SEC Form 4 · accession 0001127602-15-031645
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Sleyster
Officer — Senior Vice President
Period of report
Nov 15, 2015
Accepted (ET)
Nov 17, 2015 · 3:21 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 | Nov 15, 2015 | M | 1,318 | $0.00 | A | 22,464 | D | |
| Common StockF2 | Nov 15, 2015 | F | 599 | $84.29 | D | 21,865 | D | |
| Common StockF3 | holding | — | — | — | 6,336 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 11/15/2012 Restricted Stock UnitsF4,F5 | $0.00 | Nov 15, 2015 | M | 1,318 | D | — | — | Common Stock | 1,318 | 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.
- F3Amount reported has been adjusted to include 201 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 Restricted Stock Units convert to common stock on a 1 to 1 basis.
- F5The Restricted Stock Units vested on November 15, 2015.