Prudential Financial EVP acquires 1,774 vested shares

The RSUs vested in one-third annual increments beginning October 31, 2024, and a separate 401(k) holding was 364 shares as of October 31, 2026.

Available on EDGAR 11/03/2026 - 11:17 AM EST Accepted by SEC EDGAR 11/03/2026 - 11:17 AM EST

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Form Type

Rhea-AI Filing Summary

Prudential Financial Inc. (PFH) Executive Vice President George P. Waldeck Jr. reported that 1,774 restricted stock units vested on October 31, 2026, converting one-for-one into common shares. 823 shares were withheld for taxes at $116.45 per share. A separate holding entry listed 364 common shares indirectly through a 401(k). No Rule 10b5-1 plan was reported.

Insider Trade Summary

1,774 shares exercised/converted

Exercise 3 txns

Insider Waldeck George P Jr.

Role Executive Vice President

Type	Security	Shares	Price	Value
Exercise	10/10/2023 Restricted Stock Units ^{F4, F5}	1,774	$0.00	$0.00
Exercise	Common Stock ^F1	1,774	$0.00	$0.00
Tax Withholding	Common Stock ^F2	823	$116.45	$96K
Holding	Common Stock ^F3	--	--	--

Holdings After Transaction: 10/10/2023 Restricted Stock Units — 0 contracts (Direct); Common Stock — 70,784 shares (Direct); Common Stock — 364 shares (Indirect, By 401(k))

Footnotes (5)

F1. Represents the vesting of previously awarded restricted stock units.
F2. Represents shares withheld for the payment of taxes.
F3. Amount reported has been adjusted to include 14 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2025, and 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).
F4. The Restricted Stock Units convert to common stock on a 1 to 1 basis.
F5. The Restricted Stock Units vested 1/3 per year beginning the last day of October 2024.

Key Figures

Restricted stock units vested: 1,774 units Common shares acquired on vesting: 1,774 shares Shares withheld for taxes: 823 shares +3 more

6 metrics

Restricted stock units vested 1,774 units October 31, 2026

Common shares acquired on vesting 1,774 shares October 31, 2026; conversion was one-for-one

Shares withheld for taxes 823 shares October 31, 2026

Price per share for tax withholding $116.45 per share October 31, 2026

Indirect 401(k) holding 364 shares As of October 31, 2026

Shares acquired under the employee savings plan 14 shares Between December 31, 2025, and September 30, 2026

Key Terms

restricted stock units, vesting, Section 16, Rules 16b-3(c) and 16a-3(f)(1)(i)(B)

4 terms

restricted stock units financial

"vesting of previously awarded 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.

vesting financial

"The Restricted Stock Units vested 1/3 per year"

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.

Section 16 regulatory

"exempt from Section 16 pursuant to Rules 16b-3(c)"

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.

Rules 16b-3(c) and 16a-3(f)(1)(i)(B) regulatory

"pursuant to Rules 16b-3(c) and 16a-3(f)(1)(i)(B)"

FAQ

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

What did PFH Executive Vice President George P. Waldeck Jr. report on October 31, 2026?

George P. Waldeck Jr. reported vesting 1,774 restricted stock units into common shares on October 31, 2026; 823 shares were withheld for taxes at $116.45 per share. No Rule 10b5-1 plan was reported.

How many PFH shares did George P. Waldeck Jr. hold through his 401(k)?

George P. Waldeck Jr. was reported as holding 364 shares indirectly through the 401(k) as of October 31, 2026. That amount included 14 shares acquired under The Prudential Employee Savings Plan between December 31, 2025, and September 30, 2026.

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^*

Waldeck George P Jr.

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Executive Vice President

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/31/2026

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	10/31/2026		M		1,774⁽¹⁾	A	$0	71,607	D
Common Stock	10/31/2026		F		823⁽²⁾	D	$116.45	70,784	D
Common Stock								364⁽³⁾	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)
10/10/2023 Restricted Stock Units	$0⁽⁴⁾	10/31/2026		M			1,774	⁽⁵⁾	⁽⁵⁾	Common Stock	1,774	$0	0	D

Explanation of Responses:

1. Represents the vesting of previously awarded restricted stock units.

2. Represents shares withheld for the payment of taxes.

3. Amount reported has been adjusted to include 14 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between December 31, 2025, and 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).

4. The Restricted Stock Units convert to common stock on a 1 to 1 basis.

5. The Restricted Stock Units vested 1/3 per year beginning the last day of October 2024.

	/s/ Richard J. Baker, attorney-in-fact	11/03/2026
	** 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