SEC Form 4 · accession 0001127602-18-029099

PRUDENTIAL FINANCIAL INC · PRU

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

Reporting owner

Scott Sleyster

Officer — Senior Vice President

Period of report

Sep 28, 2018

Accepted (ET)

Oct 2, 2018 · 4:48 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	Sep 28, 2018	M	23,300	$25.30	A	57,758	D
Common Stock^F2	Sep 28, 2018	S	11,000	$99.39	D	46,758	D
Common Stock^F3,F4	Sep 28, 2018	S	12,300	$100.05	D	34,458	D
Common Stock^F5	holding	—	—		—	7,025	I	By 401(k)

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2/10/09 Employee Stock Option (Right to Buy)^F6	$25.30	Sep 28, 2018	M	23,300	D	—	Feb 10, 2019	Common Stock	23,300	0	D

Explanation of responses

F1The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 29, 2018.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.80 to $99.80, 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 (2) to this Form 4.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.81 to $100.35, 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 (3) to this Form 4.
F4Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 34,458 shares directly and 7,025 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 79,008 deferred compensation shares, 131,175 vested stock options, 27,069 unvested stock options, and 24,601 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F5Amount reported has been adjusted to include 204 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2017 and September 30, 2018 based on a plan statement dated September 30, 2018. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F6The option vests in three equal annual installments beginning on February 10, 2010.