SEC Form 4/A · accession 0001127602-15-017205
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert Falzon
Officer — EVP and CFO
Period of report
Nov 25, 2013
Accepted (ET)
May 14, 2015 · 1:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001137774
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2012 Employee Stock Option (Right to Buy)F1,F2 | $59.41 | Nov 25, 2013 | M | 4,386 | D | — | Feb 14, 2022 | Common Stock | 4,386 | 8,772 | D |
| 2011 Employee Stock Option (Right to Buy)F1,F3 | $64.01 | Nov 25, 2013 | M | 7,111 | D | — | Feb 8, 2021 | Common Stock | 7,111 | 3,556 | D |
Explanation of responses
- F1Amendment due to an error in allocating the number of options exercised to the wrong option year.
- F2The options vest in three equal annual installments beginning on February 14, 2013.
- F3The options vest in three equal annual installments beginning on February 8, 2012.