Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | Director · NON-EXEC CHAIRMAN OF THE BOARD | March 14, 2019 | March 18, 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 March 14, 2019 · Filed March 18, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Compensation SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 11,046 |
Reported balance
After 2019-03-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-14 · Grant · Acquired 112 · Balance 11,046 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 |
|---|---|---|---|---|---|---|
| March 14, 2019 Filed Mar 18, 2019 20:22 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 112 | $95.27 Strike: $0.00 | $10,670.24 |
DisclosureSEC source: 0001127602-19-011820 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,046 Underlying: Common Stock · 112 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 12, 2019 Filed Feb 14, 2019 22:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2016 Performance Shares · Derivative | 41,558 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006066 · form4.xml · derivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,558 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 22:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 21,784 | $93.36 | $2,033,754.24 |
DisclosureSEC source: 0001127602-19-006066 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,194 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 22:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 47,460 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-006066 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,978 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 |
| January 09, 2019 Filed Jan 11, 2019 22:00 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionDeferred Compensation Shares · Derivative | 33,693 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-001882 · form4.xml · derivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,935 Underlying: Common Stock · 33,693 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. F5 · derivative.exercise_price: Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis. F1 · kind: Distribution resulting from retirement as Chief Executive Officer. F6 · derivative.exercise_date: Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant. F6 · 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 |
| January 09, 2019 Filed Jan 11, 2019 22:00 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Disposition to issuerCommon Stock | 33,693 | $85.50 | $2,880,751.50 |
DisclosureSEC source: 0001127602-19-001882 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,518 F1 · kind: Distribution resulting from retirement as Chief Executive Officer. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Strangfeld continues to hold 274,518 shares directly and 1,904 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 738,934 vested stock options, 237,423 unvested stock options, 10,935 deferred compensation shares, and 125,379 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 22:00 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 33,693 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-001882 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 308,211 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 · kind: Distribution resulting from retirement as Chief Executive Officer. Read SEC document |
| December 13, 2018 Filed Dec 17, 2018 22:00 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 469 | $82.74 Strike: $0.00 | $38,805.06 |
DisclosureSEC source: 0001127602-18-036472 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · NON-EXEC CHAIRMAN OF THE BOARD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,628 Underlying: Common Stock · 469 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 30, 2018 Filed Dec 4, 2018 17:56 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant11/30/2018 Performance Shares · Derivative | 30,760 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-035050 · form4.xml · derivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,760 Underlying: Common Stock · 30,760 shares Expires not disclosed F2 · derivative.exercise_price: The performance shares convert to common stock on a 1 to 1 basis. F3 · 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, and modified by Employee Diversity, 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. F3 · 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, and modified by Employee Diversity, 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 |
| November 30, 2018 Filed Dec 4, 2018 17:56 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant11/30/2018 Employee Stock Option (Right to Buy) · Derivative | 81,268 | $0.00 Strike: $93.76 | $0.00 |
DisclosureSEC source: 0001127602-18-035050 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,268 Underlying: Common Stock · 81,268 shares Expires 2028-11-30 F1 · derivative.exercise_date: The options vest in three equal annual installments beginning on November 30, 2019. Read SEC document |
| September 13, 2018 Filed Sep 17, 2018 18:18 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 395 | $97.08 Strike: $0.00 | $38,346.60 |
DisclosureSEC source: 0001127602-18-027722 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,013 Underlying: Common Stock · 395 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 20:07 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 384 | $98.75 Strike: $0.00 | $37,920.00 |
DisclosureSEC source: 0001127602-18-021154 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,599 Underlying: Common Stock · 384 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 18:12 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 347 | $108.49 Strike: $0.00 | $37,646.03 |
DisclosureSEC source: 0001127602-18-011988 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,126 Underlying: Common Stock · 347 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 13, 2018 Filed Feb 15, 2018 21:36 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Performance Shares · Derivative | 24,611 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006405 · form4.xml · derivative · entry 7 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,611 Underlying: Common Stock · 24,611 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 2018 through 2020 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2021. 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 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 21:36 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2018 Employee Stock Option (Right to Buy) · Derivative | 65,020 | $0.00 Strike: $106.89 | $0.00 |
DisclosureSEC source: 0001127602-18-006405 · form4.xml · derivative · entry 6 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,020 Underlying: Common Stock · 65,020 shares Expires 2028-02-13 F5 · 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 21:36 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Performance Shares · Derivative | 31,022 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006405 · form4.xml · derivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,022 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 21:36 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 14,267 | $106.89 | $1,524,999.63 |
DisclosureSEC source: 0001127602-18-006405 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,518 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:36 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 34,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006405 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,785 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 16:59 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 272 | $114.47 Strike: $0.00 | $31,135.84 |
DisclosureSEC source: 0001127602-17-034865 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,709 Underlying: Common Stock · 272 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 19:05 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 302 | $101.97 Strike: $0.00 | $30,794.94 |
DisclosureSEC source: 0001127602-17-027607 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,511 Underlying: Common Stock · 302 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 |
| July 03, 2017 Filed Jul 6, 2017 17:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2011 Employee Stock Option (Right to Buy) · Derivative | 170,667 | $0.00 Strike: $64.01 | $0.00 |
DisclosureSEC source: 0001127602-17-023251 · form4.xml · derivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 170,667 shares Expires 2021-02-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 8, 2012. Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 17:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 201,585 | $110.00 | $22,174,350.00 |
