PFH insider files notice for potential stock sale

Ann M Kappler submitted a notice of intent to sell common stock of issuer symbol PFH through Morgan Stanley Smith Barney LLC.

Rhea-AI Filing Summary

Ann M Kappler submitted a notice of intent to sell common stock of issuer symbol PFH through Morgan Stanley Smith Barney LLC. The disclosure lists multiple equity award events, including releases of performance shares and option exercises, as potential sources of stock. It also reports a prior common stock sale of 13,580 shares on 05/14/2026 for $1,402,135.00.

Key Figures

Shares sold in past 3 months: 13,580 shares Value of recent sale: $1,402,135.00 Performance share release quantity 2021 award: 2,407 shares +3 more

6 metrics

Shares sold in past 3 months 13,580 shares Common stock sale reported for 05/14/2026

Value of recent sale $1,402,135.00 Aggregate value for 13,580 common shares sold on 05/14/2026

Performance share release quantity 2021 award 2,407 shares Release of performance shares awarded 02/09/2021, dated 02/13/2024

Performance share release quantity 2022 award 4,456 shares Release of performance shares awarded 02/08/2022, dated 02/10/2025

Stock options exercised 02/09/2016 grant 711 shares Exercise of stock options granted 02/09/2016 on 02/28/2024

Stock options exercised 10/13/2015 grant 78 shares Exercise of stock options granted 10/13/2015 on 02/28/2024

Key Terms

Form 144, Performance Shares, Exercise of stock options, Exercise and sell to cover, +1 more

5 terms

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Performance Shares financial

"Release of Performance Shares Awarded 02/09/2021"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Exercise of stock options financial

"Exercise of stock options granted 02/09/2016"

Exercise and sell to cover financial

"02/28/2024 | Exercise and sell to cover"

Securities Executive Services financial

"Morgan Stanley Smith Barney LLC Securities Executive Services"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the PFH Form 144 notice filed by Ann M Kappler disclose?

It discloses an intention to sell common stock of issuer PFH through Morgan Stanley Smith Barney LLC, referencing performance share releases, option exercises, and a prior sale of 13,580 shares on 05/14/2026.

How many PFH shares were sold in the past three months under this Form 144?

The notice reports a prior sale of 13,580 common shares on 05/14/2026, with an aggregate value of $1,402,135.00, as securities sold during the past three months.

Which broker is listed for the potential PFH stock sales in this Form 144?

The broker listed is Morgan Stanley Smith Barney LLC Securities Executive Services, located at 200 W Civic Center Dr., 4th Floor, Sandy, UT 84070, in connection with the PFH common stock described.

What equity award events are tied to the PFH shares in the Form 144 filing?

The notice references releases of performance shares awarded in 2021 and 2022 and exercise of stock options granted in 2015 and 2016, some noted as “exercise and sell to cover.”

On what exchange is the PFH common stock referenced in the Form 144 traded?

The common stock referenced in the notice is indicated as traded on the NYSE, providing context for where any potential sales of PFH shares would occur.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 08/14/2026 - 06:05 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001280546
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	PRUDENTIAL FINANCIAL INC
SEC File Number	001-16707
Address of Issuer	751 BROAD ST NEWARK NEW JERSEY 07102
Phone	9738026000
Name of Person for Whose Account the Securities are To Be Sold	KAPPLER ANN M
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Securities Executive Services 200 W Civic Center Dr., 4th Floor Sandy UT 84070	7652	956500.00	345000000	08/14/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/13/2024	Release of Performance Shares Awarded 02/09/2021	Issuer			2407	02/13/2024	N/A
Common	02/10/2025	Release of Performance Shares Awarded 02/08/2022	Issuer			4456	02/10/2025	N/A
Common	02/28/2024	Exercise of stock options granted 02/09/2016	Issuer			711	02/28/2024	Exercise and sell to cover
Common	02/28/2024	Exercise of stock options granted 10/13/2015	Issuer			78	02/28/2024	Exercise and sell to cover

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Ann M Kappler 751 Broad Street, 5th floor Attn: Regulatory Filings Unit Newark NJ 07102	Common	05/14/2026	13580	1402135.00

144: Remarks and Signature

Remarks
Date of Notice	08/14/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Richard Baker, Attorney in Fact for Ann M Kappler
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)