Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | Senior Vice President | February 12, 2019 | February 14, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PRUDENTIAL FINANCIAL INC
Report date February 12, 2019 · Filed February 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 28,651 |
Ending reported balance
After 2019-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-12 · Exercise / conversion · Acquired 6,527 · Balance 30,682 F1: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. Row 2 · 2019-02-12 · Tax withholding · Disposed 2,031 · Balance 28,651 F2: Represents shares withheld for the payment of taxes. |
| 2016 Performance SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-02-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-02-12 · Exercise / conversion · Disposed 5,715 · Balance 0 F1: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. |
| 2019 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $93.36 · Expires 2029-02-12 | Direct | 6,896 |
Reported balance
After 2019-02-12 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-02-12 · Grant · Acquired 6,896 · Balance 6,896 F4: The options vest in three equal annual installments beginning on February 12, 2020. |
| 2019 Performance SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,419 |
Reported balance
After 2019-02-12 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-02-12 · Grant · Acquired 4,419 · Balance 4,419 F5: The performance shares convert to common stock on a 1 to 1 basis. F6: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 8 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 8 F3: Amount reported has been adjusted to include 1 share of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 and December 31, 2018 based on a plan statement dated December 31, 2018. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B). |
Filing footnotes · ownership attribution and instrument terms
F1: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period.
F2: Represents shares withheld for the payment of taxes.
F3: Amount reported has been adjusted to include 1 share of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2016 and December 31, 2018 based on a plan statement dated December 31, 2018. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F4: The options vest in three equal annual installments beginning on February 12, 2020.
F5: The performance shares convert to common stock on a 1 to 1 basis.
F6: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DIME COMMUNITY BANCSHARES INC
Report date February 01, 2021 · Filed February 03, 2021
Section 16 reporting ended · disclosed 2021-02-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-02-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-02-01 · Disposition to issuer · Disposed 6,388 · Balance 0 F1: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 0.648:1. |
| Preferred Stock, Series ASEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-02-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-02-01 · Disposition to issuer · Disposed 400 · Balance 0 F2: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 1:1. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 0.648:1.
F2: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 1:1.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 01, 2021 Filed Feb 3, 2021 09:43 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | Disposition to issuerPreferred Stock, Series A | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-000777 · primarydocument.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · balance_after: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 1:1. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 09:43 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | Disposition to issuerCommon Stock | 6,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-000777 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · balance_after: Shares have been converted in a merger with Bridge Bancorp, Inc. at an exchange ratio of 0.648:1. Read SEC document |
| December 28, 2020 Filed Dec 30, 2020 15:14 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 3,043 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-20-007492 · primarydocument.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 0 F1 · price: Vesting of restricted stock on December 28, 2020 Read SEC document |
| December 28, 2020 Filed Dec 30, 2020 15:14 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 3,043 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-20-007492 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,388 F1 · price: Vesting of restricted stock on December 28, 2020 Read SEC document |
| May 01, 2020 Filed May 4, 2020 17:54 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 2,481 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-20-003276 · primarydocument.xml · nonDerivative · entry 3 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 3,043 F2 · price: Vesting of restricted stock on May 1, 2020 Read SEC document |
| May 01, 2020 Filed May 4, 2020 17:54 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 2,481 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-20-003276 · primarydocument.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,345 F2 · price: Vesting of restricted stock on May 1, 2020 Read SEC document |
| April 30, 2020 Filed May 4, 2020 17:54 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | GrantCommon Stock | 3,043 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-20-003276 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 5,524 F1 · price: Awards fully vest May 1, 2021 Read SEC document |
| February 05, 2020 Filed Feb 6, 2020 17:22 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | PurchasePreferred Stock, Series A | 400 | $25.00 | $10,000.00 |
DisclosureSEC source: 0001562180-20-000968 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 F1 · balance_after: Represents shares of Dime Community Bancshares, Inc. 5.50% Fixed-Rate Non-Cumulative Perpetual Preferred Stock, Series A ("Series A Preferred Stock"). The Series A Preferred Stock is not convertible into Dime Community Bancshares, Inc. common stock. Read SEC document |
| May 01, 2019 Filed May 2, 2019 17:21 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 864 | $20.15 | $17,409.60 |
DisclosureSEC source: 0001562180-19-002502 · primarydocument.xml · nonDerivative · entry 3 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 2,481 F1 · kind: Vesting of restricted stock on May 1, 2019 Read SEC document |
| May 01, 2019 Filed May 2, 2019 17:21 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | OtherCommon Stock | 864 | $20.15 | $17,409.60 |
