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