Home > Insider Trading > Filing (0001127602-16-066914)

Filing Details

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
1602678	Robert Axel	751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102	Svp And Controller	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	2016-11-10	1,474	$91.73	2,398	No	4	M	Direct
Common Stock	Disposition	2016-11-10	1,474	$95.00	924	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	2/13/07 Employee Stock Option (Right to Buy)	Disposition	2016-11-10	1,474	$0.00	1,474	$91.73

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2017-02-13	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	959	Indirect	By 401(k)

Footnotes

The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 7, 2016.
Following the transactions reported on this Form 4, Mr. Axel continues to hold 924 shares directly and 959 shares indirectly in a 401(k) account. Mr. Axel also holds an additional 5,162 vested stock options, 10,644 unvested stock options and 4,857 target performance shares (the exact number awarded being dependent on achievement of performance goals).
Amount reported has been adjusted to include 95 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).
The option vested in three equal annual installments beginning on February 13, 2008.