SEC Form 4 · accession 0001127602-15-033119

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Senior Vice President

Period of report

Dec 1, 2015

Accepted (ET)

Dec 3, 2015 · 3:07 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	Dec 1, 2015	M	13,431	$76.15	A	35,296	D
Common Stock^F1,F2,F3	Dec 1, 2015	S	13,431	$87.04	D	21,865	D
Common Stock	holding	—	—		—	6,336	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	Dec 1, 2015	M	13,431	D	—	Feb 14, 2016	Common Stock	13,431	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 10, 2015.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.65 to $87.54 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
F3Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 21,865 shares directly and 6,336 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 117,388 vested stock options, 38,528 unvested stock options, 1,318 restricted stock units and 15,209 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F4The option vested in three equal annual installments beginning on February 14, 2007.