SEC Form 4 · accession 0001127602-17-017732
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christine A Poon
Director
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 4:09 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 | 13,589 | D | |
| Common Stock | May 9, 2017 | D | 2,006 | $107.88 | D | 11,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017 Restricted Stock UnitsF1,F2 | — | May 9, 2017 | A | 1,390 | A | — | — | Common Stock | 1,390 | 1,390 | D |
| 2016 Restricted Stock UnitsF1,F3 | $0.00 | May 9, 2017 | M | 2,006 | D | — | — | Common Stock | 2,006 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive the economic equivalent of one share of PRU common stock.
- F2The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2018 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.
- F3The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.