Filing Details
- Accession Number:
- 0001127602-16-066920
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:32:35
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:32:35
- 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 |
---|---|---|---|---|---|---|---|
1520806 | Barbara Koster | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Senior 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 | 2016-11-09 | 7,830 | $91.73 | 43,829 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2016-11-09 | 13,506 | $69.03 | 57,335 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-11-09 | 7,830 | $93.00 | 49,505 | No | 4 | S | Direct | |
Common Stock | Disposition | 2016-11-09 | 13,506 | $90.00 | 35,999 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | 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 | 7,830 | $0.00 | 7,830 | $91.73 |
Common Stock | 2/12/08 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 13,506 | $0.00 | 13,506 | $69.03 |
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 | |
0 | 2018-02-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,197 | 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 13, 2016.
- Following the transactions reported on this Form 4, Ms. Koster continues to hold 35,999 shares directly and 1,197 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 106,255 vested stock options, 28,419 unvested stock options, and 13,177 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 87 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.
- The option vested in three equal annual installments beginning on February 12, 2009.