Filing Details
- Accession Number:
- 0001127602-16-066918
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:30:45
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:30:45
- 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 | 2016-11-09 | 5,527 | $91.73 | 19,920 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-11-09 | 5,527 | $93.00 | 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 | 2/13/07 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 5,527 | $0.00 | 5,527 | $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 | 1,361 | 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 May 11, 2016.
- 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 39,643 vested stock options, 38,349 unvested stock options and 15,979 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 13, 2008.