Welcome to our dedicated page for PRUDENTIAL FINANCIAL SEC filings (Ticker: PFH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
PFH filings document Prudential Financial, Inc.'s public-company disclosures as the issuer of the 4.125% Junior Subordinated Notes due 2060 and other listed securities. The company's 8-K filings cover earnings releases, quarterly financial supplements, Regulation FD materials, segment reporting changes, and capital-markets information tied to the issuer's operating results and financial condition.
Prudential Financial's SEC record also includes proxy materials for shareholder voting and governance, executive incentive and equity-award disclosures, board leadership changes, and shareholder communications such as mini-tender offer notices. Filing exhibits and furnished releases address company-specific subjects including PGIM asset-management metrics, general account investment income, insurance subsidiaries in Japan, and operational or compliance matters reported through material-event filings.
Pianalto Sandra reported acquisition or exercise transactions in this Form 4 filing.
Prudential Financial director Sandra Pianalto reported awards of deferred equity-linked units as part of board compensation. On March 12, 2026, she received 267 "notional shares - mandatory," 78 "notional shares - optional," and 26 restricted stock units, each tied to one share of common stock at a reference price of $92.34 per unit.
The mandatory and optional notional shares are deferred stock units under Prudential’s deferred compensation plan for non-employee directors, deliverable in stock or cash at dates she elects within plan limits. The restricted stock units vest at the earlier of the annual meeting or May 13, 2026 and are deferred until she retires from the board. Following these grants, her holdings reported in these plans total 17,943 mandatory notional shares, 5,285 optional notional shares, and 1,765 restricted stock units.
Prudential Financial Inc. director Wendy Elizabeth Jones reported receiving equity-based compensation awards. On March 12, 2026, she acquired 144 notional mandatory deferred stock units and 26 restricted stock units, both tied to Prudential common stock, based on a reference price of $92.34 per unit.
The notional mandatory units are deferred stock units under Prudential’s deferred compensation plan for non-employee directors, each representing the right to receive one common share in the future. The related footnotes explain that payouts can begin around or after retirement, subject to specified timing elections.
The 2025 restricted stock units each represent a contingent right to receive one share of Prudential common stock or its economic equivalent, payable in stock or cash at Jones’s election upon or after her termination of service as a director, unless an earlier date is elected under the company’s 2011 deferred compensation plan.
HUNDMEJEAN MARTINA reported acquisition or exercise transactions in this Form 4 filing.
Prudential Financial director Martina Hundmejean reported awards of deferred equity-based compensation, not open-market trades. She received 224 notional mandatory shares and 392 notional optional shares, each representing deferred stock units tied to Prudential common stock at a reference price of $92.34 per unit under the non-employee director deferred compensation plan.
She was also granted 26 restricted stock units for 2025 at the same reference price, which vest at the earlier of the annual meeting or May 13, 2026 and are deferred until her retirement from the Board under the plan. After these awards, her direct holdings include 15,056 mandatory notional shares, 26,313 optional notional shares, and 1,765 restricted stock units, all convertible into an equal number of Prudential common shares or their cash value under plan terms.
Di Sibio Carmine reported acquisition or exercise transactions in this Form 4 filing.
Prudential Financial Inc. director Carmine Di Sibio reported equity-based compensation awards rather than open-market trades. He received 20 notional shares under the non-employee director deferred compensation plan and 26 restricted stock units, each tied to one share of common stock, based on a reference price of $92.34 per share.
The notional shares are deferred stock units that will be settled in common stock or its economic equivalent under the director deferred compensation plan, with payout timing elected by the director within plan limits tied to retirement and age 70.5%. The restricted stock units vest at the earlier of the annual meeting or May 13, 2026 and are deferred until retirement from the board, when they become payable in stock or cash at the director’s election. Following these grants, the filing shows 1,391 notional shares and 1,765 restricted stock units outstanding in the respective award lines.
CASELLAS GILBERT F reported acquisition or exercise transactions in this Form 4 filing.
Prudential Financial director Gilbert F. Casellas received routine equity-based compensation awards. He was granted 640 notional shares under the mandatory deferred compensation plan for non-employee directors at a reference price of $92.34 per share, each unit representing the right to one share of common stock or its economic equivalent. He also received 26 restricted stock units, each representing a contingent right to one PRU common share, also at $92.34. The restricted stock units vest at the earlier of the next annual meeting or on May 13, 2026. Following these grants, his reported holdings increased to 42,880 notional deferred stock units and 1,765 restricted stock units, all held directly and reflecting compensation rather than open-market purchases or sales.
Prudential Financial, Inc. announced a major leadership change, with Executive Chairman and director Charles F. Lowrey resigning from the board effective immediately on March 10, 2026. He will remain as Senior Advisor until his planned retirement at the end of the second quarter of 2026.
The Board appointed Andrew F. Sullivan, currently President and Chief Executive Officer, to the additional role of Chairman of the Board, effective March 10, 2026. The company highlights Lowrey’s 25 years of service and notes Prudential manages approximately $1.6 trillion in assets under management as of December 31, 2025.
Prudential Financial Inc. reported that Chief Executive Officer Andrew F. Sullivan acquired additional deferred compensation share units under a company plan. On the reported date, he received 2,329 Deferred Compensation Shares at a reference price of $97.12 per share, bringing his holdings in this instrument to 12,111 units.
According to the disclosure, these Deferred Compensation Shares are based on unitized accounting and convert to common stock on a 1-to-1 basis. They are deemed immediately exercisable and are payable in cash at a date selected by the participant, rather than being settled in stock at the time of grant.
Prudential Financial’s Japanese subsidiary, Prudential Gibraltar Financial Life Insurance Co., reported that 11 seconded employees removed agency information without permission from seven contracted financial institution agencies, covering 379 instances. The data mainly involved operational details such as life insurance sales performance and product information.
The company’s investigation, reviewed by an external law firm, found no issues that would raise concerns under the Unfair Competition Prevention Act and no inappropriate removal of contract information. One inadvertent inclusion of customer data was identified, destroyed after discovery, and addressed by the agency in line with applicable laws.
Prudential’s unit will end secondments involved in life insurance sales activities to recruitment agencies by the end of March 2026, enhance compliance training and oversight, and strengthen cooperation between Compliance and Sales. The current and former presidents and two directors will voluntarily return 5–10% of one month’s remuneration.
Prudential Financial Executive Vice President Vicki Walia reported routine equity compensation activity involving restricted stock units and common shares. On 2026-02-28, 2023, 2024, and 2025 Restricted Stock Units vested, with 678, 665, and 1,041 units converting into common stock on a 1-to-1 basis. To cover tax obligations, 229, 225, and 361 common shares were withheld at a price of $98.380 per share. After these derivative exercises, conversions, and tax-withholding dispositions, Walia directly owned 5,237 shares of Prudential Financial common stock.
Prudential Financial Executive Vice President George P. Waldeck Jr. reported multiple equity award transactions. Restricted stock units from 2023, 2024, and 2025 grants vested and converted into common stock on a 1-to-1 basis, with 544, 558, and 550 shares withheld to pay taxes at $98.38 per share. After these transactions, he directly holds 69,833 common shares and indirectly holds 350 shares through a 401(k).