SEC Form 5 · accession 0001127602-15-005142
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Strangfeld Jr.
Officer — Chief Executive Officer · Director · Other
Period of report
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 11:35 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001137774
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 29, 2014 | G | 2,531 | $0.00 | D | 312,591 | D | |
| Common StockF1,F2 | Aug 13, 2014 | G | 1,255 | $0.00 | D | 311,336 | D | |
| Common StockF3 | holding | — | — | — | 1,559 | I | By 401(k) | |
| Common StockF4,F5 | holding | — | — | — | 579 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift to a 501(c)(3) charitable foundation.
- F2Following the transactions reported on this Form 5, Mr. Strangfeld continues to hold 311,336 shares directly and 1,559 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 964,720 vested stock options, 312,886 unvested stock options, and 89,204 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- F3Amount reported has been adjusted to include 86 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2013 and December 31, 2014 based on a plan statement dated December 31, 2014. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- F4Amount reported has been adjusted to include 6 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2013 and December 31, 2014 based on a plan statement dated December 31, 2014. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
- F5The 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.