Filing Details

Accession Number:
0001127602-16-066914
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-14 15:25:10
Reporting Period:
2016-11-10
Filing Date:
2016-11-14
Accepted Time:
2016-11-14 15:25:10
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
1602678 Robert Axel 751 Broad Street, 4Th Floor
Attn. Corporate Compliance
Newark NJ 07102
Svp And Controller 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 2016-11-10 1,474 $91.73 2,398 No 4 M Direct
Common Stock Disposition 2016-11-10 1,474 $95.00 924 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2/13/07 Employee Stock Option (Right to Buy) Disposition 2016-11-10 1,474 $0.00 1,474 $91.73
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-02-13 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 959 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 7, 2016.
  2. Following the transactions reported on this Form 4, Mr. Axel continues to hold 924 shares directly and 959 shares indirectly in a 401(k) account. Mr. Axel also holds an additional 5,162 vested stock options, 10,644 unvested stock options and 4,857 target performance shares (the exact number awarded being dependent on achievement of performance goals).
  3. Amount reported has been adjusted to include 95 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2015 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).
  4. The option vested in three equal annual installments beginning on February 13, 2008.