SEC Form 4 · accession 0001127602-16-064529

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — EVP and CFO

Period of report

Oct 5, 2016

Accepted (ET)

Oct 7, 2016 · 3:06 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	10,106	$78.08	A	46,550	D
Common Stock^F1,F2	Oct 5, 2016	S	9,781	$85.00	D	36,769	D
Common Stock^F3	holding	—	—		—	576	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2015 Employee Stock Option (Right to Buy)^F4	$78.08	Oct 5, 2016	M	10,106	D	—	Feb 10, 2025	Common Stock	10,106	20,213	D

F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 9, 2016.
F2Following the transactions reported on this Form 4, Mr. Falzon continues to hold 36,769 shares directly and 576 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 15,007 vested stock options, 78,191 unvested stock options and 36,401 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 3 shares 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 options vest in three equal annual installments beginning on February 10, 2016.