Filing Details

Accession Number:
0001127602-16-064719
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-12 15:45:41
Reporting Period:
2016-10-10
Filing Date:
2016-10-12
Accepted Time:
2016-10-12 15:45:41
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
1193806 C Sharon Taylor 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 2016-10-10 16,320 $69.03 77,221 No 4 M Direct
Common Stock Acquisiton 2016-10-10 7,536 $48.36 84,757 No 4 M Direct
Common Stock Acquisiton 2016-10-10 19,200 $64.01 103,957 No 4 M Direct
Common Stock Acquisiton 2016-10-10 16,996 $59.41 120,953 No 4 M Direct
Common Stock Acquisiton 2016-10-10 31,977 $57.00 152,930 No 4 M Direct
Common Stock Disposition 2016-10-10 65,847 $85.00 87,083 No 4 S Direct
Common Stock Disposition 2016-10-10 4,821 $84.99 82,262 No 4 S Direct
Common Stock Disposition 2016-10-10 14,822 $84.97 67,440 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock 2/12/08 Employee Stock Option (Right to Buy) Disposition 2016-10-10 16,320 $0.00 16,320 $69.03
Common Stock 2010 Employee Stock Option (Right to Buy) Disposition 2016-10-10 7,536 $0.00 7,536 $48.36
Common Stock 2011 Employee Stock Option (Right to Buy) Disposition 2016-10-10 19,200 $0.00 19,200 $64.01
Common Stock 2012 Employee Stock Option (Right to Buy) Disposition 2016-10-10 16,996 $0.00 16,996 $59.41
Common Stock 2013 Employee Stock Option (Right to Buy) Disposition 2016-10-10 31,977 $0.00 31,977 $57.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-02-12 No 4 M Direct
0 2020-02-09 No 4 M Direct
0 2021-02-08 No 4 M Direct
0 2022-02-14 No 4 M Direct
0 2023-02-12 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,729 Indirect By 401(k)
Footnotes
  1. The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 12, 2016.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.65 to $85.16 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 2 to this Form 4.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.68 to $85.15 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.
  4. Following the transactions reported on this Form 4, Ms. Taylor continues to hold 67,440 shares directly and 1,729 shares indirectly in a 401(k) account. Ms. Taylor also holds an additional 27,094 vested stock options, 38,449 unvested stock options, and 18,296 target performance shares (the exact number awarded being dependent on achievement of performance goals).
  5. Amount reported has been adjusted to include 10 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2016 and September 30, 2016 based on a plan statement dated September 30, 2016. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
  6. The option vests in three equal annual installments beginning on February 12, 2009.
  7. The options vest in three equal annual installments beginning on February 9, 2011.
  8. The options vest in three equal annual installments beginning on February 8, 2012.
  9. The options vest in three equal annual installments beginning on February 14, 2013.
  10. The options vest in three equal annual installments beginning on February 12, 2014.