0001127602-16-066934.txt : 20161114
0001127602-16-066934.hdr.sgml : 20161111
20161114155444
ACCESSION NUMBER: 0001127602-16-066934
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160809
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: STRANGFELD JOHN R JR
CENTRAL INDEX KEY: 0001184679
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16707
FILM NUMBER: 161994557
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
2016-08-09
0001137774
PRUDENTIAL FINANCIAL INC
PRU
0001184679
STRANGFELD JOHN R JR
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK
NJ
07102
1
1
1
Chief Executive Officer
Chairman of the Board
Common Stock
2016-08-09
5
G
0
E
6300
0
D
320500
D
Common Stock
2016-11-09
4
M
0
143177
80.00
A
383677
D
Common Stock
2016-11-09
4
M
0
146315
69.03
A
529992
D
Common Stock
2016-11-09
4
S
0
275855
90.00
D
254137
D
Common Stock
2016-11-10
4
M
0
66310
91.73
A
320447
D
Common Stock
2016-11-10
4
S
0
65873
94.00
D
254574
D
Common Stock
2016-11-10
4
M
0
135136
48.36
A
389710
D
Common Stock
2016-11-10
4
S
0
117040
95.00
D
272670
D
Common Stock
1770
I
By 401(k)
Common Stock
592
I
By Spouse
1/18/08 Employee Stock Option (Right to Buy)
80.00
2016-11-09
4
M
0
143177
0
D
2018-01-18
Common Stock
143177
0
D
2/12/08 Employee Stock Option (Right to Buy)
69.03
2016-11-09
4
M
0
146315
0
D
2018-02-12
Common Stock
146315
0
D
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
2010 Employee Stock Option (Right to Buy)
48.36
2016-11-10
4
M
0
135136
0
D
2020-02-09
Common Stock
135136
0
D
Gifts to 501(c)(3) charitable foundations.
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.
Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 272,670 shares directly and 1,770 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 41,428 deferred compensation shares, 719,142 vested stock options, 207,983 unvested stock options and 101,443 target performance shares (the exact number awarded being dependent on achievement of performance goals).
The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
The option vested with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012.
The option vested in three equal annual installments beginning on February 12, 2009.
The option vested in three equal annual installments beginning on February 13, 2008.
The options vested in three equal annual installments beginning on February 9, 2011.
/s/Andrew Hughes, attorney-in-fact
2016-11-14