0001127602-17-007353.txt : 20170221
0001127602-17-007353.hdr.sgml : 20170221
20170221155550
ACCESSION NUMBER: 0001127602-17-007353
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170216
FILED AS OF DATE: 20170221
DATE AS OF CHANGE: 20170221
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: 17624992
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
2017-02-16
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
2017-02-16
4
M
0
8909
81.17
A
18938
D
Common Stock
2017-02-16
4
M
0
18927
63.59
A
37865
D
Common Stock
2017-02-16
4
M
0
26950
78.08
A
64815
D
Common Stock
2017-02-16
4
M
0
12988
84.53
A
77803
D
Common Stock
2017-02-16
4
S
0
71334
112.02
D
6469
D
Common Stock
582
I
By 401(k)
4/7/2014 Employee Stock Option (Right to Buy)
81.17
2017-02-16
4
M
0
8909
0
D
2024-04-07
Common Stock
8909
4455
D
2016 Employee Stock Option (Right to Buy)
63.59
2017-02-16
4
M
0
18927
0
D
2026-02-09
Common Stock
18927
37856
D
2015 Employee Stock Option (Right to Buy)
78.08
2017-02-16
4
M
0
26950
0
D
2025-02-10
Common Stock
26950
13475
D
2014 Employee Stock Option (Right to Buy)
84.53
2017-02-16
4
M
0
12988
0
D
2024-02-11
Common Stock
12988
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.88 to $112.11, 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 transaction reported on this Form 4, Mr. Pelletier continues to hold 6,469 shares directly and 582 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,847 deferred compensation shares, 88,911 unvested stock options, and 46,103 target performance shares (the exact number awarded being dependent on achievement of performance goals).
The options vest in three equal annual installments beginning April 7, 2015.
The options vest in three equal annual installments beginning on February 9, 2017.
The options vest in three equal annual installments beginning on February 10, 2016.
The options vest in three equal annual installments beginning on February 11, 2015.
/s/John M. Cafiero, attorney-in-fact
2017-02-21