SEC Form 4 · accession 0001127602-16-064528

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Executive Vice President

Period of report

Oct 5, 2016

Accepted (ET)

Oct 7, 2016 · 3:03 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	35,795	$80.00	A	92,458	D
Common Stock^F1,F2	Oct 5, 2016	S	50,322	$85.00	D	42,136	D
Common Stock^F3	holding	—	—		—	203	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
1/18/08 Employee Stock Option (Right to Buy)^F4	$80.00	Oct 5, 2016	M	35,795	D	—	Jan 18, 2018	Common Stock	35,795	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 10, 2016.
F2Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 42,136 shares directly and 203 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 400,828 vested stock options, 103,244 unvested stock options, and 51,445 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 1 share of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2016 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 vests with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012.