Prudential Financial director granted 42 stock units

A Prudential Financial non-employee director received two small restricted stock unit awards that vest in 2026 and 2027 and are deferred until Board retirement.

Rhea-AI Filing Summary

PRUDENTIAL FINANCIAL INC (symbol: PFH) is the issuer of record for a Form 4 filing submitted to the SEC. Wolk Joseph J reported acquisition or exercise transactions in this Form 4 filing.

PRUDENTIAL FINANCIAL INC (PFH) reported that director Joseph J. Wolk received two grants of 21 restricted stock units each on September 10, 2026. Each unit is a contingent right to one share of common stock, with the awards vesting in 2026 and 2027 and deferred until retirement from the Board under the company’s 2011 Deferred Compensation Plan for Non-Employee Directors.

Insider Trade Summary

Grant/Award: 42 shares

Grant/Award 2 txns

Insider Wolk Joseph J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	9/30/25 Restricted Stock Units F1, F2	21	$118.48	$2K
Grant/Award	2026 Restricted Stock Units F1, F3	21	$118.48	$2K

Holdings After Transaction: 9/30/25 Restricted Stock Units — 1,826 contracts (Direct); 2026 Restricted Stock Units — 1,798 contracts (Direct)

Footnotes (3)

1. F1. Each restricted stock unit represents a contingent right to receive one share of PRU common stock.
2. F2. The restricted stock units vest on September 30, 2026 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.
3. F3. The restricted stock units vest the earlier of the annual meeting or in one year on May 12, 2027 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

Key Figures

9/30/25 RSUs granted: 21 units 2026 RSUs granted: 21 units 9/30/25 RSUs holdings after grant: 1,826 units +5 more

8 metrics

9/30/25 RSUs granted 21 units Grant of 9/30/25 Restricted Stock Units on September 10, 2026

2026 RSUs granted 21 units Grant of 2026 Restricted Stock Units on September 10, 2026

9/30/25 RSUs holdings after grant 1,826 units Total 9/30/25 Restricted Stock Units following the grant

2026 RSUs holdings after grant 1,798 units Total 2026 Restricted Stock Units following the grant

Conversion or exercise price $0.0000 Per restricted stock unit for both awards

Grant date price reference $118.48 per unit Transaction price per unit shown for each RSU award

Vesting date for 9/30/25 RSUs September 30, 2026 Vesting date for 9/30/25 Restricted Stock Units

Vesting for 2026 RSUs Earlier of annual meeting or May 12, 2027 Vesting schedule for 2026 Restricted Stock Units

Key Terms

restricted stock unit, contingent right, Deferred Compensation Plan, vesting

4 terms

restricted stock unit financial

"Each restricted stock unit represents a contingent right to receive one share"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

contingent right financial

"represents a contingent right to receive one share of PRU common stock"

Deferred Compensation Plan financial

"under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors"

A deferred compensation plan is an arrangement where an employer agrees to pay part of an employee’s pay or bonus at a later date instead of immediately, often to reduce current tax bills or to tie rewards to long-term performance. For investors it matters because these promises create future cash obligations and influence executive incentives and retention; they can affect a company’s reported liabilities, cash flow planning and the risk profile if the business faces financial trouble.

vesting financial

"The restricted stock units vest on September 30, 2026 and were deferred"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

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

What did director Joseph J. Wolk acquire in this Form 4 at PFH?

Joseph J. Wolk was granted two awards of 21 restricted stock units each on September 10, 2026. Each restricted stock unit represents a contingent right to receive one share of Prudential Financial common stock, subject to vesting and deferral conditions.

When do the new restricted stock units for PFH director Wolk vest?

One grant of 9/30/25 Restricted Stock Units vests on September 30, 2026. The 2026 Restricted Stock Units vest at the earlier of the annual meeting or one year on May 12, 2027, according to the filing footnotes.

How many Prudential Financial restricted stock units does Wolk hold after these transactions?

After the 9/30/25 Restricted Stock Units grant, Wolk held 1,826 such units. After the separate 2026 Restricted Stock Units grant, he held 1,798 of that award type. Each unit is a contingent right to one share of common stock.

Are Joseph J. Wolk’s PFH restricted stock units deferred under a plan?

Yes. Both restricted stock unit awards were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors, as described in the footnotes to the Form 4.

Is there a purchase price for the PFH restricted stock units granted to Wolk?

The filing states a conversion or exercise price of $0.0000 for each restricted stock unit award. Each unit represents a contingent right to receive one share of Prudential Financial common stock upon vesting and subject to the plan’s deferral terms.

Were Joseph J. Wolk’s PFH transactions made under a Rule 10b5-1 trading plan?

No. The Form 4’s Rule 10b5-1 checkbox is not affirmed for these transactions, and there is no footnote indicating that the grants were made pursuant to a Rule 10b5-1 trading plan.

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

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Available on EDGAR 09/14/2026 - 05:31 PM Accepted by SEC EDGAR 09/14/2026 - 05:30 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^*

Wolk Joseph J

(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
	Officer (give title below)		Other (specify below)

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
9/30/25 Restricted Stock Units	$0(1)	09/10/2026		A		21		(2)	(2)	Common Stock	21	$118.48	1,826	D
2026 Restricted Stock Units	$0(1)	09/10/2026		A		21		(3)	(3)	Common Stock	21	$118.48	1,798	D

Explanation of Responses:

1. Each restricted stock unit represents a contingent right to receive one share of PRU common stock.

2. The restricted stock units vest on September 30, 2026 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

3. The restricted stock units vest the earlier of the annual meeting or in one year on May 12, 2027 and were deferred until retirement from the Board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors.

	/s/ Richard J. Baker, 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)