Filing Details

Accession Number:
0001127602-16-066934
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-14 15:54:44
Reporting Period:
2016-08-09
Filing Date:
2016-11-14
Accepted Time:
2016-11-14 15:54:44
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
1184679 Jr R John Strangfeld 751 Broad Street, 4Th Floor
Attn. Corporate Compliance
Newark NJ 07102
Chief Executive Officer Yes Yes No Yes
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 Disposition 2016-08-09 6,300 $0.00 320,500 No 5 G Direct
Common Stock Acquisiton 2016-11-09 143,177 $80.00 383,677 No 4 M Direct
Common Stock Acquisiton 2016-11-09 146,315 $69.03 529,992 No 4 M Direct
Common Stock Disposition 2016-11-09 275,855 $90.00 254,137 No 4 S Direct
Common Stock Acquisiton 2016-11-10 66,310 $91.73 320,447 No 4 M Direct
Common Stock Disposition 2016-11-10 65,873 $94.00 254,574 No 4 S Direct
Common Stock Acquisiton 2016-11-10 135,136 $48.36 389,710 No 4 M Direct
Common Stock Disposition 2016-11-10 117,040 $95.00 272,670 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Direct
No 4 M Direct
No 4 M Direct
No 4 S 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 1/18/08 Employee Stock Option (Right to Buy) Disposition 2016-11-09 143,177 $0.00 143,177 $80.00
Common Stock 2/12/08 Employee Stock Option (Right to Buy) Disposition 2016-11-09 146,315 $0.00 146,315 $69.03
Common Stock 2/13/07 Employee Stock Option (Right to Buy) Disposition 2016-11-10 66,310 $0.00 66,310 $91.73
Common Stock 2010 Employee Stock Option (Right to Buy) Disposition 2016-11-10 135,136 $0.00 135,136 $48.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-01-18 No 4 M Direct
0 2018-02-12 No 4 M Direct
0 2017-02-13 No 4 M Direct
0 2020-02-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,770 Indirect By 401(k)
Common Stock 592 Indirect By Spouse
Footnotes
  1. Gifts to 501(c)(3) charitable foundations.
  2. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.
  3. Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 272,670 shares directly and 1,770 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 41,428 deferred compensation shares, 719,142 vested stock options, 207,983 unvested stock options and 101,443 target performance shares (the exact number awarded being dependent on achievement of performance goals).
  4. 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.
  5. The option vested with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012.
  6. The option vested in three equal annual installments beginning on February 12, 2009.
  7. The option vested in three equal annual installments beginning on February 13, 2008.
  8. The options vested in three equal annual installments beginning on February 9, 2011.