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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Feb 14, 2012
30092_dirs_2012-02-14_1b40f260-b040-4580-b86b-f5b78d243a7f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2012-02-10
Reporting Person: Blount Susan L (SVP & General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-10 | Common Stock | M | 21172.0000 | $0.0000 | Acquired | 41458.0000 | Direct |
| 2012-02-10 | Common Stock | F | 6794.0000 | $59.0000 | Disposed | 34664.0000 | Direct |
| 2012-02-13 | Common Stock | S | 3175.0000 | $59.3000 | Disposed | 31489.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-10 | 2/10/09 Restricted Stock Units | $0.0000 | M | 21172.0000 | Disposed | Common Stock (21172.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1244.0000 | Indirect |
Footnotes
F1: Represents the vesting of previously awarded restricted stock units.
F2: Represents shares withheld for the payment of taxes when restricted shares vested.
F3: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2011.
F4: Following the transactions reported on this Form 4, Ms. Blount continues to hold 31,489 shares directly and 1,244 shares indirectly in a 401(k) account. Mr. Blount also holds an additional 131,823 vested stock options, 28,922 unvested stock options, and 9,550 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F5: Amount reported has been adjusted to include 113 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2010 and December 31, 2011 based on a plan statement dated December 31, 2011. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F6: The Restricted Stock Units convert to common stock on a 1 to 1 basis.
F7: The Restricted Stock Units will vest on February 10, 2012.