SEC Form 4 · accession 0001127602-19-006797
PRUDENTIAL FINANCIAL INC · PRU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Pelletier
Officer — Executive Vice President
Period of report
Feb 15, 2019
Accepted (ET)
Feb 19, 2019 · 4:17 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 | Feb 15, 2019 | S | 6,532 | $94.14 | D | 15,049 | D | |
| Common Stock | holding | — | — | — | 625 | I | By 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.98 to $94.33, 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 (1) to this Form 4.
- F2Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 15,049 shares directly and 625 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 51,306 vested stock options, 119,540 unvested stock options, 34,166 deferred compensation shares, and 39,757 target performance shares (the exact number awarded being dependent on achievement of performance goals).