Filing Details
- Accession Number:
- 0001127602-16-066915
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:26:58
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:26:58
- 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 | 2016-11-09 | 15,007 | $84.53 | 51,776 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-11-09 | 14,695 | $90.00 | 37,081 | 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 | 2014 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 15,007 | $0.00 | 15,007 | $84.53 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
7,504 | 2024-02-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 576 | 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 August 9, 2016.
- Following the transactions reported on this Form 4, Mr. Falzon continues to hold 37,081 shares directly and 576 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 78,191 unvested stock options and 36,401 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The options vested in three equal annual installments beginning on February 11, 2015.