4//SEC Filing
PRUDENTIAL FINANCIAL INC 4
Accession 0001127602-17-008859
$PRUCIK 0001137774operating
Filed
Feb 27, 7:00 PM ET
Accepted
Feb 28, 1:03 PM ET
Size
23.5 KB
Accession
0001127602-17-008859
Insider Transaction Report
Form 4
Lambert Richard F
Senior Vice President
Transactions
- Exercise/Conversion
Common Stock
2017-02-27$59.41/sh+3,816$226,709→ 15,481 total - Exercise/Conversion
Common Stock
2017-02-27$48.36/sh+2,911$140,776→ 18,392 total - Exercise/Conversion
Common Stock
2017-02-27$51.58/sh+1,313$67,725→ 19,705 total - Exercise/Conversion
Common Stock
2017-02-27$57.00/sh+9,448$538,536→ 29,153 total - Sale
Common Stock
2017-02-27$110.62/sh−6,727$744,141→ 22,426 total - Sale
Common Stock
2017-02-27$110.54/sh−7,589$838,888→ 14,837 total - Exercise/Conversion
2012 Employee Stock Option (Right to Buy)
2017-02-27−3,816→ 0 totalExercise: $59.41Exp: 2022-02-14→ Common Stock (3,816 underlying) - Exercise/Conversion
2010 Employee Stock Option (Right to Buy)
2017-02-27−2,911→ 0 totalExercise: $48.36Exp: 2020-02-09→ Common Stock (2,911 underlying) - Exercise/Conversion
5/8/2012 Employee Stock Option (Right to Buy)
2017-02-27−1,313→ 0 totalExercise: $51.58Exp: 2022-05-08→ Common Stock (1,313 underlying) - Exercise/Conversion
2013 Employee Stock Option (Right to Buy)
2017-02-27−9,448→ 0 totalExercise: $57.00Exp: 2023-02-12→ Common Stock (9,448 underlying)
Holdings
- 5,521(indirect: By 401(k))
Common Stock
- 72(indirect: By Spouse)
Common Stock
Footnotes (8)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.62 to $110.623, 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]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.530 to $110.547, 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. Lambert continues to hold 14,837 shares directly and 5,521 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 29,481 vested stock options, 23,194 unvested stock options, and 15,977 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 14, 2013.
- [F6]The options vest in three equal annual installments beginning on February 9, 2011.
- [F7]The options vest in three equal annual installments beginning on May 8, 2013.
- [F8]The options vest in three equal annual installments beginning on February 12, 2014.
Documents
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeoperating
IncorporatedNJ
Related Parties
1- filerCIK 0001137774
Filing Metadata
- Form type
- 4
- Filed
- Feb 27, 7:00 PM ET
- Accepted
- Feb 28, 1:03 PM ET
- Size
- 23.5 KB