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The following table sets forth information regarding the beneficial ownership of our Common Stock as of March 7, 2002 by:
- •
- each Director and each named executive officer; and
- •
- all Directors and executive officers of Prudential Financial as a group.
Name of Beneficial Owner
|
|
Amount and Nature¹ of Common Stock Beneficial Ownership
|
|
Percent of Class
|
| Franklin E. Agnew |
|
1,012 |
|
* |
| Frederic K. Becker |
|
5,012 |
|
* |
| Gilbert F. Casellas |
|
500 |
|
* |
| James G. Cullen |
|
2,033 |
|
* |
| Carolyne K. Davis |
|
264 |
|
* |
| Allan D. Gilmour |
|
1,013 |
|
* |
| William H. Gray III |
|
1,013 |
|
* |
| Jon F. Hanson |
|
10,013 |
|
* |
| Glen H. Hiner |
|
1,012 |
|
* |
| Constance J. Horner |
|
1,000 |
|
* |
| Gaynor N. Kelley |
|
1,013 |
|
* |
| Burton G. Malkiel |
|
514 |
|
* |
| Arthur F. Ryan |
|
30,194 |
|
* |
| Ida F.S. Schmertz |
|
1,011 |
|
* |
| Charles R. Sitter |
|
500 |
|
* |
| Donald L. Staheli |
|
1,000 |
|
* |
| Richard M. Thomson |
|
10,000 |
|
* |
| James A. Unruh |
|
2,761 |
|
* |
| P. Roy Vagelos |
|
3,416 |
|
* |
| Stanley C. Van Ness |
|
50 |
|
* |
| Paul A. Volcker |
|
18 |
|
* |
| John R. Strangfeld, Jr. |
|
21,486 |
|
* |
| Vivian L. Banta |
|
3,049 |
|
* |
| Mark B. Grier |
|
15,770 |
|
* |
| Kiyofumi Sakaguchi2 |
|
20,320 |
|
* |
| Rodger A. Lawson |
|
1,594 |
|
* |
| All directors and executive officers as a group (31 persons) |
|
152,196 |
|
* | *Less than 1% of the shares of Common Stock outstanding, as of March 7, 2002. (1) All shares noted in the table above are owned beneficially by the Director or executive officer or by his or her spouse, a corporation controlled by him or her or an insurance trust. (2) Deceased January 11, 2002.
The following table shows all entities that were the beneficial owners of more than five percent of any class of Prudential Financial's voting securities.
Title of Class
|
|
Name and Address of Beneficial Owner
|
|
Amount and Nature of Beneficial Ownership
|
|
Percent of Class
|
| Class B Stock |
|
National Union Fire Insurance Company of Pittsburgh, PA¹ c/o AIG Global Investment Corp. 175 Water Street, 26th Floor New York, NY 10038 |
|
885,714 |
|
44.3% |
Class B Stock |
|
Lexington Insurance Company¹ c/o AIG Global Investment Corp. 175 Water Street, 26th Floor New York, NY 10038 |
|
914,286
|
|
45.7%
|
Class B Stock |
|
Pacific LifeCorp 700 Newport Center Drive Newport Beach, CA 92660 |
|
200,000
|
|
10.0%
|
To our knowledge, no person or entity is the beneficial owner of more than five percent of our Common Stock or more than five percent of the voting power of the combined Common Stock and Class B Stock.
(1) National Union Fire Insurance Company of Pittsburgh, PA, and Lexington Insurance Company are subsidiaries of American International Group, Inc. ("AIG"), resulting in AIG's beneficially owning 90% of the Class B Stock.
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