SEC Form 4 · accession 0001127602-16-051969
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert F Casellas
Director
Period of report
May 10, 2016
Accepted (ET)
May 12, 2016 · 4:22 pm EDT
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 | May 10, 2016 | M | 1,795 | $0.00 | A | 2,295 | D | |
| Common Stock | May 10, 2016 | D | 1,795 | $77.16 | D | 500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Restricted Stock UnitsF1,F2 | $0.00 | May 10, 2016 | M | 1,795 | D | — | — | Common Stock | 1,795 | 0 | D |
| 2016 Restricted Stock UnitsF1,F3 | $0.00 | May 10, 2016 | A | 1,944 | A | — | — | Common Stock | 1,944 | 1,944 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive the economic equivalent of one share of PRU common stock.
- F2The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2016.
- F3The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.