0001127602-24-007798.txt : 20240301 0001127602-24-007798.hdr.sgml : 20240301 20240301145222 ACCESSION NUMBER: 0001127602-24-007798 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240228 FILED AS OF DATE: 20240301 DATE AS OF CHANGE: 20240301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAPPLER ANN M CENTRAL INDEX KEY: 0001280546 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16707 FILM NUMBER: 24709037 MAIL ADDRESS: STREET 1: PRUDENTIAL FINANCIAL, INC. STREET 2: 751 BROAD STREET, 5TH FLOOR CITY: NEWARK STATE: NJ ZIP: 07102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL FINANCIAL INC CENTRAL INDEX KEY: 0001137774 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] ORGANIZATION NAME: 02 Finance IRS NUMBER: 223703799 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 751 BROAD ST CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 9738026000 MAIL ADDRESS: STREET 1: 751 BROAD ST CITY: NEWARK STATE: NJ ZIP: 07102 4 1 form4.xml PRIMARY DOCUMENT X0508 4 2024-02-28 0001137774 PRUDENTIAL FINANCIAL INC PRU 0001280546 KAPPLER ANN M 751 BROAD STREET, 5TH FLR ATTN.: REGULATORY FILINGS UNIT NEWARK NJ 07102 1 EVP and General Counsel 0 Common Stock 2024-02-28 4 M 0 1070 77.15 A 24662 D Common Stock 2024-02-28 4 M 0 6941 63.59 A 31603 D Common Stock 2024-02-28 4 S 0 7222 108.39 D 24381 D Common Stock 798 I By 401(k) 10/13/15 Employee Stock Option (Right to Buy) 77.15 2024-02-28 4 M 0 1070 0 D 2025-10-13 Common Stock 1070 0 D 2016 Employee Stock Option (Right to Buy) 63.59 2024-02-28 4 M 0 6941 0 D 2026-02-09 Common Stock 6941 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.39 to $108.42 inclusive. The reporting person undertakes to provide to Prudential Financial, Inc., any security holder of Prudential Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 1 to this Form 4. Following the transaction reported on this Form 4, Ann Kappler continues to hold 24,381 shares directly and 798 shares indirectly in a 401(k) account. Ann Kappler also holds an additional 9,952 vested stock options, 19,254 restricted stock units and 57,328 target performance shares (the exact number awarded being dependent on achievement of performance goals). The options vest in three equal annual installments beginning on October 13, 2016. The options vested in three equal annual installments beginning on February 9, 2017. /s/ Danny Fiore, attorney-in-fact 2024-03-01