SEC Form 4 · accession 0001127602-15-030425

PRUDENTIAL FINANCIAL INC · PRU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Nov 3, 2015

Accepted (ET)

Nov 5, 2015 · 4:09 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 Stock	Nov 3, 2015	M	7,959	$76.15	A	51,965	D
Common Stock^F1,F2	Nov 3, 2015	S	7,959	$85.00	D	44,006	D
Common Stock^F3	holding	—	—		—	126	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2/14/06 Employee Stock Option (Right to Buy)^F4	$76.15	Nov 3, 2015	M	7,959	D	—	Feb 14, 2016	Common Stock	7,959	0	D

F1The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2015.
F2Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 44,006 shares directly and 126 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 406,516 vested stock options, 115,058 unvested stock options, and 47,360 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 66 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2014 and September 30, 2015 based on a plan statement dated September 30, 2015. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F4The option vested in three equal annual installments beginning on February 14, 2007.