Filing Details

Accession Number:
0001127602-16-064526
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-07 15:01:15
Reporting Period:
2016-10-05
Filing Date:
2016-10-07
Accepted Time:
2016-10-07 15:01:15
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
1653998 P Timothy Harris 751 Broad Street, 4Th Floor
Attn. Corporate Compliance
Newark NJ 07102
Evp And General Counsel 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 2016-10-05 8,317 $48.36 20,924 No 4 M Direct
Common Stock Disposition 2016-10-05 6,531 $85.00 14,393 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 2010 Employee Stock Option (Right to Buy) Disposition 2016-10-05 8,317 $0.00 8,317 $48.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2020-02-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,361 Indirect By 401(k)
Footnotes
  1. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 11, 2016.
  2. Following the transactions reported on this Form 4, Mr. Harris continues to hold 14,393 shares directly and 1,361 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 45,170 vested stock options, 38,349 unvested stock options, 2,717 restricted stock units and 15,979 target performance shares (the exact number awarded being dependent on achievement of performance goals).
  3. Amount reported has been adjusted to include 75 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2015 and September 30, 2016 based on a plan statement dated September 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).
  4. The option vested in three equal annual installments beginning on February 9, 2011.