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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Feb 14, 2012
30092_dirs_2012-02-14_0466f01f-8666-4623-bc03-73039a26cd31.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: Koster Barbara (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-10 | Common Stock | M | 12703.0000 | $0.0000 | Acquired | 24778.0000 | Direct |
| 2012-02-10 | Common Stock | F | 3848.0000 | $59.0000 | Disposed | 20930.0000 | Direct |
| 2012-02-13 | Common Stock | M | 9897.0000 | $33.9500 | Acquired | 30827.0000 | Direct |
| 2012-02-13 | Common Stock | S | 6964.0000 | $59.9400 | Disposed | 23863.0000 | 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 | 12703.0000 | Disposed | Common Stock (12703.0000) | Direct | |
| 2012-02-13 | 6/19/02 Employee Stock Option (right to buy) | $33.9500 | M | 9897.0000 | Disposed | 2012-06-19 | Common Stock (9897.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 788.0000 | 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: Following the transactions reported on this Form 4, Ms. Koster continues to hold 23,863 shares directly and 788 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 90,794 vested stock options, 15,883 unvested stock options, and 5,102 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F4: Amount reported has been adjusted to include 59 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between March 31, 2011 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).
F5: The Restricted Stock Units convert to common stock on a 1 to 1 basis.
F6: The Restricted Stock Units will vest on February 10, 2012.
F7: The option vested in three equal annual installments on June 19, 2003, 2004 and 2005.