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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Dec 7, 2012
30092_dirs_2012-12-07_e2436e6d-5de6-4d49-a16b-993b41798c08.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: 2012-12-06
Reporting Person: Koster Barbara (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-06 | Common Stock | M | 8487.0000 | $29.9000 | Acquired | 32350.0000 | Direct |
| 2012-12-06 | Common Stock | S | 8487.0000 | $52.3600 | Disposed | 23863.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-06 | 2/11/03 Employee Stock Option (right to buy) | $29.9000 | M | 8487.0000 | Disposed | 2013-02-11 | Common Stock (8487.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 857.0000 | 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 $52.30 to $52.53, 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: Following the transactions reported on this Form 4, the reporting person continues to hold 23,863 shares directly and 857 shares indirectly in a 401(k) account. the reporting person also holds an additional 90,974 vested stock options, 36,936 unvested stock options, and 7,998 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: The option vests in three equal annual installments beginning on February 11, 2004.