Registration of Additional Securities — Form S-1
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-1MEF Registration of Additional Securities 6 29K
2: EX-5.1 Opinion of Sullivan & Cromwell 11 20K
3: EX-5.2 Opinion of Richards, Layton & Finger, P.A. 3 15K
4: EX-5.3 Opinion of McCarter & English, LLP 3 14K
5: EX-8.1 Opinion of McDermott, Will & Emery 3 14K
6: EX-23.1 Consent of Pricewaterhousecoopers LLP 1 7K
7: EX-23.5 Consent of Milliman Usa 1 6K
8: EX-23.6 Consent of Pricewaterhousecoopers 1 6K
S-1MEF — Registration of Additional Securities
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As filed with the Securities and Exchange Commission on December 13, 2001
Registration No.
Registration No.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
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PRUDENTIAL FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
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New Jersey 6719 22-3703799
(State or Other Jurisdiction of (Primary Standard Industrial (I.R.S. Employer
Incorporation or Organization) Classification Code Number) Identification Number)
PRUDENTIAL FINANCIAL CAPITAL TRUST I
(Exact name of registrant as specified in its charter)
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Delaware 6719 22-6899432
(State or Other Jurisdiction of (Primary Standard Industrial (I.R.S. Employer
Incorporation or Organization) Classification Code Number) Identification Number)
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751 Broad Street
Newark, New Jersey 07102
(973) 802-6000
(Address, including Zip code, and telephone number, including area code, of
registrant's principal executive offices)
John M. Liftin, Esq.
General Counsel
Prudential Financial, Inc.
751 Broad Street
Newark, New Jersey 07102
(973) 802-6000
(Name, address, including Zip code, and telephone number, including area code,
of agent for service)
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Copies to:
[Download Table]
Andrew S. Rowen, Esq. Alan L. Beller, Esq.
Donald C. Walkovik, Esq. Yong G. Lee, Esq.
Sullivan & Cromwell Cleary, Gottlieb, Steen & Hamilton
125 Broad Street One Liberty Plaza
New York, New York 10004 New York, New York 10006
(212) 558-4000 (212) 225-2000
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Approximate date of commencement of proposed sale to the public: As soon as
practicable after the effective date of this Registration Statement.
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If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 of the Securities Act of
1933, check the following box. [_]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, check the following box and
list the Securities Act registration statement number of the earlier effective
registration statement for the same offering. [X] 333-70888, 333-70888-01
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [_]
If this Form is a post-effective amendment filed pursuant to Rule 462(d)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [_]
If the delivery of the prospectus is expected to be made pursuant to Rule
434 under the Securities Act, check the following box. [_]
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CALCULATION OF REGISTRATION FEE
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Proposed Maximum Amount of
Title of Each Class Aggregate Registration
of Securities to Be Registered Offering Price(7)(8) Fee
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Equity Security Units....................... $115,000,000 $27,485
Debentures of Prudential Financial,
Inc.(1).................................... -- --
Redeemable Capital Securities of Prudential
Financial Capital Trust I(2)............... -- --
Common Stock ($0.01 par value per
share)(3)(4)............................... $115,000,000 $27,485
Stock Purchase Contracts(5)................. -- --
Prudential Financial, Inc. Guarantee with
respect to Redeemable Capital
Securities(6).............................. -- --
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(1) Up to $115,000,000 in aggregate principal amount of Debentures of
Prudential Financial, Inc. may be issued and sold by Prudential Financial,
Inc. to Prudential Financial Capital Trust I in connection with the
issuance by the trust of up to 2,300,000 of its Redeemable Capital
Securities. The Debentures may be distributed, under certain
circumstances, to the holders of the Redeemable Capital Securities for no
additional consideration.
(2) The Redeemable Capital Securities of Prudential Financial Capital Trust I
are offered as a component of the Equity Security Units for no additional
consideration.
(3) Shares of Common Stock of Prudential Financial, Inc. may be issued to the
holders of Equity Security Units upon settlement or termination of the
Stock Purchase Contracts, for a purchase price of $50 per unit. The actual
number of shares of Common Stock to be issued will not be determined until
the date of settlement or termination of the related Stock Purchase
Contract.
(4) Each share of Common Stock includes one Shareholder Protection Right as
described under "Description of Capital Stock".
(5) The Stock Purchase Contracts are offered as a component of the Equity
Security Units for no additional consideration.
(6) No separate consideration will be received for the Prudential Financial,
Inc. Guarantee.
(7) Estimated solely for the purpose of calculating the registration fee in
accordance with Rule 457(n) under the Securities Act of 1933, as amended.
(8) Exclusive of accrued interest, distributions and dividends, if any.
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This Registration Statement shall become effective upon filing with the
Commission in accordance with Rule 462(b) under the Securities Act of 1933.
