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 |
|---|---|---|---|---|---|---|
| February 14, 2017 Filed Feb 16, 2017 22:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 5,094 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · derivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,094 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 | Tax withholdingCommon Stock | 5,457 | $110.45 | $602,725.65 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,029 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 | 12,922 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006685 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,486 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 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 |
| December 15, 2016 Filed Dec 19, 2016 18:47 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 204 | $107.08 Strike: $0.00 | $21,844.32 |
DisclosureSEC source: 0001127602-16-070374 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,847 Underlying: Common Stock · 204 shares Expires not disclosed F1 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F2 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F2 · derivative.expiration_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:43 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 3,040 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC source: 0001127602-16-066930 · form4.xml · derivative · entry 4 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,040 shares Expires 2017-02-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:43 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 3,040 | $94.00 | $285,760.00 |
DisclosureSEC source: 0001127602-16-066930 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,564 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 581 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,716 deferred compensation shares, 31,042 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:43 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 3,040 | $91.73 | $278,859.20 |
DisclosureSEC source: 0001127602-16-066930 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,604 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 21:31 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 269 | $80.45 Strike: $0.00 | $21,641.05 |
DisclosureSEC source: 0001127602-16-062834 · form4.xml · derivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,789 Underlying: Common Stock · 269 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 09, 2016 Filed Sep 13, 2016 19:49 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2013 Employee Stock Option (Right to Buy) · Derivative | 33,915 | $0.00 Strike: $57.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062458 · 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 · 33,915 shares Expires 2023-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 12, 2014. Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 19:49 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2012 Employee Stock Option (Right to Buy) · Derivative | 5,702 | $0.00 Strike: $59.41 | $0.00 |
DisclosureSEC source: 0001127602-16-062458 · form4.xml · derivative · entry 5 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,702 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. F3 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 14, 2013. Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 19:49 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 39,617 | $80.00 | $3,169,360.00 |
DisclosureSEC source: 0001127602-16-062458 · form4.xml · nonDerivative · entry 3 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,564 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 26, 2016. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Pelletier continues to hold 2,564 shares directly and 578 shares indirectly in a 401(k) account. Mr. Pelletier also holds an additional 31,594 deferred compensation shares, 34,082 vested stock options, 92,518 unvested stock options, and 43,637 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| September 09, 2016 Filed Sep 13, 2016 19:49 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 33,915 | $57.00 | $1,933,155.00 |
DisclosureSEC source: 0001127602-16-062458 · form4.xml · nonDerivative · entry 2 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,181 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 |
| September 09, 2016 Filed Sep 13, 2016 19:49 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 5,702 | $59.41 | $338,755.82 |
DisclosureSEC source: 0001127602-16-062458 · form4.xml · nonDerivative · entry 1 Pelletier Stephen · CIK 0001602568 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,266 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.