Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | Executive Vice President | September 12, 2019 | September 16, 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 September 12, 2019 · Filed September 16, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Compensation SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 35,241 |
Reported balance
After 2019-09-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-09-12 · Grant · Acquired 386 · Balance 35,241 F1: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. |
Filing footnotes · ownership attribution and instrument terms
F1: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.
F2: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.
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 |
|---|---|---|---|---|---|---|
| September 12, 2019 Filed Sep 16, 2019 20:09 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 386 | $88.22 Strike: $0.00 | $34,052.92 |
DisclosureSEC source: 0001127602-19-028454 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,241 Underlying: Common Stock · 386 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 19:24 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 336 | $100.13 Strike: $0.00 | $33,643.68 |
DisclosureSEC source: 0001127602-19-022631 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,854 Underlying: Common Stock · 336 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:16 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 351 | $95.27 Strike: $0.00 | $33,439.77 |
DisclosureSEC source: 0001127602-19-011802 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,518 Underlying: Common Stock · 351 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 20:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Employee Stock Option (Right to Buy) · Derivative | 18,928 | $0.00 Strike: $63.59 | $0.00 |
DisclosureSEC source: 0001127602-19-007479 · form4.xml · derivative · entry 6 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,928 shares Expires 2026-02-09 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. F6 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 9, 2017. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 20:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 17,489 | $94.05 | $1,644,840.45 |
DisclosureSEC source: 0001127602-19-007479 · form4.xml · nonDerivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,971 F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.71 to $94.40, 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 (4) to this Form 4. F5 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 7,971 shares directly and 625 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 32,378 vested stock options, 126,918 unvested stock options, 34,166 deferred compensation shares, and 39,757 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 20:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 5,026 | $94.01 | $472,494.26 |
DisclosureSEC source: 0001127602-19-007479 · form4.xml · nonDerivative · entry 3 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,460 F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.76 to $94.35, 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 (3) to this Form 4. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 20:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 3,491 | $94.03 | $328,258.73 |
DisclosureSEC source: 0001127602-19-007479 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,486 F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.70 to $94.40, 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. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 20:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 18,928 | $63.59 | $1,203,631.52 |
DisclosureSEC source: 0001127602-19-007479 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,977 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 15, 2019 Filed Feb 19, 2019 21:17 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 6,532 | $94.14 | $614,922.48 |
DisclosureSEC source: 0001127602-19-006797 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,049 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.98 to $94.33, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 15,049 shares directly and 625 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 51,306 vested stock options, 119,540 unvested stock options, 34,166 deferred compensation shares, and 39,757 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Employee Stock Option (Right to Buy) · Derivative | 47,643 | $0.00 Strike: $93.36 | $0.00 |
DisclosureSEC source: 0001127602-19-006057 · form4.xml · derivative · entry 6 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,643 Underlying: Common Stock · 47,643 shares Expires 2029-02-12 F6 · 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 22:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2019 Performance Shares · Derivative | 15,264 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006057 · form4.xml · derivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,264 Underlying: Common Stock · 15,264 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 2019 through 2021 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2022. 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 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 22:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Performance Shares · Derivative | 18,701 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006057 · form4.xml · derivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,701 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 22:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 8,293 | $93.36 | $774,234.48 |
DisclosureSEC source: 0001127602-19-006057 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,581 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 21,357 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006057 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,874 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 |
| December 13, 2018 Filed Dec 17, 2018 21:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 359 | $82.74 Strike: $0.00 | $29,703.66 |
DisclosureSEC source: 0001127602-18-036471 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,166 Underlying: Common Stock · 359 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| September 13, 2018 Filed Sep 17, 2018 18:14 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 303 | $97.08 Strike: $0.00 | $29,415.24 |
DisclosureSEC source: 0001127602-18-027720 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,695 Underlying: Common Stock · 303 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| June 14, 2018 Filed Jun 18, 2018 20:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 294 | $98.75 Strike: $0.00 | $29,032.50 |
DisclosureSEC source: 0001127602-18-021151 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,378 Underlying: Common Stock · 294 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 18:09 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 266 | $108.49 Strike: $0.00 | $28,858.34 |
DisclosureSEC source: 0001127602-18-011985 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,016 Underlying: Common Stock · 266 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 5,026 | $110.02 | $552,960.52 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 6 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,517 F5 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 8,517 shares directly and 597 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 11,041 vested stock options, 71,897 unvested stock options, 32,697 deferred compensation shares, and 43,194 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Employee Stock Option (Right to Buy) · Derivative | 18,928 | $0.00 Strike: $63.59 | $0.00 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · derivative · entry 9 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,928 Underlying: Common Stock · 18,928 shares Expires 2026-02-09 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. F7 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 9, 2017. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Employee Stock Option (Right to Buy) · Derivative | 13,475 | $0.00 Strike: $78.08 | $0.00 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · derivative · entry 8 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,475 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. F6 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 10, 2016. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 22,200 | $108.44 | $2,407,368.00 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,543 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 November 13, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.96 to $108.77, 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 (4) to this Form 4. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 7,034 | $108.88 | $765,861.92 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,743 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 November 13, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.78 to $109.08, 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 (3) to this Form 4. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 6,469 | $108.71 | $703,244.99 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 3 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,777 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 November 13, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.27 to $109.07, 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. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 18,928 | $63.59 | $1,203,631.52 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,246 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 20, 2018 Filed Feb 22, 2018 20:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 13,475 | $78.08 | $1,052,128.00 |
