Ann M. Kappler - Feb 28, 2024 Form 4 Insider Report for PRUDENTIAL FINANCIAL INC (PRU)

Role
EVP and General Counsel
Signature
/s/ Danny Fiore, attorney-in-fact
Stock symbol
PRU
Transactions as of
Feb 28, 2024
Transactions value $
-$258,864
Form type
4
Date filed
3/1/2024, 02:52 PM
Previous filing
Feb 15, 2024
Next filing
Mar 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PRU Common Stock Options Exercise $82.6K +1.07K +4.54% $77.15 24.7K Feb 28, 2024 Direct
transaction PRU Common Stock Options Exercise $441K +6.94K +28.14% $63.59 31.6K Feb 28, 2024 Direct
transaction PRU Common Stock Sale -$783K -7.22K -22.85% $108.39 24.4K Feb 28, 2024 Direct F1, F2
holding PRU Common Stock 798 Feb 28, 2024 By 401(k)

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 10/13/15 Employee Stock Option (Right to Buy) Options Exercise $0 -1.07K -100% $0.00* 0 Feb 28, 2024 Common Stock 1.07K $77.15 Direct F3
transaction PRU 2016 Employee Stock Option (Right to Buy) Options Exercise $0 -6.94K -100% $0.00* 0 Feb 28, 2024 Common Stock 6.94K $63.59 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.39 to $108.42 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 transaction reported on this Form 4, Ann Kappler continues to hold 24,381 shares directly and 798 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 19,254 restricted stock units and 57,328 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3 The options vest in three equal annual installments beginning on October 13, 2016.
F4 The options vested in three equal annual installments beginning on February 9, 2017.