Filing Details
- Accession Number:
- 0001127602-17-025331
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-09 14:16:15
- Reporting Period:
- 2017-08-07
- Filing Date:
- 2017-08-09
- Accepted Time:
- 2017-08-09 14:16:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1602568 | Stephen Pelletier | 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 | 2017-08-07 | 4,455 | $81.17 | 10,924 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-08-07 | 4,133 | $112.18 | 6,791 | 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 | 4/7/2014 Employee Stock Option (Right to Buy) | Disposition | 2017-08-07 | 4,455 | $0.00 | 4,455 | $81.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-04-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 590 | 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 8, 2017.
- Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 6,791 shares directly and 590 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 32,267 deferred compensation shares, 84,456 unvested stock options, and 46,103 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 8 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 and June 30, 2017 based on a plan statement dated June 30, 2017. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- The options vest in three equal annual installments beginning April 7, 2015.
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