Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | EVP and General Counsel | February 11, 2020 | February 14, 2020 |
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 11, 2020 · Filed February 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,437 |
Ending reported balance
After 2020-02-11 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-11 · Exercise / conversion · Acquired 15,464 · Balance 46,713 F1: The Compensation Committee awarded these shares based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. F2: Includes cash settled performance units which were converted from cash to equity settlement based on a decision by the Compensation Committee. Row 2 · 2020-02-11 · Tax withholding · Disposed 6,276 · Balance 40,437 F3: Represents shares withheld for the payment of taxes. |
| 2017 Performance SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-02-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-11 · Exercise / conversion · Disposed 7,113 · Balance 0 F1: The Compensation Committee awarded these shares based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. |
| 2020 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $95.87 · Expires 2030-02-11 | Direct | 15,485 |
Reported balance
After 2020-02-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-11 · Grant · Acquired 15,485 · Balance 15,485 F5: The options vest in three equal annual installments beginning on February 11, 2021. |
| 2020 Performance ShareSEC Table II · derivative / convertible security | Direct | 17,211 |
Reported balance
After 2020-02-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-11 · Grant · Acquired 17,211 · Balance 17,211 F6: The performance shares convert to common stock on a 1 to 1 basis. F7: 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 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 1,523 |
Reported balance
Holding disclosure · report date 2020-02-11 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,523 F4: Amount reported has been adjusted to include 59 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2018 and December 31, 2019 based on a plan statement dated December 31, 2019. 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 based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period.
F2: Includes cash settled performance units which were converted from cash to equity settlement based on a decision by the Compensation Committee.
F3: Represents shares withheld for the payment of taxes.
F4: Amount reported has been adjusted to include 59 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2018 and December 31, 2019 based on a plan statement dated December 31, 2019. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).
F5: The options vest in three equal annual installments beginning on February 11, 2021.
F6: The performance shares convert to common stock on a 1 to 1 basis.
F7: 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 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023.
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 11, 2020 Filed Feb 14, 2020 01:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2020 Performance Share · Derivative | 17,211 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005386 · form4.xml · derivative · entry 6 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,211 Underlying: Common Stock · 17,211 shares Expires not disclosed F6 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F7 · 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 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023. F7 · 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 2020 through 2022 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2023. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2020 Employee Stock Option (Right to Buy) · Derivative | 15,485 | $0.00 Strike: $95.87 | $0.00 |
DisclosureSEC source: 0001127602-20-005386 · form4.xml · derivative · entry 5 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,485 Underlying: Common Stock · 15,485 shares Expires 2030-02-11 F5 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 11, 2021. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2017 Performance Shares · Derivative | 7,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005386 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,113 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 based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 6,276 | $95.87 | $601,680.12 |
DisclosureSEC source: 0001127602-20-005386 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,437 F3 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 11, 2020 Filed Feb 14, 2020 01:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 15,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005386 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,713 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 based upon performance relative to the average Return On Equity (ROE) goals and relative to the ROE achievement of certain life insurance peer companies for the 2017 through 2019 performance period. F2 · shares: Includes cash settled performance units which were converted from cash to equity settlement based on a decision by the Compensation Committee. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Performance Shares · Derivative | 8,837 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006052 · form4.xml · derivative · entry 6 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,837 Underlying: Common Stock · 8,837 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 22:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Employee Stock Option (Right to Buy) · Derivative | 13,792 | $0.00 Strike: $93.36 | $0.00 |
DisclosureSEC source: 0001127602-19-006052 · form4.xml · derivative · entry 5 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,792 Underlying: Common Stock · 13,792 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 22:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Performance Shares · Derivative | 8,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006052 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,312 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 22:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 2,935 | $93.36 | $274,011.60 |
DisclosureSEC source: 0001127602-19-006052 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,249 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:29 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 9,493 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006052 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,184 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 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Performance Shares · Derivative | 6,768 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · derivative · entry 7 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,768 Underlying: Common Stock · 6,768 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 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Employee Stock Option (Right to Buy) · Derivative | 8,941 | $0.00 Strike: $106.89 | $0.00 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · derivative · entry 6 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,941 Underlying: Common Stock · 8,941 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 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion10/01/2015 Performance Shares · Derivative | 3,863 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · derivative · entry 5 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,863 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Performance Shares · Derivative | 2,373 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,373 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 2,129 | $106.89 | $227,568.81 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,691 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:32 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 6,885 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006393 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,820 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 October 1, 2015, respectively, and originally reported on a respective Form 3 and Form 4 filed with the SEC on October 5, 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 |
