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PRUDENTIAL FINANCIAL INC — Director's Dealing 2018
Dec 10, 2018
30092_dirs_2018-12-10_bc098d03-308f-43a0-8c62-94df0a9fcb95.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: 2018-12-01
Reporting Person: TANJI KENNETH (EVP and CFO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14501 | Direct |
| Common Stock | 38 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 2011 Employee Stock Option (Right to Buy) | $64.01 | 2021-02-08 | Common Stock (9600) | Direct | |
| 2012 Employee Stock Option (Right to Buy) | $59.41 | 2022-02-14 | Common Stock (11843) | Direct | |
| 2013 Employee Stock Option (Right to Buy) | $57.00 | 2023-02-12 | Common Stock (17442) | Direct | |
| 2014 Employee Stock Option (Right to Buy) | $84.53 | 2024-02-11 | Common Stock (5195) | Direct | |
| 2015 Employee Stock Option (Right to Buy) | $78.08 | 2025-02-10 | Common Stock (9096) | Direct | |
| 2016 Employee Stock Option (Right to Buy) | $63.59 | 2026-02-09 | Common Stock (8833) | Direct | |
| 2016 Performance Shares | $0 | Common Stock (2909) | Direct | ||
| 2017 Employee Stock Option (Right to Buy) | $110.45 | 2027-02-14 | Common Stock (2669) | Direct | |
| 2017 Performance Shares | $0 | Common Stock (2063) | Direct | ||
| 2018 Employee Stock Option (Right to Buy) | $106.89 | 2028-02-13 | Common Stock (2357) | Direct | |
| 2018 Performance Shares | $0 | Common Stock (1785) | Direct |
Footnotes
F1: The options vest in three equal annual installments beginning on February 8, 2012.
F2: The options vest in three equal annual installments beginning on February 14, 2013.
F3: The options vest in three equal annual installments beginning on February 12, 2014.
F4: The options vest in three equal annual installments beginning on February 11, 2015.
F5: The options vest in three equal annual installments beginning on February 10, 2016.
F6: The options vest 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 and relative performance against certain life insurance peer companies. The actual number of shares to be received will be determined by the Compensation Committee in February 2019.
F8: The options vest in three equal annual installments beginning on February 14, 2018.
F9: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies 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 options vest in three equal annual installments beginning on February 13, 2019.
F11: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021.