Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-030681
Date:2019-10-15
Issuer: PRUDENTIAL FINANCIAL INC (PRU)
Original Submission Date:

Reporting Person:

SLEYSTER SCOTT
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE NEWARK, NJ 07102

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-10-15 M 12,994 a $48.36 55,746 direct
COMMON STOCK 2019-10-15 S 12,994 d $90.00 42,752 direct
COMMON STOCK 2019-10-15 0 $0.00 7,578 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
2010 EMPLOYEE STOCK OPTION (RIGHT TO BUY) 48.36 2019-10-15 deemed execution date M 12,994 (d) 2020-02-09 common stock 12,994 $48.36 0 direct
Footnotes
IDfootnote
f1 the sales reported on this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on september 12, 2019.
f2 following the transactions reported on this form 4, mr. sleyster continues to hold 42,752 shares directly and 7,578 shares indirectly in a 401(k) account. mr. sleyster also holds an additional 93,430 deferred compensation shares, 135,558 vested stock options, 47,807 unvested stock options, and 26,992 target performance shares (the exact number awarded being dependent on achievement of performance goals).
f3 amount reported has been adjusted to include 446 shares of issuer common stock acquired by the reporting person under the prudential employee savings plan between december 31, 2018 and september 30, 2019 based on a plan statement dated september 30, 2019. the acquisition of such shares was exempt from section 16 pursuant to rules 16b-3(c) and 16a-3(f)(1)(i)(b).
f4 the options vest in three equal annual installments beginning on february 9, 2011.
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