PFH

SEC source: 0001127602-16-070385 · form4.xml · derivative · entry 1

POON CHRISTINE A · CIK 0001189014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,737

Underlying: Common Stock · 56 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070388 · form4.xml · derivative · entry 3

SCOVANNER DOUGLAS A · CIK 0001205002 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock or the economic equivalent thereof. The restricted stock units become payable, in PRU common stock or in cash, at the election of the reporting person in 2021 unless the reporting person elects to further defer the distribution pursuant to the terms of the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070388 · form4.xml · derivative · entry 2

SCOVANNER DOUGLAS A · CIK 0001205002 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,274

Underlying: Common Stock · 27 shares

Expires not disclosed

F3 · derivative.exercise_price: Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.exercise_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.expiration_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

SEC source: 0001127602-16-070388 · form4.xml · derivative · entry 1

SCOVANNER DOUGLAS A · CIK 0001205002 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,292

Underlying: Common Stock · 34 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070384 · form4.xml · derivative · entry 2

Pianalto Sandra · CIK 0001614199 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

F4 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F4 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070384 · form4.xml · derivative · entry 1

Pianalto Sandra · CIK 0001614199 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,772

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070382 · form4.xml · derivative · entry 2

Lighte Peter R · CIK 0001667309 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,187

Underlying: Common Stock · 14 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

F3 · derivative.exercise_date: The restricted stock units vest in one year on March 8, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F3 · derivative.expiration_date: The restricted stock units vest in one year on March 8, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070382 · form4.xml · derivative · entry 1

Lighte Peter R · CIK 0001667309 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

F2 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070383 · form4.xml · derivative · entry 2

Paz George · CIK 0001235682 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,184

Underlying: Common Stock · 14 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

F3 · derivative.exercise_date: The restricted stock units vest in one year on March 9, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F3 · derivative.expiration_date: The restricted stock units vest in one year on March 9, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070383 · form4.xml · derivative · entry 1

Paz George · CIK 0001235682 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

F2 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F2 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070380 · form4.xml · derivative · entry 3

HUNDMEJEAN MARTINA · CIK 0001223622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock or the economic equivalent thereof. The restricted stock units become payable, in PRU common stock or in cash, at the election of the reporting person, upon or following the reporting person's termination of service as a Director unless the reporting person elects an earlier date pursuant to the terms of the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070380 · form4.xml · derivative · entry 2

HUNDMEJEAN MARTINA · CIK 0001223622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,768

Underlying: Common Stock · 24 shares

Expires not disclosed

F3 · derivative.exercise_price: Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.exercise_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.expiration_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

SEC source: 0001127602-16-070380 · form4.xml · derivative · entry 1

HUNDMEJEAN MARTINA · CIK 0001223622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,744

Underlying: Common Stock · 63 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070379 · form4.xml · derivative · entry 3

CULLEN JAMES · CIK 0001142630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive the economic equivalent of one share of PRU common stock.

F6 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.

F6 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.

SEC source: 0001127602-16-070379 · form4.xml · derivative · entry 2

CULLEN JAMES · CIK 0001142630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,943

Underlying: Common Stock · 84 shares

Expires not disclosed

F3 · derivative.exercise_price: Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.exercise_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.expiration_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

SEC source: 0001127602-16-070379 · form4.xml · derivative · entry 1

CULLEN JAMES · CIK 0001142630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,960

Underlying: Common Stock · 188 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070378 · form4.xml · derivative · entry 2

CASELLAS GILBERT F · CIK 0001184660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive the economic equivalent of one share of PRU common stock.

F4 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.

F4 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017.

SEC source: 0001127602-16-070378 · form4.xml · derivative · entry 1

CASELLAS GILBERT F · CIK 0001184660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,751

Underlying: Common Stock · 180 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070377 · form4.xml · derivative · entry 3

Baltimore Thomas J Jr · CIK 0001390946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,993

Underlying: Common Stock · 12 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of PRU common stock or the economic equivalent thereof. The restricted stock units become payable, in PRU common stock or in cash, at the election of the reporting person, upon or following the reporting person's termination of service as a Director unless the reporting person elects an earlier date pursuant to the terms of the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.exercise_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

F6 · derivative.expiration_date: The restricted stock units vest the earlier of the annual meeting or in one year on May 10, 2017 and were deferred under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-16-070377 · form4.xml · derivative · entry 2

Baltimore Thomas J Jr · CIK 0001390946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,175

Underlying: Common Stock · 261 shares

Expires not disclosed

F3 · derivative.exercise_price: Each notional share - optional represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock or the cash value thereof under the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.exercise_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

F4 · derivative.expiration_date: Such shares are payable in common stock or cash, at the election of the reporting person, with payment to begin, at the election of the reporting person provided that such date shall be at least two (2) years after the end of the plan year with respect to which such elective deferrals relate. The reporting person may transfer his investment in the notional shares - optional to an alternative investment account, subject to the terms of the Issuer's deferred compensation plan for non-employee directors.

SEC source: 0001127602-16-070377 · form4.xml · derivative · entry 1

Baltimore Thomas J Jr · CIK 0001390946 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,175

Underlying: Common Stock · 59 shares

Expires not disclosed

F1 · derivative.exercise_price: Each notional share - mandatory represents a deferred stock unit and entitles the holder thereof with the right to receive one share of Issuer common stock under the Issuer's deferred compensation plan for non-employee directors.