DisclosureSEC source: 0001562180-19-002502 · primarydocument.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864 F1 · kind: Vesting of restricted stock on May 1, 2019 Read SEC document |
| April 30, 2019 Filed May 2, 2019 17:21 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | GrantCommon Stock | 2,481 | $20.15 | $49,992.15 |
DisclosureSEC source: 0001562180-19-002502 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 3,345 Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Performance Shares · Derivative | 4,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006054 · form4.xml · derivative · entry 6 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,419 Underlying: Common Stock · 4,419 shares Expires not disclosed F5 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F6 · derivative.exercise_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022. F6 · derivative.expiration_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Employee Stock Option (Right to Buy) · Derivative | 6,896 | $0.00 Strike: $93.36 | $0.00 |
DisclosureSEC source: 0001127602-19-006054 · form4.xml · derivative · entry 5 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,896 Underlying: Common Stock · 6,896 shares Expires 2029-02-12 F4 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 12, 2020. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Performance Shares · Derivative | 5,715 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006054 · 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 · 5,715 shares Expires not disclosed 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. F1 · derivative.exercise_price: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 2,031 | $93.36 | $189,614.16 |
DisclosureSEC source: 0001127602-19-006054 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,651 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 6,527 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006054 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,682 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. F1 · shares: The Compensation Committee awarded these shares, the grant of which was made on February 9, 2016, and originally reported on a Form 4 filed with the SEC on February 11, 2016, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2016 through 2018 performance period. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 11:59 UTC | DIME COMMUNITY BANCSHARES INC DCOM · Entity 143132 | GrantCommon Stock | 864 | $17.35 | $14,990.40 |
DisclosureSEC source: 0001562180-18-004053 · primarydocument.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Restricted Stock Awards Disclosed balance after: 864 Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Performance Shares · Derivative | 3,384 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006388 · form4.xml · derivative · entry 6 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,384 Underlying: Common Stock · 3,384 shares Expires not disclosed F4 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F5 · derivative.exercise_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021. F5 · derivative.expiration_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Employee Stock Option (Right to Buy) · Derivative | 4,471 | $0.00 Strike: $106.89 | $0.00 |
DisclosureSEC source: 0001127602-18-006388 · form4.xml · derivative · entry 5 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,471 Underlying: Common Stock · 4,471 shares Expires 2028-02-13 F3 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 13, 2019. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Performance Shares · Derivative | 4,745 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006388 · 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 · 4,745 shares Expires not disclosed 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. F1 · derivative.exercise_price: The Compensation Committee awarded these shares, the grant of which was made on February 10, 2015, and originally reported on a Form 4 filed with the SEC on February 12, 2015, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2015 through 2017 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares, the grant of which was made on February 10, 2015, and originally reported on a Form 4 filed with the SEC on February 12, 2015, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2015 through 2017 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares, the grant of which was made on February 10, 2015, and originally reported on a Form 4 filed with the SEC on February 12, 2015, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2015 through 2017 performance period. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 1,610 | $106.89 | $172,092.90 |
DisclosureSEC source: 0001127602-18-006388 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,155 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 5,239 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006388 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,765 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. F1 · shares: The Compensation Committee awarded these shares, the grant of which was made on February 10, 2015, and originally reported on a Form 4 filed with the SEC on February 12, 2015, based upon performance relative to the average Return On Equity (ROE) goals modified by ROE, EPS Growth and Book Value Per Share Growth relative to certain life insurance peers during the 2015 through 2017 performance period. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 20:05 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Employee Stock Option (Right to Buy) · Derivative | 8,758 | $0.00 Strike: $78.08 | $0.00 |
DisclosureSEC source: 0001127602-18-000489 · form4.xml · derivative · entry 4 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,380 Underlying: Common Stock · 8,758 shares Expires 2025-02-10 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 options vest in three equal annual installments beginning on February 10, 2016. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 20:05 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 16,801 | $115.17 | $1,934,971.17 |
DisclosureSEC source: 0001127602-18-000489 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,526 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 March 13, 2017. F2 · balance_after: Following the transactions reported on this Form 4, Ms. Koster continues to hold 20,526 shares directly and 7 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 63,606 vested stock options, 21,009 unvested stock options, and 14,372 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 20:05 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 8,758 | $78.08 | $683,824.64 |
