Filing Details
- Accession Number:
- 0001127602-22-001066
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-01-06 14:53:45
- Reporting Period:
- 2022-01-04
- Accepted Time:
- 2022-01-06 14:53:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1256465 | Robert Falzon | 751 Broad Street, 5Th Floor Attn. Regulatory Filings Unit Newark NJ 07102 | Evp And Vice Chairman | 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 | 2022-01-04 | 9,526 | $78.08 | 95,721 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-01-04 | 8,811 | $114.00 | 86,910 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-01-04 | 20,000 | $63.59 | 106,910 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-01-04 | 17,929 | $112.00 | 88,981 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-01-04 | 20,000 | $63.59 | 108,981 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-01-04 | 17,904 | $113.00 | 91,077 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-01-04 | 10,474 | $63.59 | 101,551 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-01-04 | 9,363 | $114.00 | 92,188 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2015 Employee Stock Option (Right to Buy) | Disposition | 2022-01-04 | 9,526 | $0.00 | 9,526 | $78.08 |
| Common Stock | 2016 Employee Stock Option (Right to Buy) | Disposition | 2022-01-04 | 20,000 | $0.00 | 20,000 | $63.59 |
| Common Stock | 2016 Employee Stock Option (Right to Buy) | Disposition | 2022-01-04 | 20,000 | $0.00 | 20,000 | $63.59 |
| Common Stock | 2016 Employee Stock Option (Right to Buy) | Disposition | 2022-01-04 | 10,474 | $0.00 | 10,474 | $63.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,687 | 2025-02-10 | No | 4 | M | Direct | |
| 30,474 | 2026-02-09 | No | 4 | M | Direct | |
| 10,474 | 2026-02-09 | No | 4 | M | Direct | |
| 0 | 2026-02-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 653 | Indirect | By 401(k) |
| Common Stock | 3,580 | Indirect | By Spouse |
Footnotes
- The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2021.
- Following the transactions reported on this Form 4, Mr. Falzon continues to hold 92,188 shares directly and 653 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 142,551 vested stock options, 71,617 unvested stock options, 27,632 unvested restricted stock units and 164,498 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The options vested in three equal annual installments beginning on February 10, 2016.
- The options vested in three equal annual installments beginning on February 9, 2017.
Billionaire Hedge Funds
