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PRUDENTIAL FINANCIAL INC — Director's Dealing 2022
Jan 6, 2022
30092_dirs_2022-01-06_410213cc-dca3-4479-8d81-2c722b00a9e3.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: 2022-01-04
Reporting Person: FALZON ROBERT (EVP and Vice Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-04 | Common Stock | M | 9526 | $78.08 | Acquired | 95721 | Direct |
| 2022-01-04 | Common Stock | S | 8811 | $114.00 | Disposed | 86910 | Direct |
| 2022-01-04 | Common Stock | M | 20000 | $63.59 | Acquired | 106910 | Direct |
| 2022-01-04 | Common Stock | S | 17929 | $112.00 | Disposed | 88981 | Direct |
| 2022-01-04 | Common Stock | M | 20000 | $63.59 | Acquired | 108981 | Direct |
| 2022-01-04 | Common Stock | S | 17904 | $113.00 | Disposed | 91077 | Direct |
| 2022-01-04 | Common Stock | M | 10474 | $63.59 | Acquired | 101551 | Direct |
| 2022-01-04 | Common Stock | S | 9363 | $114.00 | Disposed | 92188 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-04 | 2015 Employee Stock Option (Right to Buy) | $78.08 | M | 9526 | Disposed | 2025-02-10 | Common Stock (9526) | Direct |
| 2022-01-04 | 2016 Employee Stock Option (Right to Buy) | $63.59 | M | 20000 | Disposed | 2026-02-09 | Common Stock (20000) | Direct |
| 2022-01-04 | 2016 Employee Stock Option (Right to Buy) | $63.59 | M | 20000 | Disposed | 2026-02-09 | Common Stock (20000) | Direct |
| 2022-01-04 | 2016 Employee Stock Option (Right to Buy) | $63.59 | M | 10474 | Disposed | 2026-02-09 | Common Stock (10474) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 653 | Indirect |
| Common Stock | 3580 | Indirect |
Footnotes
F1: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2021.
F2: Following the transactions reported on this Form 4, Mr. Falzon continues to hold 92,188 shares directly and 653 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 142,551 vested stock options, 71,617 unvested stock options, 27,632 unvested restricted stock units and 164,498 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3: The options vested in three equal annual installments beginning on February 10, 2016.
F4: The options vested in three equal annual installments beginning on February 9, 2017.