4//SEC Filing
FALZON ROBERT 4
Accession 0001127602-24-026820
CIK 0001137774other
Filed
Nov 7, 7:00 PM ET
Accepted
Nov 8, 3:22 PM ET
Size
15.9 KB
Accession
0001127602-24-026820
Insider Transaction Report
Form 4
FALZON ROBERT
EVP and CFO
Transactions
- Exercise/Conversion
2017 Employee Stock Option (Right to Buy)
2024-11-06−29,445→ 0 totalExercise: $110.45Exp: 2027-02-14→ Common Stock (29,445 underlying) - Exercise/Conversion
Common Stock
2024-11-06$110.45/sh+29,445$3,252,200→ 236,760 total - Exercise/Conversion
Common Stock
2024-11-06$106.89/sh+26,008$2,779,995→ 234,618 total - Exercise/Conversion
2018 Employee Stock Option (Right to Buy)
2024-11-06−26,008→ 0 totalExercise: $106.89Exp: 2028-02-13→ Common Stock (26,008 underlying) - Sale
Common Stock
2024-11-06$128.26/sh−28,150$3,610,519→ 208,610 total - Sale
Common Stock
2024-11-06$128.26/sh−24,587$3,153,529→ 210,031 total
Holdings
- 3,580(indirect: By Spouse)
Common Stock
- 692(indirect: By 401(k))
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 $128.25 to $128.39 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. Falzon continues to hold 210,031 shares directly and 692 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 50,260 unvested restricted stock units and 217,164 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- [F3]Amount reported has been adjusted to include 5 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2023, and September 30, 2024, based on a plan statement dated September 30, 2024. 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 options vest in three equal annual installments beginning on February 14, 2018.
- [F5]The options vest in three equal annual installments beginning on February 13, 2019.
Documents
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeother
Related Parties
1- filerCIK 0001256465
Filing Metadata
- Form type
- 4
- Filed
- Nov 7, 7:00 PM ET
- Accepted
- Nov 8, 3:22 PM ET
- Size
- 15.9 KB