PRUDENTIAL FINANCIAL INC 4

4 · PRUDENTIAL FINANCIAL INC · Filed Sep 20, 2013

Form 4

Period: 2013-09-18

Controller

Transactions

Exercise/Conversion
Common Stock
2013-09-18$59.41/sh+3,645$216,549→ 18,484 total
Exercise/Conversion
2012 Employee Stock Option (Right to Buy)
2013-09-18−3,645→ 7,292 total
Exercise: $59.41Exp: 2022-02-14→ Common Stock (3,645 underlying)
Sale
Common Stock
2013-09-18$81.60/sh−9,001$734,482→ 9,483 total
Exercise/Conversion
Common Stock
2013-09-18$64.01/sh+5,911$378,363→ 14,839 total
Exercise/Conversion
2011 Employee Stock Option (Right to Buy)
2013-09-18−5,911→ 2,956 total
Exercise: $64.01Exp: 2021-02-08→ Common Stock (5,911 underlying)

Holdings

Footnotes (6)

[F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 19, 2013.
[F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.20 to $82.00, 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.
[F3]Following the transactions reported on this Form 4, Mr. Sayre continues to hold 9,483 shares directly and 333 shares indirectly in a 401(k) account. Mr. Sayre also holds an additional 27,557 vested stock options, 22,330 unvested stock options, and 4,309 target performance shares (the exact number awarded being dependent on achievement of performance goals).
[F4]The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
[F5]The options vest in three equal annual installments beginning on February 8, 2012.
[F6]The options vest in three equal annual installments beginning on February 14, 2013.

Documents

1 file