0001127602-16-059994.txt : 20160810
0001127602-16-059994.hdr.sgml : 20160810
20160810142713
ACCESSION NUMBER: 0001127602-16-059994
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160808
FILED AS OF DATE: 20160810
DATE AS OF CHANGE: 20160810
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: FALZON ROBERT
CENTRAL INDEX KEY: 0001256465
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 161821091
MAIL ADDRESS:
STREET 1: 751 BROAD STREET, 4TH FLOOR
STREET 2: ATTN.: CORPORATE COMPLIANCE
CITY: NEWARK
STATE: NJ
ZIP: 07102
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-08-08
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001256465
FALZON ROBERT
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
EVP and CFO
Common Stock
2016-08-08
4
M
0
38760
57.00
A
70264
D
Common Stock
2016-08-08
4
S
0
33820
77.13
D
36444
D
Common Stock
573
I
By 401(k)
2013 Employee Stock Option (Right to Buy)
57.00
2016-08-08
4
M
0
38760
0
D
2023-02-12
Common Stock
38760
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.79 to $77.45 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
Following the transactions reported on this Form 4, Mr. Falzon continues to hold 36,444 shares directly and 573 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 25,113 vested stock options, 78,191 unvested stock options and 36,401 target performance shares (the exact number awarded being dependent on achievement of performance goals).
Amount reported has been adjusted to include 69 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2015 and June 30, 2016 based on a plan statement dated June 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 options vest in three equal annual installments beginning on February 12, 2014.
/s/Andrew Hughes, attorney-in-fact
2016-08-10