PRUDENTIAL FINANCIAL INC — Director's Dealing 2019

Oct 17, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2019-10-15

Reporting Person: Sleyster Scott (Executive Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-10-15	Common Stock	M	12994	$48.36	Acquired	55746.12	Direct
2019-10-15	Common Stock	S	12994	$90.00	Disposed	42752.12	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-10-15	2010 Employee Stock Option (Right to Buy)	$48.36	M	12994	Disposed	2020-02-09	Common Stock (12994)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	7578	Indirect

Footnotes

F1: The Sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 12, 2019.

F2: Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 42,752 shares directly and 7,578 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 93,430 deferred compensation shares, 135,558 vested stock options, 47,807 unvested stock options, and 26,992 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F3: Amount reported has been adjusted to include 446 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2018 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).

F4: The options vest in three equal annual installments beginning on February 9, 2011.