Clerk of the House of Representatives
Legislative Resource Center
135 Cannon Building
Washington, DC 20515
http://lobbyingdisclosure.house.gov 		Secretary of the Senate
Office of Public Records
232 Hart Building
Washington, DC 20510
http://www.senate.gov/lobby
LOBBYING REPORT

Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

1. Registrant Name Organization/Lobbying Firm Self Employed Individual
Prudential Financial, Inc.

2. Address

Address1
751 BROAD STREET
 Address2
​
City
NEWARK
 State
NJ
 Zip Code
07102-3777
 Country
USA

3. Principal place of business (if different than line 2)

City
​
State
​
Zip Code
​
Country
​
4a. Contact Name b. Telephone Number c. E-mail
​Mr.
​Rex Wackerle
​9738022792
​lobbying@prudential.com
5. Senate ID#
​32338-12
7. Client Name Self Check if client is a state or local government or instrumentality
​Prudential Financial, Inc.
6. House ID#
​317040000
TYPE OF REPORT 8. Year
​2020
 Q1 (1/1 - 3/31) Q2 (4/1 - 6/30) Q3 (7/1 - 9/30) Q4 (10/1 - 12/31)

9. Check if this filing amends a previously filed version of this report

10. Check if this is a Termination Report Termination Date
​
11. No Lobbying Issue Activity
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13
12. Lobbying 13. Organizations
INCOME relating to lobbying activities for this reporting period was: EXPENSE relating to lobbying activities for this reporting period were:
Less than $5,000
Less than $5,000
$5,000 or more $
​
$5,000 or more $
​580,000.00
Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options.
Method A. Reporting amounts using LDA definitions only

Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code

Method C. Reporting amounts under section 162(e) of the Internal Revenue Code

Signature
Digitally Signed By: Rex Wackerle
 Date
1/3/2022 4:13:51 PM

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code FIN

16. Specific lobbying issues

No Bill # - Federal Agency Regulatory Changes Associated with COVID-19 Relief
No Bill # - SEC Best Interest Standard
S.603, H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019
S.603, H.R. 1862 - Issues relating to Dodd Frank Implementation and FIO, OFR, Volcker Rule, FSOC, FSB and their associated work on topics like capital standards, non bank SIFI designation, insurance regulation and oversight
No Bill # - International Insurance Capital Standards
H.R.1595, S. 1152 - SAFE Banking Act of 2019
No Bill # - Executive Order on Core Principles for Regulating the United States Financial System (February 3, 2017) and subsequent reports on banking (June 6, 2017), capital markets (October 20, 2017), and insurance and asset management (November 17, 2017) and Fintech report (July 31, 2018).
No Bill # - GSE and FHA Housing Finance Reform; Trump Administration Housing Finance Reform Plan
No Bill # - LIBOR Transition Federal Safe Harbor Draft Legislation
No Bill # - Exemption from Derivatives Clearing Organization Registration (RIN 3038-AE65); Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations (RIN 3038-AE87)
No Bill # - Support Federal agency efforts to allow for greater electronic efficiencies, including e-delivery and e-signature, with customers
H.R. 1018 - Improving Corporate Governance through Diversity Act of 2019
H.R. 3279 - Diversity in Corporate Leadership Act of 2019
No Bill # - Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements File No. S7-09-20, August 5, 2020



17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Federal Reserve System, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Labor - Dept of (DOL), Consumer Financial Protection Bureau (CFPB), Federal Housing Finance Agency (FHFA), Federal Highway Administration (FHA), Federal Accounting Standards Advisory Board (FASAB)

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Rex
Wackerle
​
​
David
Burns
​
​
Alan
Brubaker
​
​
Lauren
Cancienne
​
​
Roman
Gabriel
​
​
Lauren
Sarper
​
​
Bryan
Pickel
​
​
Robert
Doyle
​
​
Kyle
Smith
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code RET

16. Specific lobbying issues

S.321 - Retirement Security Act of 2019
No Bill # - Association Retirement Plans
H.R. 1007, S.972 - Lifetime Income Disclosure & Regulatory Issues - all provisions
No Bill # - Automatic Retirement Plan Act
No Bill # - Electronic Disclosure - ERISA/Internal Revenue Code - issues/provisions relating to the use of electronic disclosure by employee benefit plans
No Bill # - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act
No Bill # - General Account Legislative Fix
N/A - Qualified Professional Asset Manager (OPAM) Exception Amendment
N/A - ERISA Clarifications for Securities Originated or Underwritten by Inter-Affiliates
N/A - Qualified Default Investment Allocation
N/A - Section 420 Legislative Fix

17. House(s) of Congress and Federal agencies Check if None

Labor - Dept of (DOL), Treasury - Dept of, U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB)

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Rex
Wackerle
​
​
David
Burns
​
​
Alan
Brubaker
​
​
Lauren
Cancienne
​
​
Robert
Doyle
​
​
Roman
Gabriel
​
​
Lauren
Sarper
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code TAX

16. Specific lobbying issues

H.R. 6201 - Families First Coronavirus Response Act
S. 463, H.R. 1185, S.920, H.R. 1940 - Paid Family Leave
N/A - Annuity Tax Treatment Adjustments
N/A - Tax Extenders - CFC Look Through Rule
Public Law No. 115-97 - Issues related to the implementation of H.R. 1, the Tax Cuts and Jobs Act
No Bill # - Ordinary Tax Treatment of Bonds
H.R. 748 - CARES Act
H.R. 133 Consolidated Appropriations Act, 2021; related COVID-19 relief and recovery provisions

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Labor - Dept of (DOL), Federal Housing Finance Agency (FHFA), Federal Highway Administration (FHA), Housing & Urban Development - Dept of (HUD)

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Rex
Wackerle
​
​
Lauren
Cancienne
​
​
David
Burns
​
​
Alan
Brubaker
​
​
Roman
Gabriel
​
​
Lauren
Sarper
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code COM

16. Specific lobbying issues

No Bill # - Data Security, Privacy and Breach Legislation

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Lauren
Cancienne
​
​
Alan
Brubaker
​
​
David
Burns
​
​
Rex
Wackerle
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

Address
​
City
​
State
​
Zip Code
​
Country
​

21. Client new principal place of business (if different than line 20)

City
​
State
​
Zip Code
​
Country
​

22. New General description of client’s business or activities

​

LOBBYIST UPDATE

23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client

First Name
Last Name
Suffix
First Name
Last Name
Suffix
1
​Ian
​Adamczyk
​
3
​
​
​
2
​Kyle
​Smith
​
4
​
​
​

ISSUE UPDATE

24. General lobbying issue that no longer pertains

​
​
​
​
​
​
​
​
​

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

Name Address Principal Place of Business
(city and state or country)
Street Address
City State/Province Zip Country
City
State Country

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

1 2 3

FOREIGN ENTITIES

27. Add the following foreign entities:

Name Address Principal place of business
(city and state or country) 		Amount of contribution for lobbying activities Ownership percentage in client
Street Address
City State/Province Country
City
State Country
%

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

1 3 5
2 4 6

CONVICTIONS DISCLOSURE

29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery, extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?

Lobbyist Name Description of Offense(s)