Filing Details
- Accession Number:
- 0001127602-16-062453
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-13 15:47:04
- Reporting Period:
- 2016-09-09
- Filing Date:
- 2016-09-13
- Accepted Time:
- 2016-09-13 15:47:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1512629 | F Charles Lowrey | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Executive 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 | 2016-09-09 | 41,644 | $69.03 | 98,307 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-09-09 | 41,644 | $80.00 | 56,663 | 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 | 2/12/08 Employee Stock Option (Right to Buy) | Disposition | 2016-09-09 | 41,644 | $0.00 | 41,644 | $69.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-02-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 202 | Indirect | By 401(k) |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016.
- Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 56,663 shares directly and 202 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 436,623 vested stock options, 103,244 unvested stock options, and 51,445 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 76 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2015 and June 30, 2016 based on a plan statement dated June 30, 2016. 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 vested in three equal annual installments beginning on February 12, 2009.
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