PRUDENTIAL FINANCIAL INC — Director's Dealing 2021

Oct 13, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2021-10-08

Reporting Person: Lowrey Charles F (Director, Chief Executive Officer, Chairman of the Board)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-10-08	Common Stock	M	39958	$63.59	Acquired	132767	Direct
2021-10-08	Common Stock	S	37011	$110.00	Disposed	95756	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-10-08	2016 Employee Stock Option (Right to Buy)	$63.59	M	39958	Disposed	2026-02-09	Common Stock (39958)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	253	Indirect

Footnotes

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 10, 2021.

F2: Following the transactions reported on this Form 4, Mr. Lowrey continues to hold 95,756 shares directly and 253 shares indirectly in a 401(k) account. Mr. Lowrey also holds an additional 238,787 vested stock options, 90,063 unvested stock options, 34,693 restricted stock units, and 209,366 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F3: Amount reported has been adjusted to include 7 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between January 01, 2021 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 vested in three equal annual installments beginning on February 9, 2017.