Form 4 for PRU Prudential Financial
Accepted 2022-11-17 00:00:00 ET · period of report 2022-11-15 · accession 0001127602-22-025952 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-11-17 | 2022-11-15 | PRU | Axel Robert | SVP, Ctrl | S - Sale+OE | $109.06 | -11.6K | 5,807 | -67% | -$1.26M |
| DM | 2022-11-17 | 2022-11-15 | PRU | Axel Robert | SVP, Ctrl | M - OptEx | $69.28 | +6,394 | 9,171 | +230% | +$443.0K |
| DM | 2022-11-17 | 2022-11-15 | PRU | Axel Robert | SVP, Ctrl | M - OptEx | $0.00 | -6,394 | 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 | 2022-11-15 | S | D | 1,458 | $109.13 | 4,964 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $109.11 to $109.18, 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 bought at each separate price within the ranges set forth in footnote (2) to this Form 4. |
| 2 | Common | Common Stock | 2022-11-15 | S | D | 6,300 | $109.01 | 4,691 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $108.99 to $109.03, 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 bought at each separate price within the ranges set forth in footnote (1) to this Form 4. |
| 3 | Common | Common Stock | 2022-11-15 | S | D | 456 | $109.13 | 4,737 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $109.11 to $109.18, 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 bought at each separate price within the ranges set forth in footnote (2) to this Form 4. |
| 4 | Common | Common Stock | 2022-11-15 | M | A | 1,685 | $78.08 | 6,422 | D | — | — | |
| 5 | Common | Common Stock | 2022-11-15 | M | A | 502 | $87.45 | 5,193 | D | — | — | |
| 6 | Common | Common Stock | 2022-11-15 | M | A | 4,207 | $63.59 | 9,171 | D | — | — | |
| 7 | Common | Common Stock | 2022-11-15 | S | D | 3,364 | $109.13 | 5,807 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $109.11 to $109.18, 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 bought at each separate price within the ranges set forth in footnote (2) to this Form 4. (F3) Following the transactions reported on this Form 4, Mr. Axel continues to hold 5,807 shares directly and 1,254 shares indirectly in a 401(k) account. Mr. Axel also holds an additional 1,485 Deferred Compensation shares, 10,115 vested stock options, 1,314 unvested stock options, 3,451 restricted stock units, and 14,438 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
| 8 | Derivative | 3/11/2014 Employee Stock Option (right to buy) | 2022-11-15 | M | D | 502 | $0.00 | 0 | D | $87.45 · — to 2024-03-11 | 502 Common Stock | (F5) The options vest in three equal annual installments beginning on March 11, 2015. |
| 9 | Derivative | 2016 Employee Stock Option (Right to Buy) | 2022-11-15 | M | D | 4,207 | $0.00 | 0 | D | $63.59 · — to 2026-02-09 | 4,207 Common Stock | (F7) The options vested in three equal annual installments beginning on February 9, 2017. |
| 10 | Derivative | 2015 Employee Stock Option (Right to Buy) | 2022-11-15 | M | D | 1,685 | $0.00 | 0 | D | $78.08 · — to 2025-02-10 | 1,685 Common Stock | (F6) The options vest in three equal annual installments beginning on February 10, 2016. |