Form 4 for PRU Prudential Financial
Accepted 2024-03-01 00:00:00 ET · period of report 2024-02-28 · accession 0001127602-24-007798 · 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 | 2024-03-01 | 2024-02-28 | PRU | KAPPLER ANN M | EVP, GC | M - OptEx | $65.40 | +8,011 | 31.6K | +34% | +$523.9K |
| D | 2024-03-01 | 2024-02-28 | PRU | KAPPLER ANN M | EVP, GC | S - Sale+OE | $108.39 | -7,222 | 24.4K | -23% | -$782.8K |
| DM | 2024-03-01 | 2024-02-28 | PRU | KAPPLER ANN M | EVP, GC | M - OptEx | $0.00 | -8,011 | 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 | 2024-02-28 | M | A | 1,070 | $77.15 | 24,662 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-28 | S | D | 7,222 | $108.39 | 24,381 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.39 to $108.42 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. (F2) Following the transaction reported on this Form 4, Ann Kappler continues to hold 24,381 shares directly and 798 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 19,254 restricted stock units and 57,328 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
| 3 | Common | Common Stock | 2024-02-28 | M | A | 6,941 | $63.59 | 31,603 | D | — | — | |
| 4 | Derivative | 10/13/15 Employee Stock Option (Right to Buy) | 2024-02-28 | M | D | 1,070 | $0.00 | 0 | D | $77.15 · — to 2025-10-13 | 1,070 Common Stock | (F3) The options vest in three equal annual installments beginning on October 13, 2016. |
| 5 | Derivative | 2016 Employee Stock Option (Right to Buy) | 2024-02-28 | M | D | 6,941 | $0.00 | 0 | D | $63.59 · — to 2026-02-09 | 6,941 Common Stock | (F4) The options vested in three equal annual installments beginning on February 9, 2017. |