4//SEC Filing
Pelletier Stephen 4
Accession 0001127602-18-007714
CIK 0001137774other
Filed
Feb 21, 7:00 PM ET
Accepted
Feb 22, 3:37 PM ET
Size
18.9 KB
Accession
0001127602-18-007714
Insider Transaction Report
Form 4
Pelletier Stephen
Executive Vice President
Transactions
- Sale
Common Stock
2018-02-20$108.71/sh−6,469$703,245→ 42,777 total - Exercise/Conversion
2016 Employee Stock Option (Right to Buy)
2018-02-20−18,928→ 18,928 totalExercise: $63.59Exp: 2026-02-09→ Common Stock (18,928 underlying) - Exercise/Conversion
Common Stock
2018-02-20$63.59/sh+18,928$1,203,632→ 49,246 total - Sale
Common Stock
2018-02-21$110.02/sh−5,026$552,961→ 8,517 total - Exercise/Conversion
2015 Employee Stock Option (Right to Buy)
2018-02-20−13,475→ 0 totalExercise: $78.08Exp: 2025-02-10→ Common Stock (13,475 underlying) - Exercise/Conversion
Common Stock
2018-02-20$78.08/sh+13,475$1,052,128→ 30,318 total - Sale
Common Stock
2018-02-20$108.88/sh−7,034$765,862→ 35,743 total - Sale
Common Stock
2018-02-20$108.44/sh−22,200$2,407,368→ 13,543 total
Holdings
- 597(indirect: By 401(k))
Common Stock
Footnotes (7)
- [F1]The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017.
- [F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.27 to $109.07, 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]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.78 to $109.08, 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 (3) to this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.96 to $108.77, 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 (4) to this Form 4.
- [F5]Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 8,517 shares directly and 597 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 11,041 vested stock options, 71,897 unvested stock options, 32,697 deferred compensation shares, and 43,194 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- [F6]The options vest in three equal annual installments beginning on February 10, 2016.
- [F7]The options vest in three equal annual installments beginning on February 9, 2017.
Documents
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeother
Related Parties
1- filerCIK 0001602568
Filing Metadata
- Form type
- 4
- Filed
- Feb 21, 7:00 PM ET
- Accepted
- Feb 22, 3:37 PM ET
- Size
- 18.9 KB