SEC Form 4 · accession 0001127602-17-033522

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Officer — EVP and General Counsel

Period of report

Nov 29, 2017

Accepted (ET)

Nov 30, 2017 · 2:40 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 29, 2017	M	10,527	$59.41	A	30,462	D
Common Stock^F1,F2	Nov 29, 2017	S	10,527	$115.00	D	19,935	D
Common Stock^F3	holding	—	—		—	1,392	I	By 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2012 Employee Stock Option (Right to Buy)^F4	$59.41	Nov 29, 2017	M	10,527	D	—	Feb 14, 2022	Common Stock	10,527	0	D

F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2017.
F2Following the transaction reported on this Form 4, Mr. Harris continues to hold 19,935 shares directly and 1,392 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 36,350 vested stock options, 31,783 unvested stock options, and 21,661 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3Amount reported has been adjusted to include 27 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 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 option vested in three equal annual installments beginning on February 14, 2013.