AI assistant
PRUDENTIAL FINANCIAL INC — Director's Dealing 2011
Mar 2, 2011
30092_dirs_2011-03-02_a18307d8-c6d0-4209-9349-7d6a3b53d000.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2011-02-28
Reporting Person: Sayre Peter B (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-28 | Common Stock | M | 3495.0000 | $45.0000 | Acquired | 13806.0000 | Direct |
| 2011-02-28 | Common Stock | S | 3495.0000 | $65.7100 | Disposed | 10311.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-28 | 2/10/04 Employee Stock Option (right to buy) | $45.0000 | M | 3495.0000 | Disposed | 2014-02-10 | Common Stock (3495.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 95.0000 | Indirect |
| Common Stock | 66.0000 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.70 to $65.74, 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.
F2: As reported on prior Forms 4, Mr. Sayre holds an additional 55,946 vested stock options, 19,793 unvested stock options, 8,799 restricted stock units and 2,949 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: Based on a plan statement dated December 31, 2010.
F4: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
F5: The option vested in three equal annual installments beginning on February 10, 2005.