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PRUDENTIAL FINANCIAL INC — Director's Dealing 2014
Dec 16, 2014
30092_dirs_2014-12-16_519a1447-0a10-486b-b42a-be26e11bd9f1.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: 2014-12-12
Reporting Person: TAYLOR SHARON C (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-12 | Common Stock | M | 19565 | $55.75 | Acquired | 70128 | Direct |
| 2014-12-12 | Common Stock | S | 17709 | $88.00 | Disposed | 52419 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-12-12 | 2/8/05 Employee Stock Option (Right to Buy) | $55.75 | M | 19565 | Disposed | 2015-02-08 | Common Stock (19565) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1493 | 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 $88.0 to $88.03, 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, Ms. Taylor continues to hold 52,419 shares directly and 1,493 shares indirectly in a 401(k) account. Ms. Taylor also holds an additional 105,780 vested stock options, 40,036 unvested stock options, and 11,330 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: Amount reported has been adjusted to include 84 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2013 and September 30, 2014 based on a plan statement dated September 30, 2014. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F4: The option vests in three equal annual installments beginning on February 8, 2006.