4//SEC Filing
Baird Edward P 4
Accession 0001225208-13-011948
CIK 0001137774other
Filed
May 9, 8:00 PM ET
Accepted
May 10, 3:07 PM ET
Size
10.9 KB
Accession
0001225208-13-011948
Insider Transaction Report
Form 4
Baird Edward P
Executive Vice President
Transactions
- Exercise/Conversion
2/10/04 Employee Stock Option (right to buy)
2013-05-08−18,344→ 0 totalExercise: $45.00Exp: 2014-02-10→ Common Stock (18,344 underlying) - Sale
Common Stock
2013-05-08$65.87/sh−18,344$1,208,319→ 63,006 total - Exercise/Conversion
Common Stock
2013-05-08$45.00/sh+18,344$825,480→ 81,350 total
Holdings
- 1,598(indirect: By 401(k))
Common Stock
- 110(indirect: By Spouse)
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 $65.86 to $65.93, 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. Baird continues to hold 63,006 shares directly and 1,598 shares indirectly in a 401(k) account. Mr. Baird also holds an additional 293,946 vested stock options, 184,483 unvested stock options, and 34,648 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- [F3]Amount reported has been adjusted to include 67 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2012 and March 31, 2013 based on a plan statement dated March 31, 2013. 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 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 option vested in three equal annual installments beginning on February 10, 2005.
Documents
Issuer
PRUDENTIAL FINANCIAL INC
CIK 0001137774
Entity typeother
Related Parties
1- filerCIK 0001424854
Filing Metadata
- Form type
- 4
- Filed
- May 9, 8:00 PM ET
- Accepted
- May 10, 3:07 PM ET
- Size
- 10.9 KB