4//SEC Filing
PRUDENTIAL FINANCIAL INC 4
Accession 0001127602-13-027558
$PRUCIK 0001137774operating
Filed
Sep 19, 8:00 PM ET
Accepted
Sep 20, 12:56 PM ET
Size
14.4 KB
Accession
0001127602-13-027558
Insider Transaction Report
Form 4
Sayre Peter B
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 totalExercise: $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 totalExercise: $64.01Exp: 2021-02-08→ Common Stock (5,911 underlying)
Holdings
- 333(indirect: By 401(k))
Common Stock
- 66(indirect: By Spouse)
Common Stock
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
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeoperating
IncorporatedNJ
Related Parties
1- filerCIK 0001137774
Filing Metadata
- Form type
- 4
- Filed
- Sep 19, 8:00 PM ET
- Accepted
- Sep 20, 12:56 PM ET
- Size
- 14.4 KB