DisclosureSEC source: 0001127602-18-007714 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,318 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 13, 2018 Filed Feb 15, 2018 21:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Performance Shares · Derivative | 11,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006396 · form4.xml · derivative · entry 6 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,690 Underlying: Common Stock · 11,690 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 21:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Employee Stock Option (Right to Buy) · Derivative | 30,885 | $0.00 Strike: $106.89 | $0.00 |
DisclosureSEC source: 0001127602-18-006396 · form4.xml · derivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,885 Underlying: Common Stock · 30,885 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 21:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Performance Shares · Derivative | 14,599 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006396 · form4.xml · derivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,599 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 21:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 6,066 | $106.89 | $648,394.74 |
DisclosureSEC source: 0001127602-18-006396 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,843 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 16,118 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006396 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,909 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 |
| December 14, 2017 Filed Dec 18, 2017 17:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 208 | $114.47 Strike: $0.00 | $23,809.76 |
DisclosureSEC source: 0001127602-17-034869 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,697 Underlying: Common Stock · 208 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| September 14, 2017 Filed Sep 18, 2017 19:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 231 | $101.97 Strike: $0.00 | $23,555.07 |
DisclosureSEC source: 0001127602-17-027605 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,546 Underlying: Common Stock · 231 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 18:16 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion4/7/2014 Employee Stock Option (Right to Buy) · Derivative | 4,455 | $0.00 Strike: $81.17 | $0.00 |
DisclosureSEC source: 0001127602-17-025331 · form4.xml · derivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,455 shares Expires 2024-04-07 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 April 7, 2015. Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 18:16 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 4,133 | $112.18 | $463,639.94 |
DisclosureSEC source: 0001127602-17-025331 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,791 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 8, 2017. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 6,791 shares directly and 590 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 32,267 deferred compensation shares, 84,456 unvested stock options, and 46,103 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 18:16 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 4,455 | $81.17 | $361,612.35 |
DisclosureSEC source: 0001127602-17-025331 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,924 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 |
| June 15, 2017 Filed Jun 19, 2017 19:38 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 217 | $108.28 Strike: $0.00 | $23,496.76 |
DisclosureSEC source: 0001127602-17-021726 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,267 Underlying: Common Stock · 217 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 20:43 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 210 | $111.62 Strike: $0.00 | $23,440.20 |
DisclosureSEC source: 0001127602-17-012416 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,028 Underlying: Common Stock · 210 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Employee Stock Option (Right to Buy) · Derivative | 12,988 | $0.00 Strike: $84.53 | $0.00 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · derivative · entry 10 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,988 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. F6 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 11, 2015. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Employee Stock Option (Right to Buy) · Derivative | 26,950 | $0.00 Strike: $78.08 | $0.00 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · derivative · entry 9 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,475 Underlying: Common Stock · 26,950 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. F5 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 10, 2016. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Employee Stock Option (Right to Buy) · Derivative | 18,927 | $0.00 Strike: $63.59 | $0.00 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · derivative · entry 8 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,856 Underlying: Common Stock · 18,927 shares Expires 2026-02-09 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 options vest in three equal annual installments beginning on February 9, 2017. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion4/7/2014 Employee Stock Option (Right to Buy) · Derivative | 8,909 | $0.00 Strike: $81.17 | $0.00 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · derivative · entry 7 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,455 Underlying: Common Stock · 8,909 shares Expires 2024-04-07 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 April 7, 2015. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 71,334 | $112.02 | $7,990,834.68 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · nonDerivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,469 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.88 to $112.11, inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 6,469 shares directly and 582 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,847 deferred compensation shares, 88,911 unvested stock options, and 46,103 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 12,988 | $84.53 | $1,097,875.64 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · nonDerivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,803 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 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 26,950 | $78.08 | $2,104,256.00 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · nonDerivative · entry 3 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,815 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 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 18,927 | $63.59 | $1,203,567.93 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,865 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 16, 2017 Filed Feb 21, 2017 20:55 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 8,909 | $81.17 | $723,143.53 |
DisclosureSEC source: 0001127602-17-007353 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,938 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 | Exercise / conversion4/7/2014 Performance Shares · Derivative | 5,243 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · derivative · entry 8 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,243 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 7, 2014, respectively, and originally reported on a Form 3 and Form 4 filed with the SEC on April 9, 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 April 7, 2014, respectively, and originally reported on a Form 3 and Form 4 filed with the SEC on April 9, 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 April 7, 2014, respectively, and originally reported on a Form 3 and Form 4 filed with the SEC on April 9, 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 12,803 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · derivative · entry 7 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,803 Underlying: Common Stock · 12,803 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 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 33,125 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · derivative · entry 6 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,125 Underlying: Common Stock · 33,125 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.