Filing Details
- Accession Number:
- 0001225208-12-004229
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-14 19:38:27
- Reporting Period:
- 2012-02-10
- Filing Date:
- 2012-02-14
- Accepted Time:
- 2012-02-14 19:38:27
- 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 |
---|---|---|---|---|---|---|---|
1520806 | Barbara Koster | 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 | 2012-02-10 | 12,703 | $0.00 | 24,778 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-02-10 | 3,848 | $59.00 | 20,930 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2012-02-13 | 9,897 | $33.95 | 30,827 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-02-13 | 6,964 | $59.94 | 23,863 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | 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 | 2/10/09 Restricted Stock Units | Disposition | 2012-02-10 | 12,703 | $0.00 | 12,703 | $0.00 |
Common Stock | 6/19/02 Employee Stock Option (right to buy) | Disposition | 2012-02-13 | 9,897 | $0.00 | 9,897 | $33.95 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct | ||
0 | 2012-06-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 788 | Indirect | By 401(k) |
Footnotes
- Represents the vesting of previously awarded restricted stock units.
- Represents shares withheld for the payment of taxes when restricted shares vested.
- Following the transactions reported on this Form 4, Ms. Koster continues to hold 23,863 shares directly and 788 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 90,794 vested stock options, 15,883 unvested stock options, and 5,102 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 59 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between March 31, 2011 and December 31, 2011 based on a plan statement dated December 31, 2011. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- The Restricted Stock Units convert to common stock on a 1 to 1 basis.
- The Restricted Stock Units will vest on February 10, 2012.
- The option vested in three equal annual installments on June 19, 2003, 2004 and 2005.