Filing Details
- Accession Number:
- 0001225208-12-004230
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-14 19:39:30
- Reporting Period:
- 2012-02-10
- Filing Date:
- 2012-02-14
- Accepted Time:
- 2012-02-14 19:39:30
- 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 |
---|---|---|---|---|---|---|---|
1512629 | F Charles Lowrey | 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 | 2012-02-10 | 39,168 | $0.00 | 55,615 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-02-10 | 18,316 | $59.00 | 37,299 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2012-02-13 | 10,906 | $39.95 | 48,205 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-02-13 | 8,280 | $59.90 | 39,925 | 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 | 39,168 | $0.00 | 39,168 | $0.00 |
Common Stock | 6/19/02 Employee Stock Option (right to buy) | Disposition | 2012-02-13 | 10,906 | $0.00 | 10,906 | $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 | 992 | 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.89 to $59.912, 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 (3) to this Form 4.
- Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 39,925 shares directly and 992 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 221,330 vested stock options, 63,639 unvested stock options, and 19,090 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.
- The option vested in three equal annual installments on June 19, 2003, 2004 and 2005.