Filing Details
- Accession Number:
- 0001127602-16-066926
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:37:44
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:37:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1512629 | F Charles Lowrey | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Executive 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 | 41,581 | $48.36 | 83,717 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 74,667 | $64.01 | 158,384 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 121,976 | $90.00 | 36,408 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-10 | 7,369 | $91.73 | 43,777 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 7,369 | $95.00 | 36,408 | 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 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | 2010 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 41,581 | $0.00 | 41,581 | $48.36 |
| Common Stock | 2011 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 74,667 | $0.00 | 74,667 | $64.01 |
| Common Stock | 2/13/07 Employee Stock Option (Right to Buy) | Disposition | 2016-11-10 | 7,369 | $0.00 | 7,369 | $91.73 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-02-09 | No | 4 | M | Direct | |
| 0 | 2021-02-08 | No | 4 | M | Direct | |
| 0 | 2017-02-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 203 | 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 10, 2016.
- Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 36,408 shares directly and 203 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 277,211 vested stock options, 103,244 unvested stock options, and 51,445 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The option vested in three equal annual installments beginning on February 9, 2011.
- The option vested in three equal annual installments beginning on February 8, 2012.
- The option vested in three equal annual installments beginning on February 13, 2008.
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