Filing Details
- Accession Number:
- 0001127602-16-066931
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 15:45:18
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 15:45:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1555872 | Scott Sleyster | 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 | 2016-11-09 | 4,690 | $69.03 | 29,496 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 4,690 | $90.00 | 24,806 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-10 | 12,434 | $91.73 | 37,240 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 12,434 | $95.00 | 24,806 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2/12/08 Employee Stock Option (Right to Buy) | Disposition | 2016-11-09 | 4,690 | $0.00 | 4,690 | $69.03 |
| Common Stock | 2/13/07 Employee Stock Option (Right to Buy) | Disposition | 2016-11-10 | 12,434 | $0.00 | 12,434 | $91.73 |
| 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 | 2017-02-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,632 | Indirect | By 401(k) |
Footnotes
- The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2016.
- Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 24,806 shares directly and 6,632 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 74,368 deferred compensation shares, 110,019 vested stock options, 52,202 unvested stock options, 1,318 restricted stock units and 23,143 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- The option vested in three equal annual installments beginning on February 12, 2009.
- The option vested in three equal annual installments beginning on February 13, 2008.
Billionaire Hedge Funds
