PRUDENTIAL FINANCIAL INC — Director's Dealing 2019

Dec 18, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2019-11-07

Reporting Person: FALZON ROBERT (EVP and Vice Chairman)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-07	Common Stock	G	1100	—	Disposed	63128	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	599	Indirect
Common Stock	3580	Indirect

Footnotes

F1: Gift to a 501(c)(3) charitable foundation.

F2: Following the transactions reported on this Form 4, Mr. Falzon continues to hold 63,128 shares directly and 599 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 106,490 vested stock options, 93,353 unvested stock options and 42,434 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F3: Amount reported has been adjusted to include 8 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 28, 2019 and September 30, 2019 based on a plan statement dated September 30, 2019. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).