Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FEDERAL HOME LOAN MORTGAGE CORPFMCC · Entity 4123 | Director | February 18, 2020 | February 25, 2020 |
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | Director · Vice Chairman | 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.
FEDERAL HOME LOAN MORTGAGE CORP
Report date February 18, 2020 · Filed February 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| No Securities OwnedSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2020-02-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
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 | 380,884 |
Ending reported balance
After 2019-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-12 · Exercise / conversion · Acquired 37,967 · Balance 396,635 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 15,751 · Balance 380,884 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 33,246 · 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 | 80,241 |
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 80,241 · Balance 80,241 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 | 25,707 |
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 25,707 · Balance 25,707 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) | 24,597 |
Reported balance
Holding disclosure · report date 2019-02-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 24,597 F3: Amount reported has been adjusted to include 1,072 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2017 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 1,072 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2017 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.
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 12, 2019 Filed Feb 14, 2019 22:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Performance Shares · Derivative | 25,707 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006050 · form4.xml · derivative · entry 6 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,707 Underlying: Common Stock · 25,707 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 22:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Employee Stock Option (Right to Buy) · Derivative | 80,241 | $0.00 Strike: $93.36 | $0.00 |
DisclosureSEC source: 0001127602-19-006050 · form4.xml · derivative · entry 5 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,241 Underlying: Common Stock · 80,241 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 22:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Performance Shares · Derivative | 33,246 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006050 · 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 · 33,246 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 22:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 15,751 | $93.36 | $1,470,513.36 |
DisclosureSEC source: 0001127602-19-006050 · form4.xml · nonDerivative · entry 2 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,884 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 37,967 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006050 · form4.xml · nonDerivative · entry 1 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 396,635 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 |
| February 13, 2018 Filed Feb 15, 2018 21:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Performance Shares · Derivative | 19,689 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006384 · form4.xml · derivative · entry 6 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,689 Underlying: Common Stock · 19,689 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 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021. 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 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 21:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Employee Stock Option (Right to Buy) · Derivative | 52,016 | $0.00 Strike: $106.89 | $0.00 |
DisclosureSEC source: 0001127602-18-006384 · form4.xml · derivative · entry 5 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,016 Underlying: Common Stock · 52,016 shares Expires 2028-02-13 F4 · 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 21:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Performance Shares · Derivative | 25,548 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006384 · 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 · 25,548 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 21:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 11,491 | $106.89 | $1,228,272.99 |
DisclosureSEC source: 0001127602-18-006384 · form4.xml · nonDerivative · entry 2 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,668 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:27 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 28,205 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006384 · form4.xml · nonDerivative · entry 1 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,159 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 |
| February 14, 2017 Filed Feb 16, 2017 22:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 22,760 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006680 · form4.xml · derivative · entry 6 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,760 Underlying: Common Stock · 22,760 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 22:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 58,889 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006680 · form4.xml · derivative · entry 5 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,889 Underlying: Common Stock · 58,889 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 22:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 23,770 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006680 · 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 · 23,770 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 22:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 12,181 | $110.45 | $1,345,391.45 |
DisclosureSEC source: 0001127602-17-006680 · form4.xml · nonDerivative · entry 2 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 341,954 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 29,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006680 · form4.xml · nonDerivative · entry 1 GRIER MARK B · CIK 0001184670 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,135 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 10, 2016 Filed Nov 14, 2016 20:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 66,310 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 65,873 | $94.00 | $6,192,062.00 |
DisclosureSEC 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). Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 66,310 | $91.73 | $6,082,616.30 |
DisclosureSEC 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. 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.