PRUDENTIAL FINANCIAL INC — Director's Dealing 2023

Dec 18, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PRUDENTIAL FINANCIAL INC (PRU)
CIK: 0001137774
Period of Report: 2023-12-14

Reporting Person: TANJI KENNETH (EVP and CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-12-14	Common Stock	M	5195	$84.53	Acquired	52350	Direct
2023-12-14	Common Stock	M	9096	$78.08	Acquired	61446	Direct
2023-12-14	Common Stock	M	8833	$63.59	Acquired	70279	Direct
2023-12-14	Common Stock	S	23124	$105.14	Disposed	47155	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-12-14	2014 Employee Stock Option (Right to Buy)	$84.53	M	5195	Disposed	2024-02-11	Common Stock (5195)	Direct
2023-12-14	2015 Employee Stock Option (Right to Buy)	$78.08	M	9096	Disposed	2025-02-10	Common Stock (9096)	Direct
2023-12-14	2016 Employee Stock Option (Right to Buy)	$63.59	M	8833	Disposed	2026-02-09	Common Stock (8833)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	50	Indirect

Footnotes

F1: Following the transactions reported on this Form 4, Mr. Tanji continues to hold 47,155 shares directly and 50 shares indirectly in a 401(k) account. Mr. Tanji also holds an additional 60,385 vested stock options, 18,436 restricted stock units and 84,826 target performance shares (the exact number awarded being dependent on achievement of performance goals).

F2: Amount reported has been adjusted to include 2 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2022, and September 30, 2023, based on a plan statement dated September 30, 2023. 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 11, 2015.

F4: The options vest in three equal annual installments beginning on February 10, 2016.

F5: The options vested in three equal annual installments beginning on February 9, 2017.