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PRUDENTIAL FINANCIAL INC — Director's Dealing 2019
Feb 11, 2019
30092_dirs_2019-02-11_43db5450-7368-4411-9da1-49671001255d.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2018-12-31
Reporting Person: SCHMIDT TIMOTHY L (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-12-13 | Common Stock | G | 100 | — | Disposed | 11503 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 216 | Indirect |
Footnotes
F1: Gift to a 501(c)(3) charitable foundation.
F2: Following the transactions reported on this Form 5, Mr. Schmidt continues to hold 11,503 shares directly and 216 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 26,626 vested stock options, 19,979 restricted stock units, and 2,831 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: Amount reported has been adjusted to include 3 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between September 30, 2018 and December 31, 2018 based on a plan statement dated December 31, 2018. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).