PRUDENTIAL FINANCIAL INC — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2021-11-11

Reporting Person: Sleyster Scott (Executive Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-11	Common Stock	M	16448	$59.41	Acquired	76463.12	Direct
2021-11-11	Common Stock	M	5935	$47.61	Acquired	82398.12	Direct
2021-11-11	Common Stock	S	22383	$109.62	Disposed	60015.12	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-11	2012 Employee Stock Option (Right to Buy)	$59.41	M	16448	Disposed	2022-02-14	Common Stock (16448)	Direct
2021-11-11	6/12/2012 Employee Stock Option (Right to Buy)	$47.61	M	5935	Disposed	2022-06-12	Common Stock (5935)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	8241	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 $109.02 to $109.80 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 transactions reported on this Form 4, Mr. Sleyster continues to hold 60,015 shares directly and 8,241 shares indirectly in a 401(k) account. Mr. Sleyster also holds an additional 104,720 deferred compensations shares, 149,207 vested stock options, 41,234 unvested stock options, 13,509 restricted stock units, and 88,731 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F3: Amount reported has been adjusted to include 234 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2020 and September 30, 2021 based on a plan statement dated September 30, 2021. 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 14, 2013.

F5: The options vest in three equal annual installments beginning on June 12, 2013.