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EXPLANATORY NOTE
This registration statement is being filed pursuant to Rule 462(b) under the
Securities Act of 1933 ("Rule 462(b)") and includes the registration statement
facing page, this page, the signature pages, an exhibit index, opinions of
counsel and certain consents. Pursuant to Rule 462(b), the contents of the
registration statement on Form S-1 (Nos. 333-70888, 333-70888-01) of
Prudential Financial, Inc. (the "Company") and Prudential Financial Capital
Trust I (the "Trust"), including the exhibits thereto (the "Initial
Registration Statement"), which was declared effective by the Securities and
Exchange Commission on December 12, 2001, are incorporated by reference into
this registration statement. This registration statement covers the
registration of an additional 2,300,000 Equity Security Units of the Company
for a proposed maximum aggregate offering price of $115,000,000 for sale in
the offering referred to in the Initial Registration Statement, as well as an
additional $115,000,000 aggregate principal amount of the Company's Debentures
due 2006, an additional 2,300,000 Redeemable Capital Securities of the Trust
as components of the Equity Security Units, and additional shares of Common
Stock of the Company (and related Stock Purchase Rights) for a proposed
maximum aggregate offering price of $115,000,000. The Company is also
registering, for no additional consideration, additional Stock Purchase
Contracts as components of the Equity Security Units and additional Guarantees
with respect to the Redeemable Capital Securities of the Trust.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant
has duly caused this Registration Statement to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of Newark, New Jersey on
the 13th day of December, 2001.
Prudential Financial, Inc.
/s/ Mark B. Grier
By: _____________________________
Name: Mark B. Grier
Title: Executive Vice President
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed by the following persons in the
capacities indicated on December 13, 2001:
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Name Title
---- -----
Arthur F. Ryan* Chairman, Chief Executive
______________________________________ Officer, President and
Arthur F. Ryan Director
Richard J. Carbone* Chief Financial Officer
______________________________________ (Principal Financial
Richard J. Carbone Officer)
Anthony S. Piszel* Controller
______________________________________ (Principal Accounting
Anthony S. Piszel Officer)
Franklin E. Agnew* Director
______________________________________
Franklin E. Agnew
Frederic K. Becker* Director
______________________________________
Frederic K. Becker
Gilbert F. Casellas* Director
______________________________________
Gilbert F. Casellas
James G. Cullen* Director
______________________________________
James G. Cullen
Carolyne K. Davis* Director
______________________________________
Carolyne K. Davis
Allan D. Gilmour* Director
______________________________________
Allan D. Gilmour
William H. Gray, III* Director
______________________________________
William H. Gray, III
Jon F. Hanson* Director
______________________________________
Jon F. Hanson
Glen H. Hiner* Director
______________________________________
Glen H. Hiner
II-1
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Name Title
---- -----
Constance J. Horner* Director
______________________________________
Constance J. Horner
Gaynor N. Kelley* Director
______________________________________
Gaynor N. Kelley
Burton G. Malkiel* Director
______________________________________
Burton G. Malkiel
Ida F. S. Schmertz* Director
______________________________________
Ida F. S. Schmertz
Charles R. Sitter* Director
______________________________________
Charles R. Sitter
Donald L. Staheli* Director
______________________________________
Donald L. Staheli
Richard M. Thomson* Director
______________________________________
Richard M. Thomson
James A. Unruh* Director
______________________________________
James A. Unruh
Pindaros R. Vagelos* Director
______________________________________
Pindaros R. Vagelos
Stanley C. Van Ness* Director
______________________________________
Stanley C. Van Ness
Paul A. Volcker* Director
______________________________________
Paul A. Volcker
/s/ Mark B. Grier
By: *_________________________________
Mark B. Grier, Attorney-in-fact
II-2
SIGNATURES
Pursuant to the requirements of the Act, the registrant has duly caused this
registration statement to be signed on its behalf by the undersigned, thereunto
duly authorized, in the City of Newark, New Jersey on December 13, 2001.
Prudential Financial Capital Trust I
By Prudential Financial, Inc., as
sponsor
/s/ C. Edward Chaplin
By: _________________________________
Name: C. Edward Chaplin
Title:Senior V.P. & Treasurer
II-3
Index to Exhibits
[Download Table]
Sequentially
Exhibit Numbered
No. Description Page
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5.1 Opinion of Sullivan & Cromwell.
5.2 Opinion of Richards, Layton & Finger, P.A.
5.3 Opinion of McCarter & English, LLP.
8.1 Opinion of McDermott, Will & Emery as to certain tax
matters.
23.1 Consent of PricewaterhouseCoopers LLP.
23.2 Consent of Sullivan & Cromwell (included in Exhibit
5.1).
23.3 Consent of Richards, Layton & Finger, P.A. (included in
Exhibit 5.2).
23.4 Consent of McCarter & English, LLP (included in Exhibit
5.3).
23.5 Consent of Milliman USA.
23.6 Consent of PricewaterhouseCoopers.
23.7 Consent of McDermott, Will & Emery (included in Exhibit
8.1).
24.1 Powers of Attorney.*
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* Incorporated herein by reference to the corresponding exhibit to the
Registrants' registration statement on Form S-1 (Nos. 333-70888, 333-70888-
01).
Dates Referenced Herein and Documents Incorporated by Reference
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