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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Jun 20, 2012
30092_dirs_2012-06-20_0152e699-e674-4eda-81e8-4a5ba76d559f.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: 2012-06-12
Reporting Person: Lambert Richard F (Senior Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5450.0000 | Direct |
| Common Stock | 4565.0000 | Indirect |
| Common Stock | 72.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 2/10/04 Employee Stock Option (right to buy) | $45.0000 | 2014-02-10 | Common Stock (2883.0000) | Direct | |
| 2/10/09 Employee Stock Option (right to buy) | $25.3000 | 2019-02-10 | Common Stock (2610.0000) | Direct | |
| 2/12/08 Employee Stock Option (right to buy) | $69.0300 | 2018-02-12 | Common Stock (3152.0000) | Direct | |
| 2/13/07 Employee Stock Option (right to buy) | $91.7300 | 2017-02-13 | Common Stock (2912.0000) | Direct | |
| 2/14/06 Employee Stock Option (right to buy) | $76.1500 | 2016-02-14 | Common Stock (1692.0000) | Direct | |
| 2/8/05 Employee Stock Option (right to buy) | $55.7500 | 2015-02-08 | Common Stock (2376.0000) | Direct | |
| 2010 Employee Stock Option (right to buy) | $48.3600 | 2020-02-09 | Common Stock (2911.0000) | Direct | |
| 2010 Restricted Stock Units | $0.0000 | Common Stock (1608.0000) | Direct | ||
| 2011 Employee Stock Option (right to buy) | $64.0100 | 2021-02-08 | Common Stock (2987.0000) | Direct | |
| 2011 Restricted Stock Units | $0.0000 | Common Stock (1373.0000) | Direct | ||
| 2012 Employee Stock Option (right to buy) | $59.4100 | 2022-02-14 | Common Stock (3816.0000) | Direct | |
| 2012 Restricted Stock Units | $0.0000 | Common Stock (1575.0000) | Direct | ||
| 5/8/2012 Employee Stock Option (right to buy) | $51.5800 | 2022-05-08 | Common Stock (1313.0000) | Direct | |
| 5/8/2012 Performance Shares | $0.0000 | Common Stock (181.0000) | Direct |
Footnotes
F1: 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.
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 beginning on February 12, 2009.
F5: The option vested in three equal annual installments beginning on February 13, 2008.
F6: The option vested in three equal annual installments beginning on February 14, 2007.
F7: The option vested in three equal annual installments beginning on February 8, 2006.
F8: The options vest in three equal annual installments beginning on February 9, 2011.
F9: The Restricted Stock Units will vest on February 9, 2013.
F10: The options vest in three equal annual installments beginning on February 8, 2012.
F11: The Restricted Stock Units will vest on February 8, 2014.
F12: The options vest in three equal annual installments beginning on February 14, 2013.
F13: The Restricted Stock Units will vest on February 14, 2015.
F14: The options vest in three equal annual installments beginning on May 8, 2013.
F15: 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.