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PRUDENTIAL FINANCIAL INC — Director's Dealing 2018
Jul 19, 2018
30092_dirs_2018-07-19_29d5752a-4e61-419f-92fc-d0e2ce5ebdda.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: 2012-06-13
Reporting Person: Baltimore Thomas J Jr (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-13 | Common Stock | S | 250 | $47.81 | Disposed | 0 | Direct |
| 2013-10-30 | Common Stock | P | 65 | $81.72 | Acquired | 65 | Direct |
| 2014-01-22 | Common Stock | S | 16 | $90.23 | Disposed | 49 | Direct |
| 2015-10-15 | Common Stock | S | 25 | $77.82 | Disposed | 24 | Direct |
| 2016-07-25 | Common Stock | S | 14 | $75.39 | Disposed | 10 | Direct |
| 2016-08-01 | Common Stock | S | 10 | $75.23 | Disposed | 0 | Direct |
Footnotes
F1: Transaction was inadvertently effected by a broker through a broker managed account without any instruction from or knowledge of the reporting person.
F2: The 10/30/2013 purchase at a price of $81.72 per share was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 16 shares, with the sale on 1/22/2014 of 16 shares at a price of $90.23 per share. The reporting person has paid the issuer $136.16, representing the full amount of the profit realized in connection with the short-swing transaction.