Patrick Gregory Halter - Sep 19, 2022 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
President - PGAM
Signature
Alex P. Montz
Stock symbol
PFG
Transactions as of
Sep 19, 2022
Transactions value $
-$4,751,197
Form type
4
Date filed
9/21/2022, 12:53 PM
Previous filing
Jun 28, 2022
Next filing
Oct 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $3.19M +61.6K +63.12% $51.73 159K Sep 19, 2022 Direct
transaction PFG Common Stock Disposed to Issuer -$1.84M -23.9K -15.03% $76.79 135K Sep 19, 2022 Direct F1, F2
transaction PFG Common Stock Disposed to Issuer -$2.91M -37.7K -27.85% $77.27 97.6K Sep 19, 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 -$1.59M -30.8K -100% $51.73 0 Sep 19, 2022 Common Stock 30.8K $51.73 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.59M -30.8K -100% $51.73 0 Sep 19, 2022 Common Stock 30.8K $51.73 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 August 19, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.96 to $76.95, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.96 to $77.64, 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.