SEC Form 4 · accession 0001127602-16-066914

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — SVP and Controller

Period of report

Nov 10, 2016

Accepted (ET)

Nov 14, 2016 · 3:25 pm EST

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	Nov 10, 2016	M	1,474	$91.73	A	2,398	D
Common Stock^F1,F2	Nov 10, 2016	S	1,474	$95.00	D	924	D
Common Stock^F3	holding	—	—		—	959	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2/13/07 Employee Stock Option (Right to Buy)^F4	$91.73	Nov 10, 2016	M	1,474	D	—	Feb 13, 2017	Common Stock	1,474	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 September 7, 2016.
F2Following the transactions reported on this Form 4, Mr. Axel continues to hold 924 shares directly and 959 shares indirectly in a 401(k) account. Mr. Axel also holds an additional 5,162 vested stock options, 10,644 unvested stock options and 4,857 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 95 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 13, 2008.