Prudential Financial (PFH) EVP and counsel sells shares near $125
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.
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Insights
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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)
- 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.
- 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).
- 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.
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
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.
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.
