Prudential Financial general counsel sells shares

Q: How many shares did the Prudential Financial (PFH) EVP sell?

On November 6, 2026, Ann M. Kappler sold 1,950 common shares and 847 common shares, each at $120.60 per share. No Rule 10b5-1 plan is reported for the transactions.

Q: What options did the Prudential Financial (PFH) EVP exercise?

Ann M. Kappler exercised options for 2,025 common shares at $110.45 per share and 894 common shares at $106.89 per share on November 6, 2026. Afterward, she held 14,529 common shares directly and 919 shares indirectly through a 401(k) account.

Prudential Financial Inc. EVP and General Counsel Ann M. Kappler exercised options on November 6, 2026, for 2,025 common shares at an exercise price of $110.45 per share and 894 shares at $106.89 per share.

Available on EDGAR 11/10/2026 - 05:55 PM EST Accepted by SEC EDGAR 11/10/2026 - 05:55 PM EST

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Form Type

Rhea-AI Filing Summary

After the transactions, Kappler held 14,529 shares directly and 919 indirectly through a 401(k) account. She also held 7,033 vested options, 15,446 restricted stock units and 68,395 target performance shares; the exact number awarded depends on achievement of performance goals.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 6 txns

Insider KAPPLER ANN M

Role EVP and General Counsel

Sold 2,797 shs ($337K)

Approx. gross sale proceeds $337K

Approx. exercise cost $319K

Type	Security	Shares	Price	Value
Exercise	2017 Employee Stock Option (Right to Buy) ^F4	2,025	$0.00	$0.00
Exercise	2018 Employee Stock Option (Right to Buy) ^F5	894	$0.00	$0.00
Exercise	Common Stock ^F1	2,025	$110.45	$224K
Sale	Common Stock ^F1	1,950	$120.60	$235K
Exercise	Common Stock	894	$106.89	$96K
Sale	Common Stock ^F2	847	$120.60	$102K
Holding	Common Stock ^F3	--	--	--

Holdings After Transaction: 2017 Employee Stock Option (Right to Buy) — 0 options (Direct); 2018 Employee Stock Option (Right to Buy) — 895 options (Direct); Common Stock — 14,529 shares (Direct); Common Stock — 919 shares (Indirect, By 401(k))

Footnotes (5)

F1. Exercise of stock options expiring on February 14, 2027.
F2. Following the transaction reported on this Form 4, Ann Kappler continues to hold 14,529 shares directly and 919 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 7,033 vested stock options, 15,446 restricted stock units, and 68,395 target performance shares (the exact number awarded being dependent on achievement of performance goals).
F3. Amount reported has been adjusted to include 10 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2026, 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).
F4. The options vested in three equal annual installments beginning on February 14, 2018
F5. The options vested in three equal annual installments beginning on February 13, 2019.

Key Figures

Option exercise: 2,025 shares at an exercise price of $110.45 per share Option exercise: 894 shares at an exercise price of $106.89 per share Common shares sold: 1,950 shares at $120.60 per share +3 more

6 metrics

Option exercise 2,025 shares at an exercise price of $110.45 per share November 6, 2026

Option exercise 894 shares at an exercise price of $106.89 per share November 6, 2026

Common shares sold 1,950 shares at $120.60 per share November 6, 2026

Common shares sold 847 shares at $120.60 per share November 6, 2026

Direct common shares held 14,529 shares Following the transactions

Indirect common shares held 919 shares Through a 401(k) account following the transactions

Key Terms

vested stock options, restricted stock units, target performance shares, 401(k) account

4 terms

vested stock options financial

"7,033 vested stock options"

Vested stock options are the portions of an employee’s stock option grant that they have earned the right to buy at a predetermined price after meeting time or performance conditions. For investors, vested options matter because they can convert into actual shares that dilute existing ownership or signal insiders’ confidence when exercised or sold, much like a voucher that becomes redeemable and can change how many tickets are in circulation.

restricted stock units financial

"15,446 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.

target performance shares financial

"68,395 target performance shares"

401(k) account financial

"919 shares indirectly in a 401(k) account"

FAQ

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

How many shares did the Prudential Financial (PFH) EVP sell?

On November 6, 2026, Ann M. Kappler sold 1,950 common shares and 847 common shares, each at $120.60 per share. No Rule 10b5-1 plan is reported for the transactions.

What options did the Prudential Financial (PFH) EVP exercise?

Ann M. Kappler exercised options for 2,025 common shares at $110.45 per share and 894 common shares at $106.89 per share on November 6, 2026. Afterward, she held 14,529 common shares directly and 919 shares indirectly through a 401(k) account.

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^*

KAPPLER ANN M

(Last)

(First)

(Middle)

751 BROAD STREET, 5TH FLR

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)
	EVP and General Counsel

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⁾		2,025	A	$110.45	16,432	D
Common Stock	11/06/2026		S⁽¹⁾		1,950	D	$120.6	14,482	D
Common Stock	11/06/2026		M		894	A	$106.89	15,376	D
Common Stock	11/06/2026		S		847	D	$120.6	14,529⁽²⁾	D
Common Stock								919⁽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)
2017 Employee Stock Option (Right to Buy)	$110.45	11/06/2026		M			2,025	⁽⁴⁾	02/14/2027	Common Stock	2,025	$0	0	D
2018 Employee Stock Option (Right to Buy)	$106.89	11/06/2026		M			894	⁽⁵⁾	02/13/2028	Common Stock	894	$0	895	D

Explanation of Responses:

1. Exercise of stock options expiring on February 14, 2027.

2. Following the transaction reported on this Form 4, Ann Kappler continues to hold 14,529 shares directly and 919 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 7,033 vested stock options, 15,446 restricted stock units, and 68,395 target performance shares (the exact number awarded being dependent on achievement of performance goals).

3. Amount reported has been adjusted to include 10 shares of Issuer common stock acquired by the reporting person under The Prudential Employee Savings Plan between June 30, 2026, 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).

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

5. The options vested in three equal annual installments beginning on February 13, 2019.

	/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