PFH affiliate files Form 144 to sell 13,580 shares

PFH affiliate filed a Form 144 notice to sell common stock through Morgan Stanley Smith Barney LLC.

Rhea-AI Filing Summary

PFH affiliate filed a Form 144 notice to sell common stock through Morgan Stanley Smith Barney LLC. The filing lists a proposed sale quantity of 13,580 shares and multiple scheduled releases of awarded performance shares and restricted stock units with tranche amounts and release dates between 02/11/2025 and 02/10/2026.

Insights

Equity Capital Markets Analyst

Form 144 notifies intent to sell 13,580 common shares via a broker.

The filing lists the broker as Morgan Stanley Smith Barney LLC and shows tranche releases of awarded performance shares and restricted stock units dated from 02/11/2025 to 02/10/2026

Cash‑flow treatment and whether sales will occur in blocks, open‑market trades, or otherwise is not stated in the excerpt; subsequent trade reports will show execution details.

Key Figures

Proposed sale quantity: 13,580 shares Tranche — 02/11/2025: 3,077 shares Tranche — 02/28/2025: 1,200 shares +6 more

9 metrics

Proposed sale quantity 13,580 shares Form 144 quantity field shown in excerpt

Tranche — 02/11/2025 3,077 shares Release of Performance Shares Awarded 02/08/2022

Tranche — 02/28/2025 1,200 shares Release of Restricted Stock Units Awarded 02/14/2023

Tranche — 02/28/2025 892 shares Release of Restricted Stock Units Awarded 02/08/2022

Tranche — 02/28/2025 1,346 shares Release of Restricted Stock Units Awarded 02/13/2024

Tranche — 02/10/2026 5,179 shares Release of Performance Shares Awarded 02/14/2023

Tranche — 02/28/2026 593 shares Release of Restricted Stock Units Awarded 02/14/2023

Tranche — 02/28/2026 625 shares Release of Restricted Stock Units Awarded 02/11/2025

Tranche — 02/28/2026 668 shares Release of Restricted Stock Units Awarded 02/13/2024

Key Terms

Form 144, Restricted Stock Units (RSUs), Performance Shares

3 terms

Form 144 regulatory

"Form 144 notice to sell common stock via a broker"

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.

Restricted Stock Units (RSUs) financial

"Release of Restricted Stock Units Awarded 02/14/2023"

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

Performance Shares financial

"Release of Performance Shares Awarded 2/08/2022"

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.

FAQ

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

What does PFH's Form 144 filed through Morgan Stanley indicate?

It indicates a proposed sale of common stock by an affiliate brokered by Morgan Stanley Smith Barney LLC. The filing shows a quantity field of 13,580 shares and lists scheduled award releases between 02/11/2025 and 02/10/2026.

Which award tranches are listed in the PFH Form 144?

The filing lists release tranches for performance shares and RSUs with amounts: 3,077, 1,200, 892, 1,346, 5,179, 593, 625, and 668 shares tied to release dates shown in the excerpt.

Who is the broker handling the proposed PFH sale?

The broker named is Morgan Stanley Smith Barney LLC with an address listed in Sandy, Utah. The excerpt identifies this broker as the intermediary for the proposed sale activity.

Does the Form 144 excerpt show proceeds or sale method for PFH shares?

The excerpt does not state proceeds or a specific sale method. It lists proposed quantities and release dates but does not disclose execution terms or cash‑flow recipients in the provided text.

Are the listed award releases part of the shares to be sold on Form 144?

The filing pairs scheduled award releases with share amounts and dates; these tranches are listed in the Form 144 notice. The excerpt presents them as securities to be sold tied to their release dates.

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

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Accepted by SEC EDGAR 05/14/2026 - 02:57 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, 5TH FLOOR ATTN: REGULATORY FILINGS UNIT 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	13580	1398740.00	347000000	05/14/2026	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	02/11/2025	Release of Performance Shares Awarded 2/08/2022	Issuer			3077	02/11/2025	N/A
Common	02/28/2025	Release of Restricted Stock Units Awarded 02/14/2023	Issuer			1200	02/28/2025	NA
Common	02/28/2025	Release of Restricted Stock Units Awarded 02/08/2022	Issuer			892	02/28/2025	NA
Common	02/28/2025	Release of Restricted Stock Units Awarded 02/13/2024	Issuer			1346	02/28/2025	NA
Common	02/10/2026	Release of Performance Shares Awarded 2/14/2023	Issuer			5179	02/10/2026	NA
Common	02/28/2026	Release of Restricted Stock Units Awarded 02/14/2023	Issuer			593	02/28/2026	NA
Common	02/28/2026	Release of Restricted Stock Units Awarded 2/11/2025	Issuer			625	02/28/2026	NA
Common	02/28/2026	Release of Restricted Stock Units Awarded 02/13/2024	Issuer			668	02/28/2026	NA

* 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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/14/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	05/14/2026
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/ Danny Fiore, Attorney in Fact for Ann M Kappler
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)