Prudential CEO awarded 143 deferred share units

Prudential Financial’s CEO received 143 additional Deferred Compensation Shares, bringing his reported deferred share balance to 12,559 units.

Rhea-AI Filing Summary

PRUDENTIAL FINANCIAL INC (PFH) reported that Chairman and Chief Executive Officer Andrew F. Sullivan received an award of 143 Deferred Compensation Shares on September 10, 2026. These units are based on unitized accounting, are immediately exercisable, and convert into an equivalent number of common shares on a 1-to-1 basis.

The Deferred Compensation Shares are payable in cash at a date selected by the participant. Following this award, Sullivan has 12,559 Deferred Compensation Shares reported as held directly. No transactions were made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Grant/Award: 143 shares

Grant/Award 1 txn

Insider SULLIVAN ANDREW F

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Deferred Compensation Shares F1, F2	143	$118.48	$17K

Holdings After Transaction: Deferred Compensation Shares — 12,559 contracts (Direct)

Footnotes (2)

1. F1. Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.
2. F2. Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

Key Figures

Deferred Compensation Shares awarded: 143 shares Reference value per Deferred Compensation Share: $118.48 per share Deferred Compensation Shares held after transaction: 12,559 shares +2 more

5 metrics

Deferred Compensation Shares awarded 143 shares Grant to Andrew F. Sullivan on September 10, 2026

Reference value per Deferred Compensation Share $118.48 per share Transaction price per share for the September 10, 2026 award

Deferred Compensation Shares held after transaction 12,559 shares Total Deferred Compensation Shares reported as directly held by Andrew F. Sullivan after the award

Underlying common stock 143 shares Each Deferred Compensation Share converts into one share of common stock on a 1-to-1 basis

Conversion or exercise price $0.00 Deferred Compensation Shares are deemed immediately exercisable with no exercise price

Key Terms

Deferred Compensation Shares, unitized accounting, immediately exercisable

3 terms

Deferred Compensation Shares financial

"Deferred Compensation Shares are based on unitized accounting and convert to common stock"

unitized accounting financial

"Deferred Compensation Shares are based on unitized accounting and convert to common stock"

immediately exercisable financial

"Deferred Compensation Shares are deemed immediately exercisable and are payable in cash"

FAQ

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

What insider transaction did PRUDENTIAL FINANCIAL INC (PFH) report for its CEO?

Andrew F. Sullivan, Chairman and Chief Executive Officer, received an award of 143 Deferred Compensation Shares on September 10, 2026, increasing his reported Deferred Compensation Share holdings to 12,559, held directly.

What are Deferred Compensation Shares reported in PFH’s Form 4?

The filing states that Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis, are deemed immediately exercisable, and are payable in cash at a date selected by the participant.

At what value were the 143 Deferred Compensation Shares for PFH’s CEO credited?

The 143 Deferred Compensation Shares were credited at a reference value of $118.48 per share, according to the reported transaction price per share in the Form 4 filing for September 10, 2026.

How many Deferred Compensation Shares does the PFH CEO hold after this award?

After the September 10, 2026 award, Andrew F. Sullivan is reported as holding 12,559 Deferred Compensation Shares directly, as shown in the total shares following the transaction field in the Form 4.

Was the PFH CEO’s Deferred Compensation Share award under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox is not checked, and there is no footnote indicating a trading or pre-arranged plan, so no Rule 10b5-1 plan is reported for this transaction.

Does this PFH Form 4 transaction involve an option exercise or sale of common stock?

No. The Form 4 reports a grant or award acquisition of Deferred Compensation Shares, which are immediately exercisable and payable in cash, rather than an option exercise or a sale of common stock.

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

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Available on EDGAR 09/14/2026 - 05:41 PM Accepted by SEC EDGAR 09/14/2026 - 05:41 PM 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^*

SULLIVAN ANDREW F

(Last) (First) (Middle)

751 BROAD STREET, 5TH FLOOR

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)

X	Director		10% Owner
X	Officer (give title below)	X	Other (specify below)
	Chief Executive Officer		Chairman of the Board

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/10/2026

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

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
Deferred Compensation Shares	$0(1)	09/10/2026		A		143		(2)	(2)	Common Stock	143	$118.48	12,559	D

Explanation of Responses:

1. Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1 to 1 basis.

2. Deferred Compensation Shares are deemed immediately exercisable and are payable in cash at a date selected by the participant.

	/s/ Danny Fiore, attorney-in-fact	09/14/2026
	** 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)