Filing Details
- Accession Number:
- 0001127602-15-024670
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-11 14:36:42
- Reporting Period:
- 2015-08-10
- Filing Date:
- 2015-08-11
- Accepted Time:
- 2015-08-11 14:36:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1552179 | F Richard Lambert | 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 | 2015-08-10 | 1,692 | $76.15 | 9,796 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-08-10 | 1,561 | $91.19 | 8,235 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2/14/06 Employee Stock Option (Right to Buy) | Disposition | 2015-08-10 | 1,692 | $0.00 | 1,692 | $76.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-02-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,178 | Indirect | By 401(k) |
| Common Stock | 72 | 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 $91.18 to $91.23, 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. Lambert continues to hold 8,235 shares directly and 5,178 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 27,390 vested stock options, 22,928 unvested stock options, and 9,323 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 114 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2014 and June 30, 2015 based on a plan statement dated June 30, 2015. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- 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 option vested in three equal annual installments beginning on February 14, 2007.
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