SEC Form 4 · accession 0001127602-18-016887
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert F Casellas
Director
Period of report
May 8, 2018
Accepted (ET)
May 10, 2018 · 12:38 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 8, 2018 | M | 1,431 | $0.00 | A | 1,931 | D | |
| Common Stock | May 8, 2018 | D | 1,431 | $100.10 | D | 500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2018 Restricted Stock UnitsF1,F2 | — | May 8, 2018 | A | 1,498 | A | — | — | Common Stock | 1,498 | 1,498 | D |
| 2017 Restricted Stock UnitsF1,F3 | — | May 8, 2018 | M | 1,431 | D | — | — | Common Stock | 1,431 | 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 8, 2019.
- F3The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2018.