0001127602-16-066916.txt : 20161114
0001127602-16-066916.hdr.sgml : 20161111
20161114152911
ACCESSION NUMBER: 0001127602-16-066916
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161110
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PRUDENTIAL FINANCIAL INC
CENTRAL INDEX KEY: 0001137774
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 223703799
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 751 BROAD ST
CITY: NEWARK
STATE: NJ
ZIP: 07102
BUSINESS PHONE: 9738026000
MAIL ADDRESS:
STREET 1: 751 BROAD ST
CITY: NEWARK
STATE: NJ
ZIP: 07102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GRIER MARK B
CENTRAL INDEX KEY: 0001184670
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 161994266
MAIL ADDRESS:
STREET 1: C/O PRUDENTIAL FINANCIAL INC
STREET 2: 751 BROAD ST. 4TH FL.
CITY: NEWARK
STATE: NJ
ZIP: 01702
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-11-10
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001184670
GRIER MARK B
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
1
Vice Chairman
Common Stock
2016-11-10
4
M
0
66310
91.73
A
390295
D
Common Stock
2016-11-10
4
S
0
65873
94.00
D
324422
D
Common Stock
22870
I
By 401(k)
2/13/07 Employee Stock Option (Right to Buy)
91.73
2016-11-10
4
M
0
66310
0
D
2017-02-13
Common Stock
66310
0
D
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2016.
Following the transactions reported on this Form 4, Mr. Grier continues to hold 324,422 shares directly and 22,870 shares indirectly in a 401(k) account. Mr. Grier also holds an additional 257,540 vested stock options, 168,312 unvested stock options and 82,564 target performance shares (the exact number awarded being dependent on achievement of performance goals).
Amount reported has been adjusted to include 712 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).
The option vested in three equal annual installments beginning on February 13, 2008.
/s/Andrew Hughes, attorney-in-fact
2016-11-14