SEC Form 5 · accession 0001127602-19-005051
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy L Schmidt
Officer — Senior Vice President
Period of report
Dec 31, 2018
Accepted (ET)
Feb 11, 2019 · 3:34 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 StockF1,F2 | Dec 13, 2018 | G | 100 | $0.00 | D | 11,503 | D | |
| Common StockF3 | holding | — | — | — | 216 | I | By 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift to a 501(c)(3) charitable foundation.
- F2Following the transactions reported on this Form 5, Mr. Schmidt continues to hold 11,503 shares directly and 216 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 26,626 vested stock options, 19,979 restricted stock units, and 2,831 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 September 30, 2018 and December 31, 2018 based on a plan statement dated December 31, 2018. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).