SEC Form 4 · accession 0001127602-15-030431

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Senior Vice President

Period of report

Nov 3, 2015

Accepted (ET)

Nov 5, 2015 · 4:15 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	14,923	$76.15	A	70,690	D
Common Stock^F1,F2	Nov 3, 2015	S	14,589	$85.00	D	56,101	D
Common Stock^F3	holding	—	—		—	1,601	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	14,923	D	—	Feb 14, 2016	Common Stock	14,923	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 September 14, 2015.
F2Following the transactions reported on this Form 4, Ms. Taylor continues to hold 56,101 shares directly and 1,601 shares indirectly in a 401(k) account. Ms. Taylor also holds an additional 113,018 vested stock options, 36,067 unvested stock options, and 14,642 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 99 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 vests in three equal annual installments beginning on February 14, 2007.