Falzon Robert's Form 4 filing
Prudential Financial Inc (PFH) · filed Jan 6, 2022
- Accession no.
- 0001127602-22-001066
- Filed
- Jan 6, 2022
- Trade date
- Jan 4, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 4 derivative transactions. Open-market sales total $6.10M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Falzon RobertCIK 0001256465 | Officer (EVP and Vice Chairman) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2022 | Common Stock | MOption exerciseAcquired | +9,526 | $78.08 | +$743,790.08 | 95,721 | Direct | |
| Jan 4, 2022 | Common Stock | SSaleDisposed | −8,811 | $114.00 | −$1,004,454 | 86,910 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseAcquired | +20,000 | $63.59 | +$1,271,800 | 106,910 | Direct | |
| Jan 4, 2022 | Common Stock | SSaleDisposed | −17,929 | $112.00 | −$2,008,048 | 88,981 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseAcquired | +20,000 | $63.59 | +$1,271,800 | 108,981 | Direct | |
| Jan 4, 2022 | Common Stock | SSaleDisposed | −17,904 | $113.00 | −$2,023,152 | 91,077 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseAcquired | +10,474 | $63.59 | +$666,041.66 | 101,551 | Direct | |
| Jan 4, 2022 | Common Stock | SSaleDisposed | −9,363 | $114.00 | −$1,067,382 | 92,188 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2022 | Common Stock | MOption exerciseDisposed | −9,526 | $0.00 | $0 | 10,687 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 30,474 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 10,474 | Direct | |
| Jan 4, 2022 | Common Stock | MOption exerciseDisposed | −10,474 | $0.00 | $0 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.