SEC Form 4 · accession 0001127602-17-017715
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Cullen
Director
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 3:59 pm EDT
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 | May 9, 2017 | M | 2,006 | $0.00 | A | 4,006 | D | |
| Common Stock | May 9, 2017 | D | 2,006 | $107.88 | D | 2,000 | D | |
| Common StockF1 | holding | — | — | — | 33 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Restricted Stock UnitsF2,F3 | $0.00 | May 9, 2017 | M | 2,006 | D | — | — | Common Stock | 2,006 | 0 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
- F2Each restricted stock unit represents a contingent right to receive the economic equivalent of one share of PRU common stock.
- F3The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.