Prudential Financial CEO proposes $449K share sale

The listed shares are tied to exercises of two option grants from 2017, with remarks identifying options expiring in 2027.

Available on EDGAR 11/06/2026 - 04:29 PM EST Accepted by SEC EDGAR 11/06/2026 - 04:29 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Prudential Financial Inc. (PFH) Chief Executive Officer and Chairman of the Board Andrew F. Sullivan reported a proposed sale of 3,705 common shares, with an aggregate market value of $449,490.00, dated November 6, 2026. The listed transactions include 2,577 shares from options granted February 14, 2017, and 1,128 shares from options granted October 2, 2017. The remarks describe the activity as exercise and sell to cover of options expiring in 2027.

Key Figures

Proposed shares to be sold: 3,705 common shares Aggregate market value: $449,490.00 Issuer shares outstanding: 343,000,000 shares +2 more

5 metrics

Proposed shares to be sold 3,705 common shares Dated November 6, 2026

Aggregate market value $449,490.00 Proposed sale

Issuer shares outstanding 343,000,000 shares As stated in the notice

Shares in option exercise entry 2,577 shares Options granted February 14, 2017

Shares in option exercise entry 1,128 shares Options granted October 2, 2017

Key Terms

Rule 144, stock options, sell to cover

3 terms

Rule 144 regulatory

"sales required by paragraph (e) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

stock options financial

"Exercise of stock options granted 02/14/2017"

Stock options are agreements that give a person the right to buy or sell a company's stock at a specific price within a certain time frame. They are often used as a reward or incentive, similar to a coupon that can be used later if the stock price rises, allowing the holder to make a profit.

sell to cover financial

"Exercise and sell to cover of options expiring in 2027"

Sell to cover is when a person who receives company stock through options or awards sells just enough shares immediately to pay required taxes, exercise costs, or fees, keeping the rest. Think of it like cashing part of a bonus to cover the tax bill so you can keep the remainder. For investors, it can create predictable small selling pressure and slightly change the number of shares actually held by insiders without increasing long‑term dilution.

FAQ

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

How many PFH shares did Andrew F. Sullivan report for sale?

Andrew F. Sullivan, Prudential Financial Inc. (PFH)'s Chief Executive Officer and Chairman of the Board, reported a proposed sale of 3,705 common shares, with an aggregate market value of $449,490.00, dated November 6, 2026.

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

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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	0001795452
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	SULLIVAN ANDREW F
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
Relationship to Issuer	Director
Relationship to Issuer	Chief Executive Officer and Chairman of the Board

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	3705	449490.00	343000000	11/06/2026	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	11/06/2026	Exercise of stock options granted 02/14/2017	Issuer			2577	11/06/2026	Exercise and sell to cover of options expiring in 2027
Common	11/06/2026	Exercise of stock options granted 10/02/2017	Issuer			1128	11/06/2026	Exercise and sell to cover of options expiring in 2027

* 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	11/06/2026
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 Andrew F Sullivan
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)