PRUDENTIAL FINANCIAL INC — Director's Dealing 2020

Feb 21, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2020-02-19

Reporting Person: SULLIVAN ANDREW F (Executive Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-19	Common Stock	S	2020	$93.32	Disposed	9537	Direct
2020-02-19	Common Stock	M	2524	—	Acquired	12061	Direct
2020-02-19	Common Stock	S	2279	$93.33	Disposed	9782	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-02-19	2016 Employee Stock Option (Right to Buy)	$63.59	M	2524	Disposed	2026-02-09	Common Stock (2524)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	341	Indirect

Footnotes

F1: Following the transaction reported on this Form 4, Mr. Sullivan continues to hold 9,782 shares directly and 341 shares indirectly in a 401(k) account. Mr. Sullivan also holds an additional 9,755 vested stock options, 43,305 unvested stock options, 1,590 deferred compensation shares, and 34,575 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F2: The options vest in three equal annual installments beginning on February 9, 2017.