Filing Details
- Accession Number:
- 0001127602-16-066930
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:43:34
- Reporting Period:
- 2016-11-10
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:43:34
- 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 |
|---|---|---|---|---|---|---|---|
| 1602568 | Stephen Pelletier | 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 | 2016-11-10 | 3,040 | $91.73 | 5,604 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 3,040 | $94.00 | 2,564 | 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 | 3,040 | $0.00 | 3,040 | $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 | 581 | Indirect | By 401(k) |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.
- Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 581 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,716 deferred compensation shares, 31,042 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- Amount reported has been adjusted to include 3 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).
- The option vested in three equal annual installments beginning on February 13, 2008.
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