Prudential Financial counsel sells 7,652 shares

Rhea-AI Filing Summary

PRUDENTIAL FINANCIAL INC (PFH) reported that EVP and General Counsel Ann M. Kappler sold 7,652 shares of common stock on August 14, 2026 in an open-market transaction at a weighted average price of about $125.01 per share, with individual prices ranging from $125.00 to $125.10. After the sale, she holds 14,407 shares directly and 909 shares indirectly through a 401(k). She also retains 9,952 vested stock options, 15,446 restricted stock units, and 68,395 target performance shares. The filing’s 401(k) balance reflects an adjustment to include 10 shares acquired under The Prudential Employee Savings Plan between March 31 and June 30, 2026.

Insider Trade Summary

Net Seller: 7,652 shares

Net Sell 2 txns

Insider KAPPLER ANN M

Role EVP and General Counsel

Sold 7,652 shs ($957K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2	7,652	$125.01	$957K
holding	Common Stock F3	--	--	--

Holdings After Transaction: Common Stock — 14,407 shares (Direct); Common Stock — 909 shares (Indirect, By 401(k))

Footnotes (3)

1. F1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.00 to $125.10 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.
2. F2. Following the transaction reported on this Form 4, Ann Kappler continues to hold 14,407 shares directly and 909 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 15,446 restricted stock units and 68,395 target performance shares (the exact number awarded being dependent on achievement of performance goals).
3. F3. Amount reported has been adjusted to include 10 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between March 31, 2026, and June 30, 2026, based on a plan statement dated June 30, 2026. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).

Key Figures

Shares sold: 7,652 shares Weighted average sale price: $125.01 per share Direct shares after transaction: 14,407 shares +5 more

8 metrics

Shares sold 7,652 shares Common stock sale on August 14, 2026

Weighted average sale price $125.01 per share Common stock sold in multiple transactions between $125.00 and $125.10

Direct shares after transaction 14,407 shares Direct ownership following the August 14, 2026 sale

Indirect 401(k) shares after adjustment 909 shares 401(k) holdings including 10 shares acquired between March 31 and June 30, 2026

Vested stock options 9,952 options Vested options held by Ann M. Kappler after the reported sale

Restricted stock units 15,446 RSUs Restricted stock units outstanding for Ann M. Kappler

Target performance shares 68,395 shares Target performance shares subject to achievement of performance goals

Additional 401(k) shares acquired 10 shares Exempt acquisitions under The Prudential Employee Savings Plan between March 31 and June 30, 2026

Key Terms

weighted average price, vested stock options, restricted stock units, performance shares, +1 more

5 terms

weighted average price financial

"The price reported in Column 4 is a weighted average price."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

vested stock options financial

"Ann Kappler also holds an additional 9,952 vested stock options, 15,446 restricted..."

Vested stock options are the portions of an employee’s stock option grant that they have earned the right to buy at a predetermined price after meeting time or performance conditions. For investors, vested options matter because they can convert into actual shares that dilute existing ownership or signal insiders’ confidence when exercised or sold, much like a voucher that becomes redeemable and can change how many tickets are in circulation.

restricted stock units financial

"holds an additional 9,952 vested stock options, 15,446 restricted stock units..."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

performance shares financial

"and 68,395 target performance shares (the exact number awarded being dependent..."

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.

Section 16 regulatory

"acquired by the reporting person under The Prudential Employee Savings Plan...exempt from Section 16..."

Section 16 is a U.S. securities law rule that governs the trading and disclosure obligations of company insiders — typically officers, directors and large shareholders — to promote transparency and deter unfair profit-taking. It requires insiders to publicly report their stock trades and allows companies or the issuer to reclaim quick, short-term profits from certain insider trades, like a scoreboard and a refund policy that help investors see and limit possible insider advantage.

FAQ

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

What insider transaction did PRUDENTIAL FINANCIAL (PFH) report for Ann M. Kappler?

Ann M. Kappler sold 7,652 shares of PRUDENTIAL FINANCIAL common stock on August 14, 2026 at a weighted average price around $125.01 per share, with trade prices ranging from $125.00 to $125.10.

How many PRUDENTIAL FINANCIAL (PFH) shares does Ann M. Kappler hold after the reported sale?

After the sale, Ann M. Kappler holds 14,407 shares of PRUDENTIAL FINANCIAL common stock directly and 909 shares indirectly in a 401(k) account, according to the Form 4 footnotes describing her post-transaction ownership.

At what prices were Ann M. Kappler’s PRUDENTIAL FINANCIAL (PFH) shares sold?

The sale used a weighted average price of about $125.01 per PRUDENTIAL FINANCIAL share, with individual trade prices ranging from $125.00 to $125.10, as disclosed in the Form 4 footnote describing the pricing.

What equity awards in PRUDENTIAL FINANCIAL (PFH) does Ann M. Kappler still hold?

Ann M. Kappler continues to hold 9,952 vested stock options, 15,446 restricted stock units, and 68,395 target performance shares in PRUDENTIAL FINANCIAL, in addition to her direct and 401(k) share holdings detailed in the Form 4.

How was Ann M. Kappler’s PRUDENTIAL FINANCIAL (PFH) 401(k) position adjusted in the filing?

Her 401(k) position was adjusted to include 10 additional shares of PRUDENTIAL FINANCIAL common stock acquired under The Prudential Employee Savings Plan between March 31 and June 30, 2026, as noted in a Form 4 footnote.

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

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Accepted by SEC EDGAR 08/18/2026 - 05:03 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

KAPPLER ANN M

(Last) (First) (Middle)

751 BROAD STREET, 5TH FLR

ATTN.: REGULATORY FILINGS UNIT

(Street)

NEWARK NEW JERSEY 07102

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
PRUDENTIAL FINANCIAL INC [ PRU ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP and General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/14/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/14/2026		S		7,652	D	$125.01(1)	14,407(2)	D
Common Stock								909(3)	I	By 401(k)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.00 to $125.10 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.

2. Following the transaction reported on this Form 4, Ann Kappler continues to hold 14,407 shares directly and 909 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 15,446 restricted stock units and 68,395 target performance shares (the exact number awarded being dependent on achievement of performance goals).

3. Amount reported has been adjusted to include 10 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between March 31, 2026, and June 30, 2026, based on a plan statement dated June 30, 2026. The acquisition of such shares was exempt from Section 16 pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B).

	/s/ Richard J. Baker, attorney-in-fact	08/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)