F2 · derivative.exercise_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

F2 · derivative.expiration_date: Such shares are issuable, at the election of the reporting person, to begin on either (i) a date prior to the reporting person's retirement date, provided that such date is no earlier than the January 1 in the year following the plan period during which such fees would otherwise have been payable to the reporting person, (ii) within 90 days following the reporting person's retirement date, or (iii) such later date as selected by the reporting person, provided however, that payment must commence in the year the reporting person attains age 70 1/2.

SEC source: 0001127602-16-070376 · form4.xml · derivative · entry 1

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,598

Underlying: Common Stock · 266 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.

F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

SEC source: 0001127602-16-070375 · form4.xml · derivative · entry 1

Sleyster Scott · CIK 0001555872 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,674

Underlying: Common Stock · 478 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.

F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

SEC source: 0001127602-16-070374 · form4.xml · derivative · entry 1

Pelletier Stephen · CIK 0001602568 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,847

Underlying: Common Stock · 204 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.

F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

SEC source: 0001127602-16-068295 · form4.xml · nonDerivative · entry 1

Koster Barbara · CIK 0001520806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · By 401(k)

Disclosed balance after: 0

F1 · balance_after: Following the transactions reported on this Form 4, Ms. Koster continues to hold 35,999 shares directly. Ms. Koster also holds an additional 83,887 vested stock options, 28,419 unvested stock options, and 13,177 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-067394 · form4.xml · derivative · entry 4

Koster Barbara · CIK 0001520806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,368 shares

Expires 2019-02-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option vests in three equal annual installments beginning on February 10, 2010.

SEC source: 0001127602-16-067394 · form4.xml · nonDerivative · entry 2

Koster Barbara · CIK 0001520806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,999

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2016.

F2 · balance_after: Following the transactions reported on this Form 4, Ms. Koster continues to hold 35,999 shares directly and 1,197 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 83,887 vested stock options, 28,419 unvested stock options, and 13,177 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-067394 · form4.xml · nonDerivative · entry 1

Koster Barbara · CIK 0001520806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066916 · form4.xml · derivative · entry 4

GRIER MARK B · CIK 0001184670 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,310 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066916 · form4.xml · nonDerivative · entry 2

GRIER MARK B · CIK 0001184670 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,422

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2016.

F2 · balance_after: Following the transactions reported on this Form 4, Mr. Grier continues to hold 324,422 shares directly and 22,870 shares indirectly in a 401(k) account. Mr. Grier also holds an additional 257,540 vested stock options, 168,312 unvested stock options and 82,564 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066916 · form4.xml · nonDerivative · entry 1

GRIER MARK B · CIK 0001184670 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,295

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066934 · form4.xml · derivative · entry 14

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 135,136 shares

Expires 2020-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: The options vested in three equal annual installments beginning on February 9, 2011.

SEC source: 0001127602-16-066934 · form4.xml · derivative · entry 13

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,310 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 8

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,670

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.

F3 · balance_after: Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 272,670 shares directly and 1,770 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 41,428 deferred compensation shares, 719,142 vested stock options, 207,983 unvested stock options and 101,443 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 7

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,710

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 6

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,574

F2 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.

SEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 5

STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,447

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066931 · form4.xml · derivative · entry 7

Sleyster Scott · CIK 0001555872 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,434 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066931 · form4.xml · nonDerivative · entry 4

Sleyster Scott · CIK 0001555872 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,806.12

F1 · shares: The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2016.

F2 · balance_after: Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 24,806 shares directly and 6,632 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 74,368 deferred compensation shares, 110,019 vested stock options, 52,202 unvested stock options, 1,318 restricted stock units and 23,143 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066931 · form4.xml · nonDerivative · entry 3

Sleyster Scott · CIK 0001555872 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,240.12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066933 · form4.xml · derivative · entry 7

TAYLOR SHARON C · CIK 0001193806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,815 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066933 · form4.xml · nonDerivative · entry 4

TAYLOR SHARON C · CIK 0001193806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,518

F1 · shares: The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 12, 2016.

F2 · balance_after: Following the transactions reported on this Form 4, Ms. Taylor continues to hold 67,518 shares directly and 1,729 shares indirectly in a 401(k) account. Ms. Taylor also holds an additional 6,064 vested stock options, 38,449 unvested stock options, and 18,296 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066933 · form4.xml · nonDerivative · entry 3

TAYLOR SHARON C · CIK 0001193806 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,330

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066930 · form4.xml · derivative · entry 4

Pelletier Stephen · CIK 0001602568 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,040 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066930 · form4.xml · nonDerivative · entry 2

Pelletier Stephen · CIK 0001602568 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,564

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016.

F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 581 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,716 deferred compensation shares, 31,042 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066930 · form4.xml · nonDerivative · entry 1

Pelletier Stephen · CIK 0001602568 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,604

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066926 · form4.xml · derivative · entry 9

Lowrey Charles F · CIK 0001512629 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,369 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.

SEC source: 0001127602-16-066926 · form4.xml · nonDerivative · entry 5

Lowrey Charles F · CIK 0001512629 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,408

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016.

F2 · balance_after: Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 36,408 shares directly and 203 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 277,211 vested stock options, 103,244 unvested stock options, and 51,445 target performance shares (the exact number awarded being dependent on achievement of performance goals).

SEC source: 0001127602-16-066926 · form4.xml · nonDerivative · entry 4

Lowrey Charles F · CIK 0001512629 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,777

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-16-066914 · form4.xml · derivative · entry 4

Axel Robert · CIK 0001602678 · SVP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,474 shares

Expires 2017-02-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008.