SEC Form 4 · accession 0001127602-18-023588
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Baltimore Jr.
Director
Period of report
Jun 13, 2012
Accepted (ET)
Jul 19, 2018 · 2:56 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 | Jun 13, 2012 | S | 250 | $47.81 | D | 0 | D | |
| Common Stock | Oct 30, 2013 | P | 65 | $81.72 | A | 65 | D | |
| Common StockF2 | Jan 22, 2014 | S | 16 | $90.23 | D | 49 | D | |
| Common Stock | Oct 15, 2015 | S | 25 | $77.82 | D | 24 | D | |
| Common Stock | Jul 25, 2016 | S | 14 | $75.39 | D | 10 | D | |
| Common Stock | Aug 1, 2016 | S | 10 | $75.23 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction was inadvertently effected by a broker through a broker managed account without any instruction from or knowledge of the reporting person.
- F2The 10/30/2013 purchase at a price of $81.72 per share was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 16 shares, with the sale on 1/22/2014 of 16 shares at a price of $90.23 per share. The reporting person has paid the issuer $136.16, representing the full amount of the profit realized in connection with the short-swing transaction.