Filing Details
- Accession Number:
- 0001225208-12-007452
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-13 16:39:35
- Reporting Period:
- 2012-03-09
- Filing Date:
- 2012-03-13
- Accepted Time:
- 2012-03-13 16:39:35
- 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 |
---|---|---|---|---|---|---|---|
1187441 | J Richard Carbone | 751 Broad Street, 4Th Floor Attn. Corporate Compliance Newark NJ 07102 | Evp And Cfo | 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 | 2012-03-09 | 48,917 | $0.00 | 147,932 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2012-03-09 | 48,463 | $0.00 | 196,395 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-03-09 | 111,479 | $62.08 | 84,916 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | 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 | 2/10/04 Employee Stock Option (right to buy) | Disposition | 2012-03-09 | 48,917 | $0.00 | 48,917 | $45.00 |
Common Stock | 2/10/09 Employee Stock Option (right to buy) | Disposition | 2012-03-09 | 48,463 | $0.00 | 48,463 | $25.30 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2014-02-10 | No | 4 | M | Direct | |
0 | 2019-02-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,065 | Indirect | By 401(k) |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.79 to $62.32, 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 (1) to this Form 4.
- Following the transactions reported on this Form 4, Mr. Carbone continues to hold 80,770 shares directly and 1,065 shares indirectly in a 401(k) account. Mr. Carbone also holds an additional 200,371 vested stock options, 81,554 unvested stock options, 4,146 restricted stock units and 16,790 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The option vests in three equal annual installments beginning on February 10, 2005.
- The option vests in three equal annual installments beginning on February 10, 2010.