Patrick Gregory Halter - 08 Apr 2022 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
President - PGAM
Signature
Alex P. Montz
Issuer symbol
PFG
Transactions as of
08 Apr 2022
Net transactions value
-$11,290,244
Form type
4
Filing time
12 Apr 2022, 14:38:53 UTC
Previous filing
29 Mar 2022
Next filing
28 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $2,072,054 +33,005 +34% $62.78 130,545 08 Apr 2022 Direct
transaction PFG Common Stock Award $2,261,053 +35,340 +27% $63.98 165,885 08 Apr 2022 Direct
transaction PFG Common Stock Award $4,502,828 +84,815 +51% $53.09 250,700 08 Apr 2022 Direct
transaction PFG Common Stock Disposed to Issuer $10,875,172 -147,560 -59% $73.70 103,140 08 Apr 2022 Direct F1, F2
transaction PFG Common Stock Disposed to Issuer $415,072 -5,600 -5.4% $74.12 97,540 08 Apr 2022 Direct F1, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $2,072,054 -33,005 -100% $62.78 0 08 Apr 2022 Common Stock 33,005 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $2,261,053 -35,340 -100% $63.98 0 08 Apr 2022 Common Stock 35,340 $63.98 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $4,502,828 -84,815 -100% $53.09 0 08 Apr 2022 Common Stock 84,815 $53.09 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.11 to $74.10, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, 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 this footnote.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.11 to $74.16, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, 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 this footnote.