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