Filing Details
- Accession Number:
- 0001127602-14-008236
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-25 15:38:29
- Reporting Period:
- 2014-02-21
- Filing Date:
- 2014-02-25
- Accepted Time:
- 2014-02-25 15:38:29
- 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 |
---|---|---|---|---|---|---|---|
1302275 | B Peter Sayre | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Senior Vice President | No | 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 | 2014-02-21 | 2,956 | $64.01 | 13,078 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2014-02-21 | 3,646 | $59.41 | 16,724 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2014-02-21 | 4,027 | $57.00 | 20,751 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-02-21 | 9,624 | $84.06 | 11,127 | 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 | 2011 Employee Stock Option (Right to Buy) | Disposition | 2014-02-21 | 2,956 | $0.00 | 2,956 | $64.01 |
Common Stock | 2012 Employee Stock Option (Right to Buy) | Disposition | 2014-02-21 | 3,646 | $0.00 | 3,646 | $59.41 |
Common Stock | 2013 Employee Stock Option (Right to Buy) | Disposition | 2014-02-21 | 4,027 | $0.00 | 4,027 | $57.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2021-02-08 | No | 4 | M | Direct | |
3,646 | 2022-02-14 | No | 4 | M | Direct | |
8,055 | 2023-02-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 352 | Indirect | By 401(k) |
Common Stock | 66 | Indirect | By Spouse |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.03 to $84.08, 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. Sayre continues to hold 11,127 shares directly. Mr. Sayre also holds an additional 18,201 vested stock options, 15,300 unvested stock options, and 4,363 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
- The options vest in three equal annual installments beginning on February 8, 2012.
- The options vest in three equal annual installments beginning on February 14, 2013.
- The options vest in three equal annual installments beginning on February 12, 2014.