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PRUDENTIAL FINANCIAL INC — Director's Dealing 2012
Nov 26, 2012
30092_dirs_2012-11-26_22158aaa-b399-40f4-9766-01b013ab5cb3.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: 2012-11-21
Reporting Person: Sleyster Scott (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-21 | Common Stock | M | 25230.0000 | $29.9000 | Acquired | 39201.0000 | Direct |
| 2012-11-21 | Common Stock | S | 25230.0000 | $50.8100 | Disposed | 13971.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-21 | 2/11/03 Employee Stock Option (right to buy) | $29.9000 | M | 25230.0000 | Disposed | 2013-02-11 | Common Stock (25230.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5610.0000 | 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 $50.82 to $50.79, 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. Sleyster continues to hold 13,971 shares directly and 5,610 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 116,171 vested stock options, 29,670 unvested stock options, and 7,514 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.