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