Form 4 for PRU Prudential Financial
Accepted 2022-02-11 00:00:00 ET · period of report 2022-02-09 · accession 0001127602-22-004634 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-02-11 | 2022-02-09 | PRU | Sleyster Scott | EVP | I - Discretionary | $121.19 | -6,228 | 2,092 | -75% | -$754.8K |
| DM | 2022-02-11 | 2022-02-09 | PRU | Sleyster Scott | EVP | M - OptEx | $64.30 | +32.6K | 97.0K | +51% | +$2.10M |
| DM | 2022-02-11 | 2022-02-09 | PRU | Sleyster Scott | EVP | S - Sale+OE | $121.15 | -29.0K | 73.0K | -28% | -$3.51M |
| DM | 2022-02-11 | 2022-02-09 | PRU | Sleyster Scott | EVP | M - OptEx | $0.00 | -32.6K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-02-09 | I | D | 6,228 | $121.19 | 2,092 | I | — | — | (F3) Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 76,116 shares directly and 2,092 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 16,573 deferred compensations shares, 130,829 vested stock options, 26,970 unvested stock options, 22,576 restricted stock units, and 91,508 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
| 2 | Common | Common Stock | 2022-02-09 | M | A | 8,659 | $84.53 | 81,084.12 | D By 401(k) | — | — | |
| 3 | Common | Common Stock | 2022-02-09 | S | D | 20,912 | $121.18 | 76,116.12 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.15 to $121.26 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. |
| 4 | Common | Common Stock | 2022-02-09 | M | A | 23,983 | $57.00 | 97,028.12 | D | — | — | |
| 5 | Common | Common Stock | 2022-02-09 | S | D | 8,039 | $121.07 | 73,045.12 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.06 to $121.09, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. |
| 6 | Derivative | 2013 Employee Stock Option (Right to Buy) | 2022-02-09 | M | D | 23,983 | $0.00 | 0 | D | $57.00 · — to 2023-02-12 | 23,983 Common Stock | (F5) The options vest in three equal annual installments beginning on February 12, 2014. |
| 7 | Derivative | 2014 Employee Stock Option (Right to Buy) | 2022-02-09 | M | D | 8,659 | $0.00 | 0 | D | $84.53 · — to 2024-02-11 | 8,659 Common Stock | (F4) The options vest in three equal annual installments beginning on February 11, 2015. |