Filing Details
- Accession Number:
- 0001127602-14-011276
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-12 15:56:35
- Reporting Period:
- 2014-03-10
- Filing Date:
- 2014-03-12
- Accepted Time:
- 2014-03-12 15:56:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1256465 | Robert Falzon | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Evp And Cfo | 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 | 2014-03-10 | 3,556 | $64.01 | 20,512 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-03-10 | 4,386 | $59.41 | 24,898 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-03-10 | 19,380 | $57.00 | 44,278 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-10 | 22,533 | $88.35 | 21,745 | 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 | 2014-03-10 | 3,556 | $0.00 | 3,556 | $64.01 |
| Common Stock | 2012 Employee Stock Option (Right to Buy) | Disposition | 2014-03-10 | 4,386 | $0.00 | 4,386 | $59.41 |
| Common Stock | 2013 Employee Stock Option (Right to Buy) | Disposition | 2014-03-10 | 19,380 | $0.00 | 19,380 | $57.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,725 | 2021-02-08 | No | 4 | M | Direct | |
| 1,661 | 2022-02-14 | No | 4 | M | Direct | |
| 38,760 | 2023-02-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 397 | 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 $88.06 to $88.65 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. Falzon continues to hold 21,745 shares directly and 397 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 65,657 unvested stock options and 17,597 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- 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.
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