SEC Form 4 · accession 0001127602-19-005055
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Candace Woods
Officer — Senior Vice President
Period of report
Feb 9, 2019
Accepted (ET)
Feb 11, 2019 · 3:43 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 | 1,663 | $0.00 | A | 7,090 | D | |
| Common StockF2 | Feb 9, 2019 | F | 557 | $90.99 | D | 6,533 | D | |
| Common StockF3 | holding | — | — | — | 1,373 | 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 UnitsF4,F5 | $0.00 | Feb 9, 2019 | M | 1,663 | D | — | — | Common Stock | 1,663 | 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.
- F3Amount reported has been adjusted to include 60 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2017 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).
- F4The Restricted Stock Units convert to common stock on a 1 to 1 basis.
- F5The Restricted Stock Units vested on February 9, 2019.