SEC Form 4 · accession 0001127602-17-010042

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Barbara Koster

Officer — Senior Vice President

Period of report

Mar 2, 2017

Accepted (ET)

Mar 3, 2017 · 3:17 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	Mar 2, 2017	M	6,927	$84.53	A	45,245	D
Common Stock	Mar 2, 2017	M	17,067	$64.01	A	62,312	D
Common Stock^F1	Mar 2, 2017	S	20,409	$112.72	D	41,903	D
Common Stock^F2,F3	Mar 2, 2017	S	13,334	$113.11	D	28,569	D
Common Stock	holding	—	—		—	7	I	By 401(k)

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2014 Employee Stock Option (Right to Buy)^F4	$84.53	Mar 2, 2017	M	6,927	D	—	Feb 11, 2024	Common Stock	6,927	0	D
2011 Employee Stock Option (Right to Buy)^F5	$64.01	Mar 2, 2017	M	17,067	D	—	Feb 8, 2021	Common Stock	17,067	0	D

Explanation of responses

F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.20 to $113.19, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $113.20 to $113.59 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
F3Following the transactions reported on this Form 4, Ms. Koster continues to hold 28,569 shares directly and 7 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 72,364 vested stock options, 21,009 unvested stock options, and 14,372 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F4The options vest in three equal annual installments beginning on February 11, 2015.
F5The options vest in three equal annual installments beginning on February 8, 2012.