SEC Form 4 · accession 0001127602-15-006765
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard F Lambert
Officer — Senior Vice President
Period of report
Feb 14, 2015
Accepted (ET)
Feb 18, 2015 · 4:34 pm 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 | Feb 14, 2015 | M | 1,575 | $0.00 | A | 8,619 | D | |
| Common StockF2 | Feb 14, 2015 | F | 515 | $80.33 | D | 8,104 | D | |
| Common Stock | holding | — | — | — | 5,064 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 72 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2012 Restricted Stock UnitsF4,F5 | $0.00 | Feb 14, 2015 | M | 1,575 | D | — | — | Common Stock | 1,575 | 0 | D |
Explanation of responses
- F1Represents the vesting of previously awarded restricted stock units.
- F2Represents shares withheld for the payment of taxes when restricted shares vested.
- F3The 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.
- F4The Restricted Stock Units convert to common stock on a 1 to 1 basis.
- F5The Restricted Stock Units will vest on February 14, 2015.