Pelletier Stephen 4
4 · PRUDENTIAL FINANCIAL INC · Filed Feb 21, 2019
Insider Transaction Report
Form 4
Pelletier Stephen
Executive Vice President
Transactions
- Exercise/Conversion
Common Stock
2019-02-20$63.59/sh+18,928$1,203,632→ 33,977 total - Sale
Common Stock
2019-02-20$94.03/sh−3,491$328,259→ 30,486 total - Sale
Common Stock
2019-02-20$94.01/sh−5,026$472,494→ 25,460 total - Sale
Common Stock
2019-02-20$94.05/sh−17,489$1,644,840→ 7,971 total - Exercise/Conversion
2016 Employee Stock Option (Right to Buy)
2019-02-20−18,928→ 0 totalExercise: $63.59Exp: 2026-02-09→ Common Stock (18,928 underlying)
Holdings
- 625(indirect: By 401(k))
Common Stock
Footnotes (6)
- [F1]The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2018.
- [F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.70 to $94.40, 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 $93.76 to $94.35, 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 $93.71 to $94.40, 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 7,971 shares directly and 625 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 32,378 vested stock options, 126,918 unvested stock options, 34,166 deferred compensation shares, and 39,757 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 9, 2017.