4//SEC Filing
PRUDENTIAL FINANCIAL INC 4
Accession 0001127602-13-031513
$PRUCIK 0001137774operating
Filed
Nov 12, 7:00 PM ET
Accepted
Nov 13, 4:57 PM ET
Size
11.0 KB
Accession
0001127602-13-031513
Insider Transaction Report
Form 4
Sayre Peter B
Controller
Transactions
- Exercise/Conversion
2/12/08 Employee Stock Option (Right to Buy)
2013-11-11−9,356→ 0 totalExercise: $69.03Exp: 2018-02-12→ Common Stock (9,356 underlying) - Exercise/Conversion
Common Stock
2013-11-11$69.03/sh+9,356$645,845→ 18,839 total - Sale
Common Stock
2013-11-11$86.36/sh−9,895$854,532→ 8,944 total
Holdings
- 351(indirect: By 401(k))
Common Stock
- 66(indirect: By Spouse)
Common Stock
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.26 to $86.47, 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.
- [F2]Following the transactions reported on this Form 4, Mr. Sayre continues to hold 8,944 shares directly and 351 shares indirectly in a 401(k) account. Mr. Sayre also holds an additional 18,201 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).
- [F3]Amount reported has been adjusted to include 18 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2013 and September 30, 2013 based on a plan statement dated September 30, 2013. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- [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 option vests in three equal annual installments beginning on February 12, 2009.
Documents
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeoperating
IncorporatedNJ
Related Parties
1- filerCIK 0001137774
Filing Metadata
- Form type
- 4
- Filed
- Nov 12, 7:00 PM ET
- Accepted
- Nov 13, 4:57 PM ET
- Size
- 11.0 KB