Accession Number: | 0001127602-19-030681 |
Date: | 2019-10-15 |
Issuer: | PRUDENTIAL FINANCIAL INC (PRU) |
Original Submission Date: |
SLEYSTER SCOTT
751 BROAD STREET, 4TH FLOOR
ATTN. CORPORATE COMPLIANCE
NEWARK, NJ 07102
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
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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. |