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PRUDENTIAL FINANCIAL INC — Director's Dealing 2018
Jan 3, 2018
30092_dirs_2018-01-03_339cb85c-a407-4857-8452-31dbd0f8ef18.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: 2018-01-02
Reporting Person: Koster Barbara (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-02 | Common Stock | M | 8758 | $78.08 | Acquired | 37327 | Direct |
| 2018-01-02 | Common Stock | S | 16801 | $115.17 | Disposed | 20526 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-02 | 2015 Employee Stock Option (Right to Buy) | $78.08 | M | 8758 | Disposed | 2025-02-10 | Common Stock (8758) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7 | Indirect |
Footnotes
F1: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2017.
F2: Following the transactions reported on this Form 4, Ms. Koster continues to hold 20,526 shares directly and 7 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 63,606 vested stock options, 21,009 unvested stock options, and 14,372 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 10, 2016.