Statement of Changes in Beneficial Ownership (4)
February 21 2020 - 10:48AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SULLIVAN ANDREW F |
2. Issuer Name and Ticker or Trading Symbol
PRUDENTIAL FINANCIAL INC
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PRU
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President |
(Last)
(First)
(Middle)
751 BROAD STREET, 4TH FLOOR, ATTN: CORPORATE COMPLIANCE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2020 |
(Street)
NEWARK, NJ 07102
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/19/2020 | | S | | 2020 | D | $93.32 | 9537 | D | |
Common Stock | 2/19/2020 | | M | | 2524 | A | $0 | 12061 | D | |
Common Stock | 2/19/2020 | | S | | 2279 | D | $93.33 | 9782 (1) | D | |
Common Stock | | | | | | | | 341 | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
2016 Employee Stock Option (Right to Buy) | $63.59 | 2/19/2020 | | M | | | 2524 | (2) | 2/9/2026 | Common Stock | 2524 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Following the transaction reported on this Form 4, Mr. Sullivan continues to hold 9,782 shares directly and 341 shares indirectly in a 401(k) account. Mr. Sullivan also holds an additional 9,755 vested stock options, 43,305 unvested stock options, 1,590 deferred compensation shares, and 34,575 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
(2) | The options vest in three equal annual installments beginning on February 9, 2017. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SULLIVAN ANDREW F 751 BROAD STREET, 4TH FLOOR ATTN: CORPORATE COMPLIANCE NEWARK, NJ 07102 |
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| Executive Vice President |
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Signatures
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/s/John M. Cafiero, attorney-in-fact | | 2/21/2020 |
**Signature of Reporting Person | Date |
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