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: 2020-11-11

Reporting Person: SCHMIDT TIMOTHY L (Senior Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-11	Common Stock	S	5000	$73.56	Disposed	17450	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	240	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 $73.36 to $73.64, 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: Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 17,450 shares directly and 240 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 23,632 vested stock options, 12,565 unvested stock options, 5,251 restricted stock units and 19,073 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F3: Amount reported has been adjusted to include 3 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2020 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).