PRUDENTIAL FINANCIAL INC — Director's Dealing 2021

Aug 24, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2021-08-24

Reporting Person: SCHMIDT TIMOTHY L (Senior Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-24	Common Stock	M	6579	$59.41	Acquired	23076	Direct
2021-08-24	Common Stock	S	6579	$104.91	Disposed	16497	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-24	2012 Employee Stock Option (Right to Buy)	$59.41	M	6579	Disposed	2022-02-14	Common Stock (6579)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	247	Indirect

Footnotes

F1: Following the transaction reported on this Form 4, Mr. Schmidt continues to hold 16,497 shares directly and 247 shares indirectly in a 401(k) account. Mr. Schmidt also holds an additional 22,021 vested stock options, 7,597 unvested stock options, 6,264 restricted stock units and 32,374 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F2: Amount reported has been adjusted to include 4 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2020 and June 30, 2021 based on a plan statement dated June 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).

F3: The options vested in three equal annual installments beginning on February 14, 2013.