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PRUDENTIAL FINANCIAL INC — Director's Dealing 2014
Apr 9, 2014
30092_dirs_2014-04-09_deb03759-b35d-4059-b315-f88ca2ea746e.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: 2014-04-04
Reporting Person: Pelletier Stephen (Executive Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 414 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 2/13/07 Employee Stock Option (Right to Buy) | $91.73 | 2017-02-13 | Common Stock (3040) | Direct | |
| 2012 Employee Stock Option (Right to Buy) | $59.41 | 2022-02-14 | Common Stock (5702) | Direct | |
| 2012 Performance Shares | $0 | Common Stock (2353) | Direct | ||
| 2013 Employee Stock Option (Right to Buy) | $57.00 | 2023-02-12 | Common Stock (43605) | Direct | |
| 2013 Performance Shares | $0 | Common Stock (5219) | Direct | ||
| 2014 Employee Stock Option (Right to Buy) | $84.53 | 2024-02-11 | Common Stock (12988) | Direct | |
| 2014 Performance Shares | $0 | Common Stock (5094) | Direct | ||
| Deferred Compensation Shares | $0 | Common Stock (17321) | Direct |
Footnotes
F1: The option vested in three equal annual installments beginning on February 13, 2008.
F2: The options vest in three equal annual installments beginning on February 14, 2013.
F3: 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.
F4: The options vest in three equal annual installments beginning on February 12, 2014.
F5: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2013 through 2015 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2016.
F6: The options vest in three equal annual installments beginning on February 11, 2015.
F7: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2014 through 2016 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2017.
F8: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.
F9: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.