0001127602-18-007714.txt : 20180222 0001127602-18-007714.hdr.sgml : 20180222 20180222153751 ACCESSION NUMBER: 0001127602-18-007714 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180220 FILED AS OF DATE: 20180222 DATE AS OF CHANGE: 20180222 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: 18632361 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 4TH FLOOR STREET 2: ATTN.: CORPORATE COMPLIANCE CITY: NEWARK STATE: NJ ZIP: 07102 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-02-20 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 2018-02-20 4 M 0 13475 78.08 A 30318 D Common Stock 2018-02-20 4 M 0 18928 63.59 A 49246 D Common Stock 2018-02-20 4 S 0 6469 108.71 D 42777 D Common Stock 2018-02-20 4 S 0 7034 108.88 D 35743 D Common Stock 2018-02-20 4 S 0 22200 108.44 D 13543 D Common Stock 2018-02-21 4 S 0 5026 110.02 D 8517 D Common Stock 597 I By 401(k) 2015 Employee Stock Option (Right to Buy) 78.08 2018-02-20 4 M 0 13475 0 D 2025-02-10 Common Stock 13475 0 D 2016 Employee Stock Option (Right to Buy) 63.59 2018-02-20 4 M 0 18928 0 D 2026-02-09 Common Stock 18928 18928 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.27 to $109.07, 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 (2) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.78 to $109.08, 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 (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.96 to $108.77, 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 (4) to this Form 4. Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 8,517 shares directly and 597 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 11,041 vested stock options, 71,897 unvested stock options, 32,697 deferred compensation shares, and 43,194 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 10, 2016. The options vest in three equal annual installments beginning on February 9, 2017. /s/Andrew Hughes, attorney-in-fact 2018-02-22