0001225208-13-013670.txt : 20130603 0001225208-13-013670.hdr.sgml : 20130603 20130603154543 ACCESSION NUMBER: 0001225208-13-013670 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130530 FILED AS OF DATE: 20130603 DATE AS OF CHANGE: 20130603 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: Koster Barbara CENTRAL INDEX KEY: 0001520806 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 13888029 MAIL ADDRESS: STREET 1: 751 BROAD STREET, 4TH FLOOR STREET 2: ATTN: CORPORATE COMPLIANCE CITY: NEWARK STATE: NJ ZIP: 07102 4 1 doc4.xml X0306 4 2013-05-30 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001520806 Koster Barbara 751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE NEWARK NJ 07102 1 Senior Vice President Common Stock 2013-05-30 4 M 0 8736.0000 45.0000 A 34539.0000 D Common Stock 2013-05-30 4 S 0 8736.0000 70.3000 D 25803.0000 D Common Stock 918.0000 I By 401(k) 2/10/04 Employee Stock Option (right to buy) 45.0000 2013-05-30 4 M 0 8736.0000 0.0000 D 2014-02-10 Common Stock 8736.0000 0.0000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.29 to $70.35, 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 transactions reported on this Form 4, Ms. Koster continues to hold 25,803 shares directly and 918 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 90,962 vested stock options, 42,981 unvested stock options, and 8,294 target performance shares (the exact number awarded being dependent on achievement of performance goals). Amount reported has been adjusted to include 35 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2012 and March 31, 2013 based on a plan statement dated March 31, 2013. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B). The option vests in three equal annual installments beginning on February 10, 2005. /s/John M. Cafiero, Attorney-in-fact 2013-06-03