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
- Gifts to 501(c)(3) charitable foundations.
- 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.
- 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).
- 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 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.
- The option vested in three equal annual installments beginning on February 12, 2009.
- The option vested in three equal annual installments beginning on February 13, 2008.
- The options vested in three equal annual installments beginning on February 9, 2011.