SEC Form 4 · accession 0001127602-16-066931

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — Senior Vice President

Period of report

Nov 9, 2016

Accepted (ET)

Nov 14, 2016 · 3:45 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	4,690	$69.03	A	29,496	D
Common Stock^F1	Nov 9, 2016	S	4,690	$90.00	D	24,806	D
Common Stock	Nov 10, 2016	M	12,434	$91.73	A	37,240	D
Common Stock^F1,F2	Nov 10, 2016	S	12,434	$95.00	D	24,806	D
Common Stock	holding	—	—		—	6,632	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2/12/08 Employee Stock Option (Right to Buy)^F3	$69.03	Nov 9, 2016	M	4,690	D	—	Feb 12, 2018	Common Stock	4,690	0	D
2/13/07 Employee Stock Option (Right to Buy)^F4	$91.73	Nov 10, 2016	M	12,434	D	—	Feb 13, 2017	Common Stock	12,434	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 13, 2016.
F2Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 24,806 shares directly and 6,632 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 74,368 deferred compensation shares, 110,019 vested stock options, 52,202 unvested stock options, 1,318 restricted stock units and 23,143 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 12, 2009.
F4The option vested in three equal annual installments beginning on February 13, 2008.