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PRUDENTIAL FINANCIAL INC — Director's Dealing 2015
Oct 5, 2015
30092_dirs_2015-10-05_ce5cedce-799f-453e-a6df-c2a9559d7265.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: 2015-10-01
Reporting Person: Harris Timothy P (EVP and General Counsel)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9751 | Direct |
| Common Stock | 1277 | 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 (5527) | Direct | |
| 2010 Employee Stock Option (Right to Buy) | $48.36 | 2020-02-09 | Common Stock (8317) | Direct | |
| 2011 Employee Stock Option (Right to Buy) | $64.01 | 2021-02-08 | Common Stock (8534) | Direct | |
| 2012 Employee Stock Option (Right to Buy) | $59.41 | 2022-02-14 | Common Stock (10527) | Direct | |
| 2013 Employee Stock Option (Right to Buy) | $57.00 | 2023-02-12 | Common Stock (11628) | Direct | |
| 2013 Restricted Stock Units | $0 | Common Stock (4175) | Direct | ||
| 2014 Employee Stock Option (Right to Buy) | $84.53 | 2024-02-11 | Common Stock (3464) | Direct | |
| 2014 Performance Shares | $0 | Common Stock (906) | Direct | ||
| 2014 Restricted Stock Units | $0 | Common Stock (2717) | Direct | ||
| 2015 Employee Stock Option (Right to Buy) | $78.08 | 2025-02-10 | Common Stock (6569) | Direct | |
| 2015 Performance Shares | $0 | Common Stock (2373) | Direct | ||
| 4/15/2014 Employee Stock Option (Right to Buy) | $78.61 | 2024-04-15 | Common Stock (1337) | Direct | |
| 4/15/2014 Performance Shares | $0 | Common Stock (525) | Direct |
Footnotes
F1: The option vested in three equal annual installments beginning on February 13, 2008.
F2: The option vested in three equal annual installments beginning on February 9, 2011.
F3: The option vested in three equal annual installments beginning on February 8, 2012.
F4: The option vested in three equal annual installments beginning on February 14, 2013.
F5: The option vests in three equal annual installments beginning on February 12, 2014.
F6: The Restricted Stock Units will vest on February 12, 2016.
F7: The option vests in three equal annual installments beginning on February 11, 2015.
F8: 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.
F9: The Restricted Stock Units will vest on February 11, 2017.
F10: The options vest in three equal annual installments beginning on February 10, 2016.
F11: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2015 through 2017 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2018.
F12: The option vests in three equal annual installments beginning on April 15, 2015.
F13: 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.