0001127602-16-062458.txt : 20160913
0001127602-16-062458.hdr.sgml : 20160913
20160913154925
ACCESSION NUMBER: 0001127602-16-062458
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160909
FILED AS OF DATE: 20160913
DATE AS OF CHANGE: 20160913
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: Pelletier Stephen
CENTRAL INDEX KEY: 0001602568
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 161882873
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
2016-09-09
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001602568
Pelletier Stephen
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
Executive Vice President
Common Stock
2016-09-09
4
M
0
5702
59.41
A
8266
D
Common Stock
2016-09-09
4
M
0
33915
57.00
A
42181
D
Common Stock
2016-09-09
4
S
0
39617
80.00
D
2564
D
Common Stock
578
I
By 401(k)
2012 Employee Stock Option (Right to Buy)
59.41
2016-09-09
4
M
0
5702
0
D
2022-02-14
Common Stock
5702
0
D
2013 Employee Stock Option (Right to Buy)
57.00
2016-09-09
4
M
0
33915
0
D
2023-02-12
Common Stock
33915
0
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.
Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 578 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,594 deferred compensation shares, 34,082 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals).
The options vest in three equal annual installments beginning on February 14, 2013.
The options vest in three equal annual installments beginning on February 12, 2014.
/s/Andrew Hughes, attorney-in-fact
2016-09-13