Prudential Financial CEO exercises options, sells shares

Q: What options did Andrew F. Sullivan exercise in the PFH filing?

Sullivan exercised options for 2,577 common shares at $110.45 per share and 1,128 common shares at $107.28 per share on November 6, 2026. The options were scheduled to expire February 14, 2027 and October 2, 2027, respectively.

Q: What other equity awards did Andrew F. Sullivan hold after the PFH transactions?

After the transactions, Sullivan also held 3,251 vested stock options, 43,685 restricted stock units and 12,559 deferred compensation shares. He held 165,958 target performance shares; the exact number awarded depends on achievement of performance goals.

Prudential Financial Inc. CEO and Chairman Andrew F. Sullivan exercised 2,577 options at $110.45 per share and acquired 2,577 common shares on November 6, 2026; he also exercised 1,128 options at $107.28 per share and acquired 1,128 common shares that day.

Available on EDGAR 11/10/2026 - 05:50 PM EST Accepted by SEC EDGAR 11/10/2026 - 05:49 PM EST

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Form Type

Rhea-AI Filing Summary

Prudential Financial Inc. CEO and Chairman Andrew F. Sullivan exercised 2,577 options at $110.45 per share and acquired 2,577 common shares on November 6, 2026; he also exercised 1,128 options at $107.28 per share and acquired 1,128 common shares that day. He sold 2,476 and 1,068 shares, respectively, at $121.32 per share to cover the exercise price and applicable tax-withholding obligations; the remaining shares acquired were retained. After the transactions, he held 50,377 shares directly and 474 shares indirectly through a 401(k). No Rule 10b5-1 plan is reported.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 6 txns

Insider SULLIVAN ANDREW F

Role Chief Executive Officer

Sold 3,544 shs ($430K)

Approx. gross sale proceeds $430K

Approx. exercise cost $406K

Type	Security	Shares	Price	Value
Exercise	2017 Employee Stock Option (Right to Buy) ^F5	2,577	$0.00	$0.00
Exercise	10/2/17 Employee Stock Option (Right to Buy) ^F6	1,128	$0.00	$0.00
Exercise	Common Stock ^F1	2,577	$110.45	$285K
Sale	Common Stock ^F1	2,476	$121.32	$300K
Exercise	Common Stock ^F2	1,128	$107.28	$121K
Sale	Common Stock ^{F2, F3}	1,068	$121.32	$130K
Holding	Common Stock ^F4	--	--	--

Holdings After Transaction: 2017 Employee Stock Option (Right to Buy) — 0 options (Direct); 10/2/17 Employee Stock Option (Right to Buy) — 0 options (Direct); Common Stock — 50,377 shares (Direct); Common Stock — 474 shares (Indirect, By 401(k))

Footnotes (6)

F1. Mr. Sullivan exercised the stock options scheduled to expire next year on February 14, 2027 and sold a portion of the shares acquired upon exercise to cover the exercise price and applicable tax-withholding obligations. The remaining shares acquired upon exercise were retained.
F2. Mr. Sullivan exercised the stock options scheduled to expire next year on October 2, 2027 and sold a portion of the shares acquired upon exercise to cover the exercise price and applicable tax-withholding obligations. The remaining shares acquired upon exercise were retained.
F3. Following the transaction reported on this Form 4, Mr. Sullivan continues to hold 50,377 shares directly and 474 shares indirectly in a 401(k) account. Mr. Sullivan also holds an additional 3,251 vested stock options, 43,685 restricted stock units, 12,559 deferred compensation shares, and 165,958 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F4. Amount reported has been adjusted to include 18 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2025, and September 30, 2026, based on a plan statement dated September 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).
F5. The options vested in three equal annual installments beginning on February 14, 2018.
F6. The options vested in three equal annual installments beginning on October 2, 2018.

