SEC Form 4 · accession 0001127602-16-066930

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 10, 2016

Accepted (ET)

Nov 14, 2016 · 3:43 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	3,040	$91.73	A	5,604	D
Common Stock^F1,F2	Nov 10, 2016	S	3,040	$94.00	D	2,564	D
Common Stock^F3	holding	—	—		—	581	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	3,040	D	—	Feb 13, 2017	Common Stock	3,040	0	D

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.
F2Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 581 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,716 deferred compensation shares, 31,042 vested stock options, 92,518 unvested stock options, and 43,637 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 option vested in three equal annual installments beginning on February 13, 2008.