Daniel Joseph Houston - 11 Aug 2022 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Chairman, President & CEO, Director
Signature
Alex P. Montz
Issuer symbol
PFG
Transactions as of
11 Aug 2022
Net transactions value
-$17,283,707
Form type
4
Filing time
15 Aug 2022, 11:59:23 UTC
Previous filing
28 Jun 2022
Next filing
04 Oct 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 $1,902,284 +42,386 +37% $44.88 156,670 11 Aug 2022 Direct
transaction PFG Common Stock Award $2,665,450 +42,457 +27% $62.78 199,127 11 Aug 2022 Direct
transaction PFG Common Stock Disposed to Issuer $6,625,390 -84,843 -43% $78.09 114,284 11 Aug 2022 Direct F1, F2
transaction PFG Common Stock Award $748,329 +16,674 +15% $44.88 130,958 12 Aug 2022 Direct
transaction PFG Common Stock Award $7,483,564 +119,203 +91% $62.78 250,161 12 Aug 2022 Direct
transaction PFG Common Stock Disposed to Issuer $10,658,192 -135,877 -54% $78.44 114,284 12 Aug 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 $634,110 -14,129 -72% $44.88 5,558 11 Aug 2022 Common Stock 14,129 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $634,110 -14,129 -72% $44.88 5,558 11 Aug 2022 Common Stock 14,129 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $634,065 -14,128 -72% $44.88 5,558 11 Aug 2022 Common Stock 14,128 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $888,525 -14,153 -26% $62.78 39,735 11 Aug 2022 Common Stock 14,153 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $888,525 -14,153 -26% $62.78 39,734 11 Aug 2022 Common Stock 14,153 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $888,525 -14,153 -26% $62.78 39,734 11 Aug 2022 Common Stock 14,153 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $249,443 -5,558 -100% $44.88 0 12 Aug 2022 Common Stock 5,558 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $249,443 -5,558 -100% $44.88 0 12 Aug 2022 Common Stock 5,558 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $249,443 -5,558 -100% $44.88 0 12 Aug 2022 Common Stock 5,558 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $2,494,563 -39,735 -100% $62.78 0 12 Aug 2022 Common Stock 39,735 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $2,494,501 -39,734 -100% $62.78 0 12 Aug 2022 Common Stock 39,734 $62.78 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $2,494,501 -39,734 -100% $62.78 0 12 Aug 2022 Common Stock 39,734 $62.78 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 5/13/2022
F2 The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $78.00 to $78.24, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities 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 is a weighted average price. These shares were sold in multiple transactions ranging from $78.00 to $78.96, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.