AI assistant
PRUDENTIAL FINANCIAL INC — Director's Dealing 2020
Sep 2, 2020
30092_dirs_2020-09-02_1e1de777-82f3-4488-bed0-2ffcd8af23c9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2020-09-01
Reporting Person: KAPPLER ANN M (EVP and General Counsel)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6159 | Direct |
| Common Stock | 673 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 2014 Employee Stock Option (Right to Buy) | $78.61 | 2024-04-15 | Common Stock (223) | Direct | |
| 2015 Employee Stock Option (Right to Buy) | $78.08 | 2025-02-10 | Common Stock (1516) | Direct | |
| 10/13/15 Employee Stock Option (Right to Buy) | $77.15 | 2025-10-13 | Common Stock (1070) | Direct | |
| 2016 Employee Stock Option (Right to Buy) | $63.59 | 2026-02-09 | Common Stock (6941) | Direct | |
| 2017 Employee Stock Option (Right to Buy) | $110.45 | 2027-02-14 | Common Stock (2025) | Direct | |
| 2018 Employee Stock Option (Right to Buy) | $106.89 | 2028-02-13 | Common Stock (1789) | Direct | |
| 2018 Performance Shares | $ | Common Stock (2708) | Direct | ||
| 2019 Employee Stock Option (Right to Buy) | $93.36 | 2029-02-12 | Common Stock (2759) | Direct | |
| 2019 Performance Shares | $ | Common Stock (3536) | Direct | ||
| 2020 Employee Stock Option (Right to Buy) | $95.87 | 2030-02-11 | Common Stock (3379) | Direct | |
| 2020 Performance Share | $ | Common Stock (3756) | Direct |
Footnotes
F1: The options vest in three equal annual installments beginning on April 15, 2015.
F2: The options vest in three equal annual installments beginning on February 10, 2016.
F3: The options vest in three equal annual installments beginning on October 13, 2016.
F4: The options vest in three equal annual installments beginning on February 9, 2017.
F5: The options vest in three equal annual installments beginning on February 14, 2018
F6: The options vest in three equal annual installments beginning on February 13, 2019.
F7: 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.
F8: The performance shares convert to common stock on a 1 to 1 basis.
F9: The options vest in three equal annual installments beginning on February 12, 2020.
F10: 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 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022.
F11: The options vest in three equal annual installments beginning on February 11, 2021.
F12: 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 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023.