SEC Form 4 · accession 0001127602-16-064526

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — EVP and General Counsel

Period of report

Oct 5, 2016

Accepted (ET)

Oct 7, 2016 · 3:01 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	Oct 5, 2016	M	8,317	$48.36	A	20,924	D
Common Stock^F1,F2	Oct 5, 2016	S	6,531	$85.00	D	14,393	D
Common Stock^F3	holding	—	—		—	1,361	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2010 Employee Stock Option (Right to Buy)^F4	$48.36	Oct 5, 2016	M	8,317	D	—	Feb 9, 2020	Common Stock	8,317	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 May 11, 2016.
F2Following the transactions reported on this Form 4, Mr. Harris continues to hold 14,393 shares directly and 1,361 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 45,170 vested stock options, 38,349 unvested stock options, 2,717 restricted stock units and 15,979 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 75 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2015 and September 30, 2016 based on a plan statement dated September 30, 2016. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F4The option vested in three equal annual installments beginning on February 9, 2011.