PRUDENTIAL FINANCIAL INC — Director's Dealing 2020

Sep 8, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2020-09-03

Reporting Person: SCHMIDT TIMOTHY L (Senior Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-03	Common Stock	M	5334	—	Acquired	27784	Direct
2020-09-03	Common Stock	S	5334	$69.54	Disposed	22450	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-03	2011 Employee Stock Option (Right to Buy)	$64.01	M	5334	Disposed	2021-02-08	Common Stock (5334)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	237	Indirect

Footnotes

F1: Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 22,450 shares directly and 237 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).

F2: Amount reported has been adjusted to include 12 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2019 and June 30, 2020 based on a plan statement dated June 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).

F3: The options vest in three equal annual installments beginning on February 8, 2012.