| November 29, 2017 Filed Nov 30, 2017 19:40 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2012 Employee Stock Option (Right to Buy) · Derivative | 10,527 | $0.00 Strike: $59.41 | $0.00 |
DisclosureSEC source: 0001127602-17-033522 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,527 shares Expires 2022-02-14 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 14, 2013. Read SEC document |
| November 29, 2017 Filed Nov 30, 2017 19:40 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 10,527 | $115.00 | $1,210,605.00 |
DisclosureSEC source: 0001127602-17-033522 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,935 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 August 23, 2017. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Harris continues to hold 19,935 shares directly and 1,392 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 36,350 vested stock options, 31,783 unvested stock options, and 21,661 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 29, 2017 Filed Nov 30, 2017 19:40 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 10,527 | $59.41 | $625,409.07 |
DisclosureSEC source: 0001127602-17-033522 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,462 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 17, 2017 Filed Feb 21, 2017 20:52 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2011 Employee Stock Option (Right to Buy) · Derivative | 8,534 | $0.00 Strike: $64.01 | $0.00 |
DisclosureSEC source: 0001127602-17-007350 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,534 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. F2 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 8, 2012. Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 20:52 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 6,087 | $110.75 | $674,135.25 |
DisclosureSEC source: 0001127602-17-007350 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,935 F1 · balance_after: Following the transaction reported on this Form 4, Mr. Harris continues to hold 19,935 shares directly and 1,365 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 42,866 vested stock options, 35,794 unvested stock options, and 21,661 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 20:52 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 8,534 | $64.01 | $546,261.34 |
DisclosureSEC source: 0001127602-17-007350 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,022 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 9,202 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · derivative · entry 7 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,202 Underlying: Common Stock · 9,202 shares Expires 2027-02-14 F5 · 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 906 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · derivative · entry 6 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 906 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 7,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · derivative · entry 5 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,113 Underlying: Common Stock · 7,113 shares Expires not disclosed F3 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F4 · 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. F4 · 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion4/15/2014 Performance Shares · Derivative | 525 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 525 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 551 | $110.45 | $60,857.95 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,488 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 1,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006686 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,039 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 April 15, 2014, respectively, and originally reported on a Form 3 filed with the SEC on October 5, 2015, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| February 11, 2017 Filed Feb 14, 2017 18:35 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Restricted Stock Units · Derivative | 2,717 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-005884 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 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. F4 · derivative.exercise_price: The Restricted Stock Units convert to common stock on a 1 to 1 basis. F5 · derivative.exercise_date: The Restricted Stock Units vested on February 11, 2017. F5 · derivative.expiration_date: The Restricted Stock Units vested on February 11, 2017. Read SEC document |
| February 11, 2017 Filed Feb 14, 2017 18:35 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 861 | $108.75 | $93,633.75 |
DisclosureSEC source: 0001127602-17-005884 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,249 F2 · shares: Represents shares withheld for the payment of taxes when restricted shares vested. Read SEC document |
| February 11, 2017 Filed Feb 14, 2017 18:35 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 2,717 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-005884 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,110 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: Represents the vesting of previously awarded restricted stock units. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 5,527 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC source: 0001127602-16-066918 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,527 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. F3 · derivative.exercise_date: The options vested in three equal annual installments beginning on February 13, 2008. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 5,527 | $93.00 | $514,011.00 |
DisclosureSEC source: 0001127602-16-066918 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,393 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 11, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Harris continues to hold 14,393 shares directly and 1,361 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 39,643 vested stock options, 38,349 unvested stock options and 15,979 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:30 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 5,527 | $91.73 | $506,991.71 |
DisclosureSEC source: 0001127602-16-066918 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,920 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 |
| October 05, 2016 Filed Oct 7, 2016 19:01 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2010 Employee Stock Option (Right to Buy) · Derivative | 8,317 | $0.00 Strike: $48.36 | $0.00 |
DisclosureSEC source: 0001127602-16-064526 · form4.xml · derivative · entry 4 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,317 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. F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 9, 2011. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 19:01 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 6,531 | $85.00 | $555,135.00 |
DisclosureSEC source: 0001127602-16-064526 · form4.xml · nonDerivative · entry 2 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,393 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 11, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Harris continues to hold 14,393 shares directly and 1,361 shares indirectly in a 401(k) account. Mr. Harris also holds an additional 45,170 vested stock options, 38,349 unvested stock options, 2,717 restricted stock units and 15,979 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 19:01 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 8,317 | $48.36 | $402,210.12 |
DisclosureSEC source: 0001127602-16-064526 · form4.xml · nonDerivative · entry 1 Harris Timothy P · CIK 0001653998 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,924 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.