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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Mar 13, 2012
30092_dirs_2012-03-13_6bb50b80-dde4-4074-ae5f-0aa96a2507e0.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: 2012-03-09
Reporting Person: CARBONE RICHARD J (EVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-03-09 | Common Stock | M | 48917.0000 | $0.0000 | Acquired | 147932.0000 | Direct |
| 2012-03-09 | Common Stock | M | 48463.0000 | $0.0000 | Acquired | 196395.0000 | Direct |
| 2012-03-09 | Common Stock | S | 111479.0000 | $62.0800 | Disposed | 84916.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-03-09 | 2/10/04 Employee Stock Option (right to buy) | $45.0000 | M | 48917.0000 | Disposed | 2014-02-10 | Common Stock (48917.0000) | Direct |
| 2012-03-09 | 2/10/09 Employee Stock Option (right to buy) | $25.3000 | M | 48463.0000 | Disposed | 2019-02-10 | Common Stock (48463.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1065.0000 | 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 $61.79 to $62.32, 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, Mr. Carbone continues to hold 80,770 shares directly and 1,065 shares indirectly in a 401(k) account. Mr. Carbone also holds an additional 200,371 vested stock options, 81,554 unvested stock options, 4,146 restricted stock units and 16,790 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 10, 2005.
F4: The option vests in three equal annual installments beginning on February 10, 2010.