Harris Timothy P 4
4 · PRUDENTIAL FINANCIAL INC · Filed Nov 30, 2017
Insider Transaction Report
Form 4
Harris Timothy P
EVP and General Counsel
Transactions
- Exercise/Conversion
2012 Employee Stock Option (Right to Buy)
2017-11-29−10,527→ 0 totalExercise: $59.41Exp: 2022-02-14→ Common Stock (10,527 underlying) - Exercise/Conversion
Common Stock
2017-11-29$59.41/sh+10,527$625,409→ 30,462 total - Sale
Common Stock
2017-11-29$115.00/sh−10,527$1,210,605→ 19,935 total
Holdings
- 1,392(indirect: By 401(k))
Common Stock
Footnotes (4)
- [F1]The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2017.
- [F2]Following the transaction reported on this Form 4, Mr. Harris continues to hold 19,935 shares directly and 1,392 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 36,350 vested stock options, 31,783 unvested stock options, and 21,661 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- [F3]Amount reported has been adjusted to include 27 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 and September 30, 2017 based on a plan statement dated September 30, 2017. 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 option vested in three equal annual installments beginning on February 14, 2013.