SEC Form 4 · accession 0001127602-16-062833
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Todman
Director
Period of report
Sep 15, 2016
Accepted (ET)
Sep 19, 2016 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001137774
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Restricted Stock UnitsF1,F2 | $0.00 | Sep 15, 2016 | A | 18 | A | — | — | Common Stock | 18 | 2,172 | D |
| 5/10/2016 Restricted Stock UnitsF1,F3 | $0.00 | Sep 15, 2016 | A | 17 | A | — | — | Common Stock | 17 | 1,980 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of PRU common stock.
- F2The restricted stock units vest in one year on March 8, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.
- F3The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.