Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | Senior Vice President | February 27, 2017 | February 28, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PRUDENTIAL FINANCIAL INC
Report date February 27, 2017 · Filed February 28, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,481 |
Reported balance
After 2017-02-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-02-27 · Exercise / conversion · Acquired 3,816 · Balance 15,481 |
| Common StockSEC Table I · non-derivative | Direct | 18,392 |
Reported balance
After 2017-02-27 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-02-27 · Exercise / conversion · Acquired 2,911 · Balance 18,392 |
| Common StockSEC Table I · non-derivative | Direct | 19,705 |
Reported balance
After 2017-02-27 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2017-02-27 · Exercise / conversion · Acquired 1,313 · Balance 19,705 |
| Common StockSEC Table I · non-derivative | Direct | 29,153 |
Reported balance
After 2017-02-27 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2017-02-27 · Exercise / conversion · Acquired 9,448 · Balance 29,153 |
| Common StockSEC Table I · non-derivative | Direct | 22,426 |
Reported balance
After 2017-02-27 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2017-02-27 · Sale · Disposed 6,727 · Balance 22,426 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.62 to $110.623, 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. |
| Common StockSEC Table I · non-derivative | Direct | 14,837 |
Reported balance
After 2017-02-27 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2017-02-27 · Sale · Disposed 7,589 · Balance 14,837 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.530 to $110.547, 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. F3: Following the transactions reported on this Form 4, Mr. Lambert continues to hold 14,837 shares directly and 5,521 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 29,481 vested stock options, 23,194 unvested stock options, and 15,977 target performance shares (the exact number awarded being dependent on achievement of performance goals). |
| 2012 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $59.41 · Expires 2022-02-14 | Direct | 0 |
Reported balance
After 2017-02-27 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-02-27 · Exercise / conversion · Disposed 3,816 · Balance 0 F5: The options vest in three equal annual installments beginning on February 14, 2013. |
| 2010 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $48.36 · Expires 2020-02-09 | Direct | 0 |
Reported balance
After 2017-02-27 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2017-02-27 · Exercise / conversion · Disposed 2,911 · Balance 0 F6: The options vest in three equal annual installments beginning on February 9, 2011. |
| 5/8/2012 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $51.58 · Expires 2022-05-08 | Direct | 0 |
Reported balance
After 2017-02-27 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2017-02-27 · Exercise / conversion · Disposed 1,313 · Balance 0 F7: The options vest in three equal annual installments beginning on May 8, 2013. |
| 2013 Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.00 · Expires 2023-02-12 | Direct | 0 |
Reported balance
After 2017-02-27 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2017-02-27 · Exercise / conversion · Disposed 9,448 · Balance 0 F8: The options vest in three equal annual installments beginning on February 12, 2014. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 5,521 |
Reported balance
Holding disclosure · report date 2017-02-27 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 5,521 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 72 |
Reported balance
Holding disclosure · report date 2017-02-27 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 72 F4: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.62 to $110.623, 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.530 to $110.547, 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.
F3: Following the transactions reported on this Form 4, Mr. Lambert continues to hold 14,837 shares directly and 5,521 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 29,481 vested stock options, 23,194 unvested stock options, and 15,977 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F4: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose.
F5: The options vest in three equal annual installments beginning on February 14, 2013.
F6: The options vest in three equal annual installments beginning on February 9, 2011.
F7: The options vest in three equal annual installments beginning on May 8, 2013.
F8: The options vest in three equal annual installments beginning on February 12, 2014.
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 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2013 Employee Stock Option (Right to Buy) · Derivative | 9,448 | $0.00 Strike: $57.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · derivative · entry 12 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,448 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. F8 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 12, 2014. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion5/8/2012 Employee Stock Option (Right to Buy) · Derivative | 1,313 | $0.00 Strike: $51.58 | $0.00 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · derivative · entry 11 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,313 shares Expires 2022-05-08 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. F7 · derivative.exercise_date: The options vest in three equal annual installments beginning on May 8, 2013. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2010 Employee Stock Option (Right to Buy) · Derivative | 2,911 | $0.00 Strike: $48.36 | $0.00 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · derivative · entry 10 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,911 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. F6 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 9, 2011. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2012 Employee Stock Option (Right to Buy) · Derivative | 3,816 | $0.00 Strike: $59.41 | $0.00 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · derivative · entry 9 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,816 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. F5 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 14, 2013. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 7,589 | $110.54 | $838,888.06 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 6 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,837 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.530 to $110.547, 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. F3 · balance_after: Following the transactions reported on this Form 4, Mr. Lambert continues to hold 14,837 shares directly and 5,521 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 29,481 vested stock options, 23,194 unvested stock options, and 15,977 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 6,727 | $110.62 | $744,140.74 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 5 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,426 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.62 to $110.623, 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. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 9,448 | $57.00 | $538,536.00 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 4 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,153 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 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 1,313 | $51.58 | $67,724.54 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 3 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,705 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 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 2,911 | $48.36 | $140,775.96 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 2 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,392 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 27, 2017 Filed Feb 28, 2017 18:03 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 3,816 | $59.41 | $226,708.56 |
DisclosureSEC source: 0001127602-17-008859 · form4.xml · nonDerivative · entry 1 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,481 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 22:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 2,717 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006679 · form4.xml · derivative · entry 7 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,717 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.exercise_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. F1 · derivative.expiration_date: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 4,268 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006679 · form4.xml · derivative · entry 6 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,268 Underlying: Common Stock · 4,268 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 22:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 5,521 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006679 · form4.xml · derivative · entry 5 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,521 Underlying: Common Stock · 5,521 shares Expires 2027-02-14 F5 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 14, 2018. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 1,082 | $110.45 | $119,506.90 |
DisclosureSEC source: 0001127602-17-006679 · form4.xml · nonDerivative · entry 2 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,665 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:54 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 3,397 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006679 · form4.xml · nonDerivative · entry 1 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,747 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The Compensation Committee awarded these shares, the grant of which was made on February 11, 2014, and originally reported on a Form 4 filed with the SEC on February 13, 2014, based upon performance relative to the average Return On Equity (ROE) goals during the 2014 through 2016 performance period. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2/13/07 Employee Stock Option (Right to Buy) · Derivative | 2,912 | $0.00 Strike: $91.73 | $0.00 |
DisclosureSEC source: 0001127602-16-066923 · form4.xml · derivative · entry 5 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,912 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. F5 · derivative.exercise_date: The option vested in three equal annual installments beginning on February 13, 2008. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 2,912 | $93.00 | $270,816.00 |
DisclosureSEC source: 0001127602-16-066923 · form4.xml · nonDerivative · entry 2 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,350 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 9, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Lambert continues to hold 9,350 shares directly and 5,506 shares indirectly in a 401(k) account. Mr. Lambert also holds an additional 33,298 vested stock options, 31,344 unvested stock options, and 14,426 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:33 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 2,912 | $91.73 | $267,117.76 |
DisclosureSEC source: 0001127602-16-066923 · form4.xml · nonDerivative · entry 1 Lambert Richard F · CIK 0001552179 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,262 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.