SEC Form 4 · accession 0001127602-16-062458

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Executive Vice President

Period of report

Sep 9, 2016

Accepted (ET)

Sep 13, 2016 · 3:49 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	Sep 9, 2016	M	5,702	$59.41	A	8,266	D
Common Stock	Sep 9, 2016	M	33,915	$57.00	A	42,181	D
Common Stock^F1,F2	Sep 9, 2016	S	39,617	$80.00	D	2,564	D
Common Stock	holding	—	—		—	578	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2012 Employee Stock Option (Right to Buy)^F3	$59.41	Sep 9, 2016	M	5,702	D	—	Feb 14, 2022	Common Stock	5,702	0	D
2013 Employee Stock Option (Right to Buy)^F4	$57.00	Sep 9, 2016	M	33,915	D	—	Feb 12, 2023	Common Stock	33,915	0	D

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.
F2Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 578 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,594 deferred compensation shares, 34,082 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3The options vest in three equal annual installments beginning on February 14, 2013.
F4The options vest in three equal annual installments beginning on February 12, 2014.