Filing Details
- Accession Number:
- 0001225208-12-003935
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-13 17:52:25
- Reporting Period:
- 2012-02-09
- Filing Date:
- 2012-02-13
- Accepted Time:
- 2012-02-13 17:52:25
- 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 | 2012-02-09 | 9,715 | $59.85 | 239,563 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2012-02-10 | 137,615 | $0.00 | 377,178 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-02-10 | 54,977 | $59.00 | 322,201 | No | 4 | F | Direct | |
Common Stock | Disposition | 2012-02-13 | 64,876 | $60.08 | 257,325 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | 2/10/09 Restricted Stock Units | Disposition | 2012-02-10 | 137,615 | $0.00 | 137,615 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,267 | Indirect | By 401(k) |
Common Stock | 565 | Indirect | By Spouse |
Footnotes
- Represents shares withheld for the payment of taxes when restricted shares vested.
- Represents the vesting of previously awarded restricted stock units.
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2011.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60 to $60.195, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
- Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 231,812 shares directly and 1,267 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 1,023,557 vested stock options, 158,824 unvested stock options, 25,513 restricted stock units and 51,012 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The Restricted Stock Units convert to common stock on a 1 to 1 basis.
- The Restricted Stock Units will vest on February 10, 2012.