SEC Form 4 · accession 0001127602-16-041729
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy P Harris
Officer — EVP and General Counsel
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 2:40 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 | Feb 12, 2016 | M | 4,175 | $0.00 | A | 13,926 | D | |
| Common StockF2 | Feb 12, 2016 | F | 1,319 | $61.64 | D | 12,607 | D | |
| Common StockF3 | holding | — | — | — | 1,286 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2013 Restricted Stock UnitsF4,F5 | $0.00 | Feb 12, 2016 | M | 4,175 | D | — | — | Common Stock | 4,175 | 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 9 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between September 30, 2015 and December 31, 2015 based on a plan statement dated December 31, 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 will vest on February 12, 2016.