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PRUDENTIAL FINANCIAL INC — Director's Dealing 2014
Mar 12, 2014
30092_dirs_2014-03-12_cb779d18-db76-4bd7-9b65-0635da9b7e62.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: 2014-03-10
Reporting Person: FALZON ROBERT (EVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-10 | Common Stock | M | 3556 | $64.01 | Acquired | 20512 | Direct |
| 2014-03-10 | Common Stock | M | 4386 | $59.41 | Acquired | 24898 | Direct |
| 2014-03-10 | Common Stock | M | 19380 | $57.00 | Acquired | 44278 | Direct |
| 2014-03-10 | Common Stock | S | 22533 | $88.35 | Disposed | 21745 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-10 | 2011 Employee Stock Option (Right to Buy) | $64.01 | M | 3556 | Disposed | 2021-02-08 | Common Stock (3556) | Direct |
| 2014-03-10 | 2012 Employee Stock Option (Right to Buy) | $59.41 | M | 4386 | Disposed | 2022-02-14 | Common Stock (4386) | Direct |
| 2014-03-10 | 2013 Employee Stock Option (Right to Buy) | $57.00 | M | 19380 | Disposed | 2023-02-12 | Common Stock (19380) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 397 | 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 $88.06 to $88.65 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. Falzon continues to hold 21,745 shares directly and 397 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 65,657 unvested stock options and 17,597 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: The options vest in three equal annual installments beginning on February 8, 2012.
F4: The options vest in three equal annual installments beginning on February 14, 2013.
F5: The options vest in three equal annual installments beginning on February 12, 2014.