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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Aug 14, 2012
30092_dirs_2012-08-14_5744bd89-6628-49be-b20d-b3b476d541f3.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: 2012-08-06
Reporting Person: Sleyster Scott (Senior Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13971.0000 | Direct |
| Common Stock | 5642.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 12/18/02 Employee Stock Option (right to buy) | $32.0000 | 2012-12-18 | Common Stock (27263.0000) | Direct | |
| 2/10/04 Employee Stock Option (right to buy) | $45.0000 | 2014-02-10 | Common Stock (20965.0000) | Direct | |
| 2/10/09 Employee Stock Option (right to buy) | $25.3000 | 2019-02-10 | Common Stock (23300.0000) | Direct | |
| 2/11/03 Employee Stock Option (right to buy) | $29.9000 | 2013-02-11 | Common Stock (25230.0000) | Direct | |
| 2/12/08 Employee Stock Option (right to buy) | $69.0300 | 2018-02-12 | Common Stock (14069.0000) | Direct | |
| 2/13/07 Employee Stock Option (right to buy) | $91.7300 | 2017-02-13 | Common Stock (12434.0000) | Direct | |
| 2/14/06 Employee Stock Option (right to buy) | $76.1500 | 2016-02-14 | Common Stock (13431.0000) | Direct | |
| 2/8/05 Employee Stock Option (right to buy) | $55.7500 | 2015-02-08 | Common Stock (18866.0000) | Direct | |
| 2010 Employee Stock Option (right to buy) | $48.3600 | 2020-02-09 | Common Stock (12994.0000) | Direct | |
| 2010 Performance Shares | $0.0000 | Common Stock (2392.0000) | Direct | ||
| 2011 Employee Stock Option (right to buy) | $64.0100 | 2021-02-08 | Common Stock (13334.0000) | Direct | |
| 2011 Performance Shares | $0.0000 | Common Stock (2042.0000) | Direct | ||
| 2012 Employee Stock Option (right to buy) | $59.4100 | 2022-02-14 | Common Stock (16448.0000) | Direct | |
| 2012 Performance Shares | $0.0000 | Common Stock (2263.0000) | Direct | ||
| 6/12/2012 Employee Stock Option (right to buy) | $47.6100 | 2022-06-12 | Common Stock (5935.0000) | Direct | |
| 6/12/2012 Performance Shares | $0.0000 | Common Stock (817.0000) | Direct | ||
| Deferred Compensation Shares | $0.0000 | Common Stock (38006.0000) | Direct |
Footnotes
F1: The option vested in three equal annual installments beginning on December 18, 2003.
F2: The option vested in three equal annual installments beginning on February 10, 2005.
F3: The option vests in three equal annual installments beginning on February 10, 2010.
F4: The option vested in three equal annual installments on February 11, 2004, 2005 and 2006.
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 options vest in three equal annual installments beginning on February 14, 2013.
F14: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2012 through 2014 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2015.
F15: The options vest in three equal annual installments beginning on June 12, 2013.
F16: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.