SEC Form 4 · accession 0001127602-19-005053
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
Feb 9, 2019
Accepted (ET)
Feb 11, 2019 · 3:38 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 | Feb 9, 2019 | M | 8,658 | $0.00 | A | 20,161 | D | |
| Common StockF2 | Feb 9, 2019 | F | 2,697 | $90.99 | D | 17,464 | D | |
| Common Stock | holding | — | — | — | 216 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Restricted Stock UnitsF3,F4 | $0.00 | Feb 9, 2019 | M | 8,658 | D | — | — | Common Stock | 8,658 | 0 | D |
Explanation of responses
- F1Represents the vesting of previously awarded restricted stock units.
- F2Represents shares withheld for the payment of taxes when restricted shares vested.
- F3The Restricted Stock Units convert to common stock on a 1 to 1 basis.
- F4The Restricted Stock Units vested on February 9, 2019.