ROBERT FALZON - 04 Jan 2022 Form 4 Insider Report for PRUDENTIAL FINANCIAL INC (PRU)

Role
EVP and Vice Chairman
Signature
/s/ Richard J. Baker, attorney-in-fact
Issuer symbol
PRU
Transactions as of
04 Jan 2022
Net transactions value
-$2,149,604
Form type
4
Filing time
06 Jan 2022, 13:53:45 UTC
Next filing
10 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PRU Common Stock Options Exercise $743,790 +9,526 +11% $78.08 95,721 04 Jan 2022 Direct F1
transaction PRU Common Stock Sale $1,004,454 -8,811 -9.2% $114.00 86,910 04 Jan 2022 Direct F1
transaction PRU Common Stock Options Exercise $1,271,800 +20,000 +23% $63.59 106,910 04 Jan 2022 Direct F1
transaction PRU Common Stock Sale $2,008,048 -17,929 -17% $112.00 88,981 04 Jan 2022 Direct F1
transaction PRU Common Stock Options Exercise $1,271,800 +20,000 +22% $63.59 108,981 04 Jan 2022 Direct F1
transaction PRU Common Stock Sale $2,023,152 -17,904 -16% $113.00 91,077 04 Jan 2022 Direct F1
transaction PRU Common Stock Options Exercise $666,042 +10,474 +12% $63.59 101,551 04 Jan 2022 Direct F1
transaction PRU Common Stock Sale $1,067,382 -9,363 -9.2% $114.00 92,188 04 Jan 2022 Direct F1, F2
holding PRU Common Stock 653 04 Jan 2022 By 401(k)
holding PRU Common Stock 3,580 04 Jan 2022 By Spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PRU 2015 Employee Stock Option (Right to Buy) Options Exercise $0 -9,526 -47% $0.000000 10,687 04 Jan 2022 Common Stock 9,526 $78.08 Direct F1, F3
transaction PRU 2016 Employee Stock Option (Right to Buy) Options Exercise $0 -20,000 -40% $0.000000 30,474 04 Jan 2022 Common Stock 20,000 $63.59 Direct F1, F4
transaction PRU 2016 Employee Stock Option (Right to Buy) Options Exercise $0 -20,000 -66% $0.000000 10,474 04 Jan 2022 Common Stock 20,000 $63.59 Direct F1, F4
transaction PRU 2016 Employee Stock Option (Right to Buy) Options Exercise $0 -10,474 -100% $0.000000* 0 04 Jan 2022 Common Stock 10,474 $63.59 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2021.
F2 Following the transactions reported on this Form 4, Mr. Falzon continues to hold 92,188 shares directly and 653 shares indirectly in a 401(k) account. Mr. Falzon also holds an additional 142,551 vested stock options, 71,617 unvested stock options, 27,632 unvested restricted stock units and 164,498 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3 The options vested in three equal annual installments beginning on February 10, 2016.
F4 The options vested in three equal annual installments beginning on February 9, 2017.