Prudential Financial (PFH) flags Japan unit misconduct probe findings

Rhea-AI Filing Summary

Prudential Financial, Inc. filed a current report describing an internal matter at its Japanese life insurance subsidiary. The filing notes that The Prudential Life Insurance Company, Ltd. (“Prudential of Japan”) issued a press release on January 16, 2026 reporting the findings of an internal investigation into incidents of misconduct involving current and former employees of Prudential of Japan.

The company directs readers to an English translation of this press release available in its online newsroom. The filing does not provide further detail on the investigation’s findings within this document but formally records that the communication has been made by the subsidiary.

PRUDENTIAL FINANCIAL INC false 0001137774 0001137774 2026-01-20 2026-01-20 0001137774 us-gaap:CommonStockMember 2026-01-20 2026-01-20 0001137774 pru:A5950JuniorSubordinatedNotesMember 2026-01-20 2026-01-20 0001137774 pru:A5625JuniorSubordinatedNotesMember 2026-01-20 2026-01-20 0001137774 pru:A4125JuniorSubordinatedNotesMember 2026-01-20 2026-01-20

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): January 20, 2026

PRUDENTIAL FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

New Jersey		001-16707		22-3703799
(State or other jurisdiction of incorporation)		(Commission File Number)		(I.R.S. Employer Identification Number)

751 Broad Street

Newark, NJ 07102

(Address of principal executive offices and zip code)

(973) 802-6000

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:

Title of Each Class		Trading Symbol(s)		Name of Each Exchange on Which Registered
Common Stock, Par Value $.01		PRU		New York Stock Exchange
5.950% Junior Subordinated Notes		PRH		New York Stock Exchange
5.625% Junior Subordinated Notes		PRS		New York Stock Exchange
4.125% Junior Subordinated Notes		PFH		New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 7.01 Regulation FD Disclosure.

On January 16, 2026, The Prudential Life Insurance Company, Ltd. (“Prudential of Japan”), a subsidiary of Prudential Financial, Inc. (the “Company”), issued a press release to report the findings of an internal investigation into incidents of misconduct involving current and former employees of Prudential of Japan. An English translation of Prudential of Japan’s press release can be found on the Company’s newsroom at https://news.prudential.com/us-en/latest-news/prudential-news.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: January 20, 2026

PRUDENTIAL FINANCIAL, INC.
By:		/s/ Brian P. Spitser
		Name: Brian P. Spitser Title: Vice President and Assistant Secretary

FAQ

What did Prudential Financial (PFH) disclose in this 8-K?

The company reported that its subsidiary, The Prudential Life Insurance Company, Ltd. (Prudential of Japan), issued a press release on January 16, 2026 about the findings of an internal investigation into incidents of misconduct involving current and former employees.

Which subsidiary of Prudential Financial is involved in the internal investigation?

The internal investigation relates to The Prudential Life Insurance Company, Ltd., also referred to as Prudential of Japan, a subsidiary of Prudential Financial, Inc.

What type of issues does the Prudential of Japan press release address?

According to the disclosure, the Prudential of Japan press release reports the findings of an internal investigation into incidents of misconduct involving current and former employees of Prudential of Japan.

Where can investors find the English translation of Prudential of Japan’s press release?

The English translation of Prudential of Japan’s press release is available on Prudential Financial’s newsroom at https://news.prudential.com/us-en/latest-news/prudential-news.

Does this 8-K from Prudential Financial (PFH) include the full details of the investigation findings?

No, this report briefly notes that a press release was issued about the investigation’s findings and directs readers to the company’s newsroom for the full English translation, rather than including those details in the filing itself.

Which securities of Prudential Financial are listed on the New York Stock Exchange?

The filing lists Common Stock, Par Value $.01 (symbol PRU) and several junior subordinated notes: 5.950% Notes (PRH), 5.625% Notes (PRS), and 4.125% Notes (PFH) as traded on the New York Stock Exchange.