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PRUDENTIAL FINANCIAL INC — Director's Dealing 2011
Feb 22, 2011
30092_dirs_2011-02-22_bd9b6d6b-a382-40c7-9f6a-feebeb34dc97.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2011-02-11
Reporting Person: Lowrey Charles F (Senior Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14606.0000 | Direct |
| Common Stock | 884.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 1/18/08 Employee Stock Option (right to buy) | $80.0000 | 2018-01-18 | Common Stock (35795.0000) | Direct | |
| 1/18/08 Restricted Stock Units | $0.0000 | Common Stock (3181.0000) | Direct | ||
| 2/10/09 Employee Stock Option (right to buy) | $25.3000 | 2019-02-10 | Common Stock (68966.0000) | Direct | |
| 2/10/09 Restricted Stock Units | $0.0000 | Common Stock (39168.0000) | Direct | ||
| 2/12/08 Employee Stock Option (right to buy) | $69.0300 | 2018-02-12 | Common Stock (41644.0000) | Direct | |
| 2/13/07 Employee Stock Option (right to buy) | $91.7300 | 2017-02-13 | Common Stock (7369.0000) | Direct | |
| 2/14/06 Employee Stock Option (right to buy) | $76.1500 | 2016-02-14 | Common Stock (7959.0000) | Direct | |
| 2/8/05 Employee Stock Option (right to buy) | $55.7500 | 2015-02-08 | Common Stock (6988.0000) | Direct | |
| 2010 Employee Stock Option (right to buy) | $48.3600 | 2020-02-09 | Common Stock (41581.0000) | Direct | |
| 2010 Performance Shares | $0.0000 | Common Stock (7655.0000) | Direct | ||
| 2011 Employee Stock Option (right to buy) | $64.0100 | 2021-02-08 | Common Stock (74667.0000) | Direct | |
| 2011 Performance Shares | $0.0000 | Common Stock (11435.0000) | Direct | ||
| 6/19/02 Employee Stock Option (right to buy) | $33.9500 | 2012-06-19 | Common Stock (10906.0000) | Direct |
Footnotes
F1: The option vests with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012.
F2: The restricted stock units vest with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012.
F3: The option vests in three equal annual installments beginning on February 10, 2010.
F4: The Restricted Stock Units will vest on February 10, 2012.
F5: The option vested in three equal annual installments beginning on February 12, 2009.
F6: The option vested in three equal annual installments beginning on February 13, 2008.
F7: The option vested in three equal annual installments beginning on February 14, 2007.
F8: The option vested in three equal annual installments beginning on February 8, 2006.
F9: The options vest in three equal annual installments beginning on February 9, 2011.
F10: Represents the target number of shares to be received upon attainment of the Company's annual EPS and ROE goals over the 2010 through 2012 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2013.
F11: The options vest in three equal annual installments beginning on February 8, 2012.
F12: Represents the target number of shares to be received upon attainment of the Company's annual EPS and ROE goals over the 2011 through 2013 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2014.
F13: The option vested in three equal annual installments on June 19, 2003, 2004 and 2005.