PRUDENTIAL FINANCIAL INC — Director's Dealing 2020

Nov 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2020-11-10

Reporting Person: Sleyster Scott (Executive Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-10	Common Stock	M	13334	—	Acquired	64601.12	Direct
2020-11-10	Common Stock	S	5913	$75.00	Disposed	58688.12	Direct
2020-11-10	Common Stock	S	7421	$74.44	Disposed	51267.12	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-10	2011 Employee Stock Option (Right to Buy)	$64.01	M	13334	Disposed	2021-02-08	Common Stock (13334)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	7929	Indirect

Footnotes

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.98 to $75.03 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 1 to this Form 4.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.95 to $74.92 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4.

F3: Following the transactions reported on this Form 4, Mr. Sleyster continues to hold 51,267.12 shares directly and 7,929 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 99,804 deferred compensation shares, 141,370 vested stock options, 71,454 unvested stock options, and 61,497 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F4: Amount reported has been adjusted to include 278 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2019 and September 30, 2020 based on a plan statement dated September 30, 2020. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).

F5: The options vest in three equal annual installments beginning on February 8, 2012.