# EDGAR Filing Document

**Accession Number:** 0001303114
**File Stem:** 0001127602-23-005542
**Filing Date:** 2023-2
**Character Count:** 6969
**Document Hash:** a066890541d68365675fb84a25433e3d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-005542.hdr.sgml**: 20230216

**ACCESSION NUMBER**: 0001127602-23-005542

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230214

**FILED AS OF DATE**: 20230216

**DATE AS OF CHANGE**: 20230216

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Alziari Lucien
- **CENTRAL INDEX KEY:** 0001303114

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-16707
- **FILM NUMBER:** 23638849

**MAIL ADDRESS:**
- **STREET 1:** AVON PRODUCTS, INC.
- **STREET 2:** 1345 AVENUE OF THE AMERICAS
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10105
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRUDENTIAL FINANCIAL INC
- **CENTRAL INDEX KEY:** 0001137774
- **STANDARD INDUSTRIAL CLASSIFICATION:** LIFE INSURANCE [6311]
- **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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Alziari Lucien<br><sub>(Last) (First) (Middle)</sub><br>751 BROAD STREET, 5TH FLOOR<br>ATTN: REGULATORY FILINGS UNIT<br><sub>(Street)</sub><br>NEWARK, NJ 07102<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-14 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Executive Vice President_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PRUDENTIAL FINANCIAL INC [ PRU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-14 |  | M |  | 12646<sup>(1)</sup> | A | $0 | 31250 | D |  |
| Common Stock | 2023-02-14 |  | F |  | 4079<sup>(2)</sup> | D | $103.27 | 27171 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 2023 Restricted Stock Units | 0<sup>(3)</sup> | 2023-02-14 |  | A |  | 6658 |  | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 6658 | $0 | 6658 | D |  |
| 2023 Performance Shares | 0<sup>(5)</sup> | 2023-02-14 |  | A |  | 19972 |  | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 19972 | $0 | 19972 | D |  |
| 2020 Performance Share | <sup>(1)</sup> | 2023-02-14 |  | M |  |  | 14082 | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 14082 | $0 | 0 | D |  |

---

### Footnotes:

(1) The Compensation Committee determined the number of shares received based on the Company's return on equity ("ROE") performance relative to a pre-determined goal and relative to the ROE performance of certain life insurance peer companies for the 2020 through 2022 performance period.

(2) Represents shares withheld for the payment of taxes.

(3) The Restricted Stock Units convert to common stock on a 1 to 1 basis.

(4) The Restricted Stock Units will vest 1/3 per year beginning the last day of February 2024.

(5) The performance shares convert to common stock on a 1 to 1 basis.

(6) Represents the target number of shares to be received.  The actual number of shares to be received will be determined by the Compensation Committee in February 2026 based on the Company's ROE performance relative to a performance peer group of companies and performance relative to a pre-determined goal for growth in adjusted book value per share for the 2023 through 2025 performance period.

**Signature:** /s/ Richard J. Baker, attorney-in-fact  
**Date:** 2023-02-16

### Remarks:

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.**