Key Figures

Options exercised: 2,577 options Option exercise price: $110.45 per share Shares sold: 2,476 shares +5 more

8 metrics

Options exercised 2,577 options On November 6, 2026, at an exercise price of $110.45 per share

Option exercise price $110.45 per share For the 2,577-option exercise

Shares sold 2,476 shares On November 6, 2026, at $121.32 per share

Options exercised 1,128 options On November 6, 2026, at an exercise price of $107.28 per share

Option exercise price $107.28 per share For the 1,128-option exercise

Shares sold 1,068 shares On November 6, 2026, at $121.32 per share

Sale price $121.32 per share For both reported sales on November 6, 2026

Common shares held 50,377 directly; 474 indirectly through a 401(k) Holdings after the transactions

Key Terms

stock options, restricted stock units, deferred compensation shares, target performance shares

4 terms

stock options financial

"exercised the stock options scheduled to expire next year"

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.

restricted stock units financial

"43,685 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.

deferred compensation shares financial

"12,559 deferred compensation shares"

target performance shares financial

"165,958 target performance shares"

FAQ

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

How many PFH shares did Andrew F. Sullivan sell and at what price?

Andrew F. Sullivan sold 2,476 shares and 1,068 shares on November 6, 2026, each at $121.32 per share. The sales covered the exercise price and applicable tax-withholding obligations for shares acquired upon option exercise. No Rule 10b5-1 plan is reported.

What options did Andrew F. Sullivan exercise in the PFH filing?

Sullivan exercised options for 2,577 common shares at $110.45 per share and 1,128 common shares at $107.28 per share on November 6, 2026. The options were scheduled to expire February 14, 2027 and October 2, 2027, respectively.

What other equity awards did Andrew F. Sullivan hold after the PFH transactions?

After the transactions, Sullivan also held 3,251 vested stock options, 43,685 restricted stock units and 12,559 deferred compensation shares. He held 165,958 target performance shares; the exact number awarded depends on achievement of performance goals.

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

Form 4 Insider Transactions: What Each Field Means →

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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)
11/06/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/06/2026		M⁽¹⁾		2,577	A	$110.45	52,793	D
Common Stock	11/06/2026		S⁽¹⁾		2,476	D	$121.32	50,317	D
Common Stock	11/06/2026		M⁽²⁾		1,128	A	$107.28	51,445	D
Common Stock	11/06/2026		S⁽²⁾		1,068	D	$121.32	50,377⁽³⁾	D
Common Stock								474⁽⁴⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
2017 Employee Stock Option (Right to Buy)	$110.45	11/06/2026		M			2,577	⁽⁵⁾	02/14/2027	Common Stock	2,577	$0	0	D
10/2/17 Employee Stock Option (Right to Buy)	$107.28	11/06/2026		M			1,128	⁽⁶⁾	10/02/2027	Common Stock	1,128	$0	0	D

Explanation of Responses:

1. Mr. Sullivan exercised the stock options scheduled to expire next year on February 14, 2027 and sold a portion of the shares acquired upon exercise to cover the exercise price and applicable tax-withholding obligations. The remaining shares acquired upon exercise were retained.

2. Mr. Sullivan exercised the stock options scheduled to expire next year on October 2, 2027 and sold a portion of the shares acquired upon exercise to cover the exercise price and applicable tax-withholding obligations. The remaining shares acquired upon exercise were retained.

3. Following the transaction reported on this Form 4, Mr. Sullivan continues to hold 50,377 shares directly and 474 shares indirectly in a 401(k) account. Mr. Sullivan also holds an additional 3,251 vested stock options, 43,685 restricted stock units, 12,559 deferred compensation shares, and 165,958 target performance shares (the exact number awarded being dependent on achievement of performance goals).

4. Amount reported has been adjusted to include 18 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2025, and September 30, 2026, based on a plan statement dated September 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).

5. The options vested in three equal annual installments beginning on February 14, 2018.

6. The options vested in three equal annual installments beginning on October 2, 2018.

	/s/ Richard J. Baker, attorney-in-fact	11/10/2026
	** 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)

Source: View Original Filing on SEC EDGAR