Notice of Proposed Sale · 144
Prudential Financial, Inc.
PRUNYSEEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- PRUDENTIAL FINANCIAL INC
- Issuer CIK
- 0001137774
- SEC file number
- 001-16707
- Phone
- 9738026000
- Person for whose account securities are to be sold
- KAPPLER ANN M
- Relationships to issuer
- Officer
- Street
- 751 BROAD ST
- City
- NEWARK
- State / country code
- NJ
- Postal code
- 07102
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 7,652 | 956,500.00 | 345,000,000 | 08/14/2026 | NYSE | Morgan Stanley Smith Barney LLC Securities |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Securities
- Street
- Executive Services
- Street (continued)
- 200 W Civic Center Dr., 4th Floor
- City
- Sandy
- State / country code
- UT
- Postal code
- 84070
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 02/13/2024 | Release of Performance Shares Awarded 02/09/2021 | Issuer | 2,407 | N | 02/13/2024 | N/A |
| Common | 02/10/2025 | Release of Performance Shares Awarded 02/08/2022 | Issuer | 4,456 | N | 02/10/2025 | N/A |
| Common | 02/28/2024 | Exercise of stock options granted 02/09/2016 | Issuer | 711 | N | 02/28/2024 | Exercise and sell to cover |
| Common | 02/28/2024 | Exercise of stock options granted 10/13/2015 | Issuer | 78 | N | 02/28/2024 | Exercise and sell to cover |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| Ann M Kappler | Common | 05/14/2026 | 13,580 | 1,402,135.00 |
Seller — prior-sale row 1, entry 1
- Name
- Ann M Kappler
- Street
- 751 Broad Street, 5th floor
- Street (continued)
- Attn: Regulatory Filings Unit
- City
- Newark
- State / country code
- NJ
- Postal code
- 07102
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Notice signature
- Notice date
- 08/14/2026
- Signed
- /s/ Richard Baker, Attorney in Fact for Ann M Kappler
Company context
Prudential Financial, Inc. (NYSE: PRU), a global financial services leader and premier active global investment manager with approximately $1.6 trillion in assets under management as of June 30, 2026, has operations in the United States, Asia, Europe, and Latin America. Prudential’s diverse and talented employees help make lives better and create financial opportunity for more people by expanding access to investing, insurance, and retirement security. Prudential’s iconic Rock symbol has stood for strength, stability, expertise, and innovation for over 150 years. For more information, please visit news.prudential.com.