# EDGAR Filing Document

**Accession Number:** 0001512629
**File Stem:** 0001127602-23-008445
**Filing Date:** 2023-3
**Character Count:** 6465
**Document Hash:** d44a82c152a7624168da589bca1b9d5f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-008445.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001127602-23-008445

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230228

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230302

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lowrey Charles F
- **CENTRAL INDEX KEY:** 0001512629

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-16707
- **FILM NUMBER:** 23700443

**MAIL ADDRESS:**
- **STREET 1:** 751 BROAD STREET, 5TH FLOOR
- **STREET 2:** ATTN:  REGULATORY FILINGS UNIT
- **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]
- **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>Lowrey Charles F<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>2023-02-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [X] Other (specify below)<br>_Chief Executive Officer_ |
| **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 | 2023-02-28 |  | M |  | 11564<sup>(1)</sup> | A | $0 | 121181 | D |  |
| Common Stock | 2023-02-28 |  | F |  | 6124<sup>(2)</sup> | D | $100.00 | 119096 | D |  |
| Common Stock | 2023-02-28 |  | M |  | 8585<sup>(1)</sup> | A | $0 | 125220 | D |  |
| Common Stock | 2023-02-28 |  | F |  | 4546<sup>(2)</sup> | D | $100.00 | 116635 | D |  |
| Common Stock |  |  |  |  |  |  |  | 269 | I | By 401(k) |

---

## 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 |
| 2021 Restricted Stock Units | <sup>(3)</sup> | 2023-02-28 |  | M |  |  | 11564 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 11564 | $0 | 11565 | D |  |
| 2022 Restricted Stock Units | 0<sup>(3)</sup> | 2023-02-28 |  | M |  |  | 8585 | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 8585 | $0 | 17172 | D |  |

---

### Footnotes:

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

(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 on February 28, 2022.

(5) The Restricted Stock Units will vest 1/3 per year beginning on February 28, 2023.

**Signature:** /s/ Richard J. Baker, attorney-in-fact  
**Date:** 2023-03-02

### 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.**