SEC Form 4 · accession 0001127602-16-066926

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Executive Vice President

Period of report

Nov 9, 2016

Accepted (ET)

Nov 14, 2016 · 3:37 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 9, 2016	M	41,581	$48.36	A	83,717	D
Common Stock	Nov 9, 2016	M	74,667	$64.01	A	158,384	D
Common Stock^F1	Nov 9, 2016	S	121,976	$90.00	D	36,408	D
Common Stock	Nov 10, 2016	M	7,369	$91.73	A	43,777	D
Common Stock^F1,F2	Nov 10, 2016	S	7,369	$95.00	D	36,408	D
Common Stock	holding	—	—		—	203	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
2010 Employee Stock Option (Right to Buy)^F3	$48.36	Nov 9, 2016	M	41,581	D	—	Feb 9, 2020	Common Stock	41,581	D
2011 Employee Stock Option (Right to Buy)^F4	$64.01	Nov 9, 2016	M	74,667	D	—	Feb 8, 2021	Common Stock	74,667	D
2/13/07 Employee Stock Option (Right to Buy)^F5	$91.73	Nov 10, 2016	M	7,369	D	—	Feb 13, 2017	Common Stock	7,369	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 36,408 shares directly and 203 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 277,211 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).
F3The option vested in three equal annual installments beginning on February 9, 2011.
F4The option vested in three equal annual installments beginning on February 8, 2012.
F5The option vested in three equal annual installments beginning on February 13, 2008.