Filing Details
- Accession Number:
- 0001127602-13-032283
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-20 14:26:37
- Reporting Period:
- 2013-11-18
- Filing Date:
- 2013-11-20
- Accepted Time:
- 2013-11-20 14:26:37
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1137774 | Prudential Financial Inc | PRU | Life Insurance (6311) | 223703799 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1184670 | B Mark Grier | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Vice Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-11-18 | 83,846 | $55.75 | 398,417 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2013-11-18 | 117,052 | $69.03 | 515,469 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2013-11-18 | 108,109 | $48.36 | 314,571 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-11-18 | 280,902 | $89.30 | 234,567 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | 2/8/05 Employee Stock Option (Right to Buy) | Disposition | 2013-11-18 | 83,846 | $0.00 | 83,846 | $55.75 |
Common Stock | 2/12/08 Employee Stock Option (Right to Buy) | Disposition | 2013-11-18 | 117,052 | $0.00 | 117,052 | $69.03 |
Common Stock | 2010 Employee Stock Option (Right to Buy) | Disposition | 2013-11-18 | 108,109 | $0.00 | 108,109 | $48.36 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2015-02-08 | No | 4 | M | Direct | |
0 | 2018-02-12 | No | 4 | M | Direct | |
0 | 2020-02-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 20,806 | Indirect | By 401(k) |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.98 to $89.76, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- Following the transactions reported on this Form 4, Mr. Grier continues to hold 234,567 shares directly and 20,806 shares indirectly in a 401(k) account. Mr. Grier also holds an additional 396,858 vested stock options, 363,368 unvested stock options, and 68,500 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 299 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2012 and September 30, 2013 based on a plan statement dated September 30, 2013. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- The option vests in three equal annual installments beginning on February 8, 2006.
- The option vests in three equal annual installments beginning on February 12, 2009.
- The options vest in three equal annual installments beginning on February 9, 2011.