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