RICHARD J CARBONE
CIK 1187441 · EVP and CFO · last filed 2020-10-05
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$10.60M
Companies
2
Total Filings
46
Lifetime Open-Market Net
-$6.05M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| E TRADE FINANCIAL CORP (ETFC) Delisted | Director | 0 | — | — | $0 | 30 | 2020-10-05 |
| PRU | EVP and CFO | 89,983 | $117.84 | $10.60M | -$6.05M | 16 | 2013-02-14 |
Recent Filings · Page 5 of 5
46 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2009-02-12 | PRU | Mixed | +4,839 | -$77.4K | EDGAR |
| 2008-02-14 | PRU | Mixed | +12,149 | -$584.5K | EDGAR |
| 2008-01-23 | PRU | Grant (A) | — | $0 | EDGAR |
| 2007-08-16 | PRU | Buy (P) | +5,000 | $432.3K | EDGAR |
| 2007-08-07 | PRU | Buy (P) | +5,000 | $434.1K | EDGAR |
| 2007-02-15 | PRU | Mixed | +13,827 | -$974.7K | EDGAR |
Showing 41–46 of 46
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Page 5 of 5
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.