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