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
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)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
GILBERT F. CASELLAS
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
MARTINA HUND-MEJEAN
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
KARL J. KRAPEK
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
PETER R. LIGHTE
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
CHRISTINE A. POON
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
DOUGLAS A. SCOVANNER
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
MICHAEL A. TODMAN
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
WENDY E. JONES
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
GEORGE PAZ
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
SANDRA PIANALTO
Address
subscription required
Relationship(s)
Clarification of Response
DIRECTOR
Item 3. Related Persons
Name
ANDREW F. SULLIVAN
Address
subscription required
Relationship(s)
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)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
STACEY GOODMAN
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER
Item 3. Related Persons
Name
TIMOTHY P. HARRIS
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT
Item 3. Related Persons
Name
ANN M. KAPPLER
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL
Item 3. Related Persons
Name
SCOTT G. SLEYSTER
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND HEAD OF INTERNATIONAL BUSINESSES
Item 3. Related Persons
Name
LUCIEN A. ALZIARI
Address
subscription required
Relationship(s)
Clarification of Response
EXECUTIVE VICE PRESIDENT AND CHIEF HUMAN RESOURCES OFFICER
Item 3. Related Persons
Name
NANDINI MONGIA
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND TREASURER
Item 3. Related Persons
Name
MARGARET M. FORAN
Address
subscription required
Relationship(s)
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)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF ETHICS AND COMPLIANCE OFFICER
Item 3. Related Persons
Name
NAVEEN AGARWAL
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
DARIN ARITA
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
CAROLINE A. FEENEY
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
ALAN M. FINKELSTEIN
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
YANELA C. FRIAS
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
SALENE HITCHCOCK-GEAR
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
RICHARD G. HUMMERS
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
BERNARD J. JACOB
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
JOHN J. KALAMARIDES
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
CANDACE J. WOODS
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF ACTUARY
Item 3. Related Persons
Name
LATA N. REDDY
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
JAMES J. SHEA
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
KEVIN SIMONS
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF AUDITOR
Item 3. Related Persons
Name
ANTHONY F. TORRE
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
DYLAN J. TYSON
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
GEORGE P. WALDECK
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
TIMOTHY L. SCHMIDT
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER
Item 3. Related Persons
Name
NICHOLAS C. SILITCH
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER
Item 3. Related Persons
Name
ROBERT D. AXEL
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER AND CONTROLLER
Item 3. Related Persons
Name
MICHAEL BAKER
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
WENDELL D. DOWRICH
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
SUSAN SOMERSILLE JOHNSON
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
CAROLINE FAULKNER
Address
subscription required
Relationship(s)
Clarification of Response
SENIOR VICE PRESIDENT
Item 3. Related Persons
Name
JONATHAN HARRIS
Address
subscription required
Relationship(s)
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
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
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
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
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