SEC Form 4 · accession 0001127602-15-031880
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Strangfeld Jr.
Officer — Chief Executive Officer · Director · Other
Period of report
Aug 10, 2015
Accepted (ET)
Nov 18, 2015 · 4:52 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,F2 | Aug 10, 2015 | G | 6,989 | $0.00 | D | 300,301 | D | |
| Common Stock | holding | — | — | — | 1,648 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 579 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gifts to 501(c)(3) charitable foundations.
- F2Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 300, 301 shares directly and 1,648 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 1,074,550 vested stock options, 217,330 unvested stock options, and 89,456 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- 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.