DisclosureSEC source: 0001127602-17-023251 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,536 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 February 13, 2017. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 254,536 shares directly and 1,797 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 643,702 vested stock options, 186,367 unvested stock options, 42,147 deferred compensation shares, and 101,030 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 17:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 170,667 | $64.01 | $10,924,394.67 |
DisclosureSEC source: 0001127602-17-023251 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,121 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 19:43 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 284 | $108.28 Strike: $0.00 | $30,751.52 |
DisclosureSEC source: 0001127602-17-021731 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,147 Underlying: Common Stock · 284 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 20:45 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 274 | $111.62 Strike: $0.00 | $30,583.88 |
DisclosureSEC source: 0001127602-17-012419 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,835 Underlying: Common Stock · 274 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 17, 2017 Filed Jun 12, 2017 17:37 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GiftCommon Stock | 7,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-021143 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,454 F1 · shares: Gifts to 501(c)(3) charitable foundations. F2 · balance_after: Following the transaction reported on this Form 4, Mr. Strangfeld continues to hold 285,454 shares directly and 1,775 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 814,369 vested stock options, 186,367 unvested stock options, 41,835 deferred compensation shares, and 101,030 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 23:02 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 28,863 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006688 · form4.xml · derivative · entry 7 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,863 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 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 23:02 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 28,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006688 · form4.xml · derivative · entry 6 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,450 Underlying: Common Stock · 28,450 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 2017 through 2019 performance period. The actual number of shares to be received will be determined by the Compensation Committee in February 2020. 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 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 23:02 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 73,611 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006688 · form4.xml · derivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,611 Underlying: Common Stock · 73,611 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 23:02 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 15,076 | $110.45 | $1,665,144.20 |
DisclosureSEC source: 0001127602-17-006688 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,673 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 23:02 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 36,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006688 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,749 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 18:56 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 266 | $107.08 Strike: $0.00 | $28,483.28 |
DisclosureSEC source: 0001127602-16-070376 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,598 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 |
| November 10, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2010 Employee Stock Option (Right to Buy) · Derivative | 135,136 | $0.00 Strike: $48.36 | $0.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · derivative · entry 14 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 135,136 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. F8 · derivative.exercise_date: The options vested in three equal annual installments beginning on February 9, 2011. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 66,310 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · derivative · entry 13 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 66,310 shares Expires 2017-02-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · 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 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 117,040 | $95.00 | $11,118,800.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 8 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,670 F2 · 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 12, 2016. F3 · balance_after: Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 272,670 shares directly and 1,770 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 41,428 deferred compensation shares, 719,142 vested stock options, 207,983 unvested stock options and 101,443 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 135,136 | $48.36 | $6,535,176.96 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 7 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,710 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 65,873 | $94.00 | $6,192,062.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 6 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,574 F2 · 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 12, 2016. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 66,310 | $91.73 | $6,082,616.30 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 5 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,447 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/12/08 Employee Stock Option (Right to Buy) · Derivative | 146,315 | $0.00 Strike: $69.03 | $0.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · derivative · entry 12 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 146,315 shares Expires 2018-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 12, 2009. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion1/18/08 Employee Stock Option (Right to Buy) · Derivative | 143,177 | $0.00 Strike: $80.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · derivative · entry 11 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 143,177 shares Expires 2018-01-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The option vested with 50% after 2 years on 1/18/2010, 25% after year 3 on 1/18/2011, and 25% after year 4 on 1/18/2012. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 275,855 | $90.00 | $24,826,950.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 4 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,137 F2 · 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 12, 2016. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 146,315 | $69.03 | $10,100,124.45 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 3 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 529,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 143,177 | $80.00 | $11,454,160.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 2 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,677 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 07, 2016 Filed Nov 9, 2016 21:18 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 80,000 | $88.00 | $7,040,000.00 |
DisclosureSEC source: 0001127602-16-066583 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,800 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 12, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Strangfeld continues to hold 246,800 shares directly and 1,770 shares indirectly in a 401(k) account. Mr. Strangfeld also holds an additional 1,210,080 vested stock options, 207,983 unvested stock options and 101,443 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 21:34 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GrantDeferred Compensation Shares · Derivative | 351 | $80.45 Strike: $0.00 | $28,237.95 |
DisclosureSEC source: 0001127602-16-062836 · form4.xml · derivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,522 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 |
| August 09, 2016 Filed Nov 14, 2016 20:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GiftCommon Stock | 6,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066934 · form4.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,500 F1 · shares: Gifts to 501(c)(3) charitable foundations. Read SEC document |
| August 09, 2016 Filed Feb 16, 2017 14:59 UTC Amendment | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | GiftCommon Stock | 7,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006447 · form4a.xml · nonDerivative · entry 1 STRANGFELD JOHN R JR · CIK 0001184679 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,500 F1 · shares: Corrects a clerical error in the number of shares previously reported. 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.