Filing Details
- Accession Number:
- 0001127602-20-024782
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-09-08 15:42:14
- Reporting Period:
- 2020-09-03
- Accepted Time:
- 2020-09-08 15:42:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1760181 | L Timothy Schmidt | 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 | 2020-09-03 | 5,334 | $0.00 | 27,784 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-09-03 | 5,334 | $69.54 | 22,450 | 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 | 2011 Employee Stock Option (Right to Buy) | Disposition | 2020-09-03 | 5,334 | $0.00 | 5,334 | $64.01 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-02-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 237 | Indirect | By 401(k) |
Footnotes
- Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 22,450 shares directly and 237 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 23,632 vested stock options, 12,565 unvested stock options, 5,251 restricted stock units and 19,073 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 12 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2019 and June 30, 2020 based on a plan statement dated June 30, 2020. 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 on February 8, 2012.
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