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