SEC Form 4 · accession 0001127602-17-031873

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, 2017

Accepted (ET)

Nov 13, 2017 · 3:19 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, 2017	M	12,988	$84.53	A	27,927	D
Common Stock	Nov 9, 2017	M	17,517	$78.08	A	45,444	D
Common Stock	Nov 9, 2017	M	10,936	$63.59	A	56,380	D
Common Stock^F1,F2	Nov 9, 2017	S	44,860	$111.77	D	11,520	D
Common Stock^F3	holding	—	—		—	367	I	By 401(k)

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	Nov 9, 2017	M	12,988	D	—	Feb 11, 2024	Common Stock	12,988	0	D
2015 Employee Stock Option (Right to Buy)^F5	$78.08	Nov 9, 2017	M	17,517	D	—	Feb 10, 2025	Common Stock	17,517	8,759	D
2016 Employee Stock Option (Right to Buy)^F6	$63.59	Nov 9, 2017	M	10,936	D	—	Feb 9, 2026	Common Stock	10,936	21,872	D

F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.67 to $111.97 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.
F2Following the transactions reported on this Form 4, Mr. Silitch continues to hold 11,520 shares directly and 367 shares indirectly in a 401(k) account. Mr. Silitch also holds an additional 40,201 unvested stock options, and 27,692 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 3 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2017 and September 30, 2017 based on a plan statement dated September 30, 2017. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F4The options vest in three equal annual installments beginning on February 11, 2015.
F5The options vest in three equal annual installments beginning on February 10, 2016.
F6The options vest in three equal annual installments beginning on February 9, 2017.