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PRUDENTIAL FINANCIAL INC — Director's Dealing 2017
Nov 21, 2017
30092_dirs_2017-11-21_1de639c5-dbfc-467c-abed-eece48bd78b1.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: 2017-11-15
Reporting Person: Woods Candace (Senior Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4080 | Direct |
| Common Stock | 1305 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 2011 Employee Stock Option (Right to Buy) | $64.01 | 2021-02-08 | Common Stock (1494) | Direct | |
| 2014 Employee Stock Option (Right to Buy) | $84.53 | 2024-02-11 | Common Stock (1213) | Direct | |
| 2015 Employee Stock Option (Right to Buy) | $78.08 | 2025-02-10 | Common Stock (2022) | Direct | |
| 2015 Performance Shares | $0 | Common Stock (487) | Direct | ||
| 2015 Restricted Stock Units | $0 | Common Stock (1460) | Direct | ||
| 2016 Employee Stock Option (Right to Buy) | $63.59 | 2026-02-09 | Common Stock (2524) | Direct | |
| 2016 Performance Shares | $0 | Common Stock (555) | Direct | ||
| 2016 Restricted Stock Units | $0 | Common Stock (1663) | Direct | ||
| 2017 Performance Shares | $0 | Common Stock (427) | Direct | ||
| 2017 Restricted Stock Units | $0 | Common Stock (1281) | Direct | ||
| 10/10/2017 Employee Stock Option (Right to Buy) | $110.00 | 2027-10-10 | Common Stock (1184) | Direct | |
| 10/10/2017 Performance Shares | $0 | Common Stock (916) | Direct |
Footnotes
F1: The option vests in three equal annual installments beginning on February 8, 2012.
F2: The option vests in three equal annual installments beginning on February 11, 2015.
F3: The option vests in three equal annual installments beginning on February 10, 2016.
F4: 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.
F5: The Restricted Stock Units will vest on February 10, 2018.
F6: The option vests in three equal annual installments beginning on February 9, 2017.
F7: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2016 through 2018 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2019.
F8: The Restricted Stock Units will vest on February 9, 2019.
F9: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020.
F10: The Restricted Stock Units will vest on February 14, 2020.
F11: The option vests in three equal annual installments beginning on October 10, 2018.
F12: Represents the target number of shares to be received relative to the Company's average ROE goals for the 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020.