DisclosureSEC source: 0001127602-18-000489 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,327 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. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2011 Employee Stock Option (Right to Buy) · Derivative | 17,067 | $0.00 Strike: $64.01 | $0.00 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · derivative · entry 7 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,067 shares Expires 2021-02-08 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 options vest in three equal annual installments beginning on February 8, 2012. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Employee Stock Option (Right to Buy) · Derivative | 6,927 | $0.00 Strike: $84.53 | $0.00 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · derivative · entry 6 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,927 shares Expires 2024-02-11 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 options vest in three equal annual installments beginning on February 11, 2015. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 13,334 | $113.11 | $1,508,208.74 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · nonDerivative · entry 4 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,569 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $113.20 to $113.59 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. F3 · balance_after: Following the transactions reported on this Form 4, Ms. Koster continues to hold 28,569 shares directly and 7 shares indirectly in a 401(k) account. Ms. Koster also holds an additional 72,364 vested stock options, 21,009 unvested stock options, and 14,372 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 20,409 | $112.72 | $2,300,502.48 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · nonDerivative · entry 3 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,903 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.20 to $113.19, 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. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 17,067 | $64.01 | $1,092,458.67 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,312 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. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 20:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 6,927 | $84.53 | $585,539.31 |
DisclosureSEC source: 0001127602-17-010042 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,245 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. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 2,717 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006677 · form4.xml · derivative · entry 6 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,717 shares Expires not disclosed 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. F1 · derivative.exercise_price: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 3,912 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006677 · form4.xml · derivative · entry 5 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,912 Underlying: Common Stock · 3,912 shares Expires not disclosed F5 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F6 · derivative.exercise_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020. F6 · derivative.expiration_date: Represents the target number of shares to be received relative to the Company's average ROE goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 5,061 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006677 · form4.xml · derivative · entry 4 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,061 Underlying: Common Stock · 5,061 shares Expires 2027-02-14 F4 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 14, 2018. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 1,078 | $110.45 | $119,065.10 |
DisclosureSEC source: 0001127602-17-006677 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,318 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 3,397 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006677 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,396 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. F1 · shares: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 17:35 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | OtherCommon Stock | 1,197 | $100.29 | $120,047.13 |
DisclosureSEC 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). Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 20:19 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/10/09 Employee Stock Option (Right to Buy) · Derivative | 22,368 | $0.00 Strike: $25.30 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 20:19 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 22,368 | $100.00 | $2,236,800.00 |
DisclosureSEC 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). Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 20:19 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 22,368 | $25.30 | $565,910.40 |
DisclosureSEC 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. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/12/08 Employee Stock Option (Right to Buy) · Derivative | 13,506 | $0.00 Strike: $69.03 | $0.00 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · derivative · entry 7 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,506 shares Expires 2018-02-12 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. F5 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 12, 2009. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 7,830 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · derivative · entry 6 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,830 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. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 13,506 | $90.00 | $1,215,540.00 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · nonDerivative · entry 4 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 106,255 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). Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 7,830 | $93.00 | $728,190.00 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · nonDerivative · entry 3 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,505 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. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 13,506 | $69.03 | $932,319.18 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · nonDerivative · entry 2 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,335 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. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 7,830 | $91.73 | $718,245.90 |
DisclosureSEC source: 0001127602-16-066920 · form4.xml · nonDerivative · entry 1 Koster Barbara · CIK 0001520806 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,829 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.