SEC Form 4 · accession 0001127602-17-021143
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Strangfeld Jr.
Officer — Chief Executive Officer · Director · Other
Period of report
Feb 17, 2017
Accepted (ET)
Jun 12, 2017 · 1:37 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 StockF1,F2 | Feb 17, 2017 | G | 7,219 | $0.00 | D | 285,454 | D | |
| Common Stock | holding | — | — | — | 1,775 | I | By 401(k) | |
| Common StockF3 | holding | — | — | — | 592 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gifts to 501(c)(3) charitable foundations.
- F2Following the transaction reported on this Form 4, Mr. Strangfeld continues to hold 285,454 shares directly and 1,775 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 814,369 vested stock options, 186,367 unvested stock options, 41,835 deferred compensation shares, and 101,030 target performance shares (the exact number awarded being dependent on achievement of performance goals).
- F3The 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.