Form 4 for PRU Prudential Financial
Accepted 2024-11-08 00:00:00 ET · period of report 2024-11-06 · accession 0001127602-24-026820 · 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 | 2024-11-08 | 2024-11-06 | PRU | FALZON ROBERT | EVP, Vice COB | M - OptEx | $108.78 | +55.5K | 234.6K | +31% | +$6.03M |
| DM | 2024-11-08 | 2024-11-06 | PRU | FALZON ROBERT | EVP, Vice COB | S - Sale+OE | $128.26 | -52.7K | 210.0K | -20% | -$6.76M |
| DM | 2024-11-08 | 2024-11-06 | PRU | FALZON ROBERT | EVP, Vice COB | M - OptEx | $0.00 | -55.5K | 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 | 2024-11-06 | M | A | 29,445 | $110.45 | 236,760 | D | — | — | |
| 2 | Common | Common Stock | 2024-11-06 | S | D | 28,150 | $128.26 | 208,610 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.25 to $128.39 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. |
| 3 | Common | Common Stock | 2024-11-06 | M | A | 26,008 | $106.89 | 234,618 | D | — | — | |
| 4 | Common | Common Stock | 2024-11-06 | S | D | 24,587 | $128.26 | 210,031 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.25 to $128.39 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 transactions reported on this Form 4, Mr. Falzon continues to hold 210,031 shares directly and 692 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 50,260 unvested restricted stock units and 217,164 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
| 5 | Derivative | 2018 Employee Stock Option (Right to Buy) | 2024-11-06 | M | D | 26,008 | $0.00 | 0 | D | $106.89 · — to 2028-02-13 | 26,008 Common Stock | (F5) The options vest in three equal annual installments beginning on February 13, 2019. |
| 6 | Derivative | 2017 Employee Stock Option (Right to Buy) | 2024-11-06 | M | D | 29,445 | $0.00 | 0 | D | $110.45 · — to 2027-02-14 | 29,445 Common Stock | (F4) The options vest in three equal annual installments beginning on February 14, 2018. |