Filing Details
- Accession Number:
- 0001127602-16-066923
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:33:53
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:33:53
- 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 |
---|---|---|---|---|---|---|---|
1552179 | F Richard Lambert | 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 | 2,912 | $91.73 | 12,262 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-11-09 | 2,912 | $93.00 | 9,350 | 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 | 2,912 | $0.00 | 2,912 | $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 | 5,506 | Indirect | By 401(k) |
Common Stock | 72 | Indirect | By Spouse |
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 9, 2016.
- Following the transactions reported on this Form 4, Mr. Lambert continues to hold 9,350 shares directly and 5,506 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 33,298 vested stock options, 31,344 unvested stock options, and 14,426 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 223 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 reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
- The option vested in three equal annual installments beginning on February 13, 2008.