

Name
NICHOLAS C. SILITCH
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER

Item 3. Related Persons

Name
ROBERT D. AXEL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER AND CONTROLLER

Item 3. Related Persons

Name
MICHAEL BAKER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
WENDELL D. DOWRICH
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
SUSAN SOMERSILLE JOHNSON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
CAROLINE FAULKNER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
JONATHAN HARRIS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 4. Industry Group

INSURANCE

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

Amendment
Date of First Sale in this Offering:
01/06/2016

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
Yes

Item 9. Type(s) of Securities Offered

  • Other: SYNTHETIC GICS ISSUED TO IRC SECTION 529 PLANS.

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
500000

Item 12. Sales Compensation

Recipient
JOHN BARRASSO
Recipient CRD Number
2763477
(Associated) Broker or Dealer)
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
(Associated) Broker or Dealer CRD Number
18353
Address
80 LIVINGSTON AVENUE
ROSELAND, NJ 07068
States of Solicitation
  • KY
  • MA
  • PA
  • SC
  • UT

Item 12. Sales Compensation

Recipient
SCOTT GAUL
Recipient CRD Number
5773507
(Associated) Broker or Dealer)
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
(Associated) Broker or Dealer CRD Number
18353
Address
655 BROAD STREET
NEWARK, NJ 07102
States of Solicitation
  • KY
  • MA
  • PA
  • SC
  • UT

Item 12. Sales Compensation

Recipient
HARRY DALESSIO
Recipient CRD Number
2649914
(Associated) Broker or Dealer)
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
(Associated) Broker or Dealer CRD Number
18353
Address
280 TRUMBULL STREET
HARTFORD, CT 06103
States of Solicitation
  • KY
  • MA
  • PA
  • SC
  • UT

Item 12. Sales Compensation

Recipient
MICHAEL AMARAL DOMINGOS
Recipient CRD Number
2837344
(Associated) Broker or Dealer)
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
(Associated) Broker or Dealer CRD Number
18353
Address
20 NORTH WACKER DRIVE, SUITE 2500
CHICAGO, IL 60606
States of Solicitation
  • KY
  • MA
  • PA
  • SC
  • UT

Item 13. Offering and Sales Amounts

Total Offering Amount
INDEFINITE
Total Amount Sold
1940288776
Total Remaining to be Sold
INDEFINITE
Clarification of Response
TOTAL AMOUNT SOLD REPRESENTS TOTAL SALES AS OF 12/31/20, PLUS ESTIMATED SALES AMOUNTS THROUGH 01/29/21. THERE IS NO SPECIFIED END DATE TO THIS OFFERING NOR LIMIT ON AMOUNT THAT MAY BE SOLD.

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
19

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
512936.0 Is an estimate
Finders' Fees
0.0
Clarification of Response
THE ABOVE SALES COMMISSIONS ARE AN ESTIMATE WITH RESPECT TO SALES THROUGH 01/29/21.

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
NONE OF THE GROSS PROCEEDS RECEIVED FROM THIS OFFERING WILL BE PAID TO OR USED FOR ANY PAYMENTS TO PERSONS IDENTIFIED IN ITEM 3; SUCH PERSONS RECEIVE A REGULAR SALARY FROM THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.

Signature and Submission

Issuer Name
PRUDENTIAL INSURANCE CO OF AMERICA
Issuer Signature
/S/ JAMES V. DISKIN
Signer Name
JAMES V. DISKIN
Signer Title
VICE PRESIDENT
Signature Date
01/29/2021
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