Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRUDENTIAL FINANCIAL INCPRU · Entity 148 | EVP and Vice Chairman | February 28, 2025 | March 04, 2025 |
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 28, 2025 · Filed March 04, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 242,823 |
Reported balance
After 2025-02-28 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2025-02-28 · Exercise / conversion · Acquired 6,869 · Balance 242,823 F1: Represents the vesting of previously awarded restricted stock units. |
| Common StockSEC Table I · non-derivative | Direct | 239,483 |
Reported balance
After 2025-02-28 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2025-02-28 · Tax withholding · Disposed 3,340 · Balance 239,483 F2: Represents shares withheld for the payment of taxes. |
| Common StockSEC Table I · non-derivative | Direct | 247,875 |
Reported balance
After 2025-02-28 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2025-02-28 · Exercise / conversion · Acquired 8,392 · Balance 247,875 F1: Represents the vesting of previously awarded restricted stock units. |
| Common StockSEC Table I · non-derivative | Direct | 243,792 |
Reported balance
After 2025-02-28 transaction · row 4
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 4 · 2025-02-28 · Tax withholding · Disposed 4,083 · Balance 243,792 F2: Represents shares withheld for the payment of taxes. |
| Common StockSEC Table I · non-derivative | Direct | 248,345 |
Reported balance
After 2025-02-28 transaction · row 5
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 5 · 2025-02-28 · Exercise / conversion · Acquired 8,868 · Balance 248,345 F1: Represents the vesting of previously awarded restricted stock units. |
| Common StockSEC Table I · non-derivative | Direct | 239,477 |
Reported balance
After 2025-02-28 transaction · row 6
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 6 · 2025-02-28 · Tax withholding · Disposed 4,315 · Balance 239,477 F2: Represents shares withheld for the payment of taxes. |
| 2022 Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2025-02-28 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-02-28 · Exercise / conversion · Disposed 6,869 · Balance 0 F3: The Restricted Stock Units convert to common stock on a 1 to 1 basis. F4: The Restricted Stock Units will vest 1/3 per year beginning on February 28, 2023. |
| 2023 Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 8,393 |
Reported balance
After 2025-02-28 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2025-02-28 · Exercise / conversion · Disposed 8,392 · Balance 8,393 F3: The Restricted Stock Units convert to common stock on a 1 to 1 basis. F5: The Restricted Stock Units will vest 1/3 per year beginning the last day of February 2024. |
| 2024 Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 17,738 |
Reported balance
After 2025-02-28 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-02-28 · Exercise / conversion · Disposed 8,868 · Balance 17,738 F3: The Restricted Stock Units convert to common stock on a 1 to 1 basis. F6: The Restricted Stock Units will vest 1/3 per year beginning the last day of February 2025. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 692 |
Reported balance
Holding disclosure · report date 2025-02-28 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 692 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 3,580 |
Reported balance
Holding disclosure · report date 2025-02-28 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 3,580 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the vesting of previously awarded restricted stock units.
F2: Represents shares withheld for the payment of taxes.
F3: The Restricted Stock Units convert to common stock on a 1 to 1 basis.
F4: The Restricted Stock Units will vest 1/3 per year beginning on February 28, 2023.
F5: The Restricted Stock Units will vest 1/3 per year beginning the last day of February 2024.
F6: The Restricted Stock Units will vest 1/3 per year beginning the last day of February 2025.
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 13, 2018 Filed Feb 15, 2018 21:26 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 4,139 | $106.89 | $442,417.71 |
DisclosureSEC source: 0001127602-18-006381 · form4.xml · nonDerivative · entry 2 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,358 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:26 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 12,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-006381 · form4.xml · nonDerivative · entry 1 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,497 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 |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Performance Shares · Derivative | 11,380 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006678 · form4.xml · derivative · entry 6 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,380 Underlying: Common Stock · 11,380 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 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Grant2017 Employee Stock Option (Right to Buy) · Derivative | 29,445 | $0.00 Strike: $110.45 | $0.00 |
DisclosureSEC source: 0001127602-17-006678 · form4.xml · derivative · entry 5 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,445 Underlying: Common Stock · 29,445 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 |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Performance Shares · Derivative | 8,829 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006678 · form4.xml · derivative · entry 4 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,829 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 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Tax withholdingCommon Stock | 3,709 | $110.45 | $409,659.05 |
DisclosureSEC source: 0001127602-17-006678 · form4.xml · nonDerivative · entry 2 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,409 F2 · shares: Represents shares withheld for the payment of taxes. Read SEC document |
| February 14, 2017 Filed Feb 16, 2017 22:53 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 11,037 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006678 · form4.xml · nonDerivative · entry 1 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,118 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 20:26 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2014 Employee Stock Option (Right to Buy) · Derivative | 15,007 | $0.00 Strike: $84.53 | $0.00 |
DisclosureSEC source: 0001127602-16-066915 · form4.xml · derivative · entry 4 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,504 Underlying: Common Stock · 15,007 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. F3 · derivative.exercise_date: The options vested in three equal annual installments beginning on February 11, 2015. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:26 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 14,695 | $90.00 | $1,322,550.00 |
DisclosureSEC source: 0001127602-16-066915 · form4.xml · nonDerivative · entry 2 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,081 F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 9, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Falzon continues to hold 37,081 shares directly and 576 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 78,191 unvested stock options and 36,401 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 20:26 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 15,007 | $84.53 | $1,268,541.71 |
DisclosureSEC source: 0001127602-16-066915 · form4.xml · nonDerivative · entry 1 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 19:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversion2015 Employee Stock Option (Right to Buy) · Derivative | 10,106 | $0.00 Strike: $78.08 | $0.00 |
DisclosureSEC source: 0001127602-16-064529 · form4.xml · derivative · entry 4 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,213 Underlying: Common Stock · 10,106 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. F4 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 10, 2016. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 19:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | SaleCommon Stock | 9,781 | $85.00 | $831,385.00 |
DisclosureSEC source: 0001127602-16-064529 · form4.xml · nonDerivative · entry 2 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,769 F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 9, 2016. F2 · balance_after: Following the transactions reported on this Form 4, Mr. Falzon continues to hold 36,769 shares directly and 576 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 15,007 vested stock options, 78,191 unvested stock options and 36,401 target performance shares (the exact number awarded being dependent on achievement of performance goals). Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 19:06 UTC | PRUDENTIAL FINANCIAL INC PRU · Entity 148 | Exercise / conversionCommon Stock | 10,106 | $78.08 | $789,076.48 |
DisclosureSEC source: 0001127602-16-064529 · form4.xml · nonDerivative · entry 1 FALZON ROBERT · CIK 0001256465 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,550 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.