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

Role
Chairman, President & CEO, Director
Signature
Clint Woods
Stock symbol
PFG
Transactions as of
Oct 4, 2022
Transactions value $
-$23,026,777
Form type
4
Date filed
10/6/2022, 04:52 PM
Previous filing
Oct 4, 2022
Next filing
Dec 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $3.6M +70.2K +61.23% $51.33 185K Oct 4, 2022 Direct
transaction PFG Common Stock Award $4.89M +131K +70.82% $37.38 316K Oct 4, 2022 Direct
transaction PFG Common Stock Disposed to Issuer -$1.37M -17.8K -5.64% $77.05 298K Oct 4, 2022 Direct F1, F2
transaction PFG Common Stock Disposed to Issuer -$9.51M -122K -40.88% $78.06 176K Oct 4, 2022 Direct F1, F3
transaction PFG Common Stock Disposed to Issuer -$4.84M -61.5K -34.92% $78.75 115K Oct 4, 2022 Direct F1, F4
transaction PFG Common Stock Award $3.5M +93.5K +81.58% $37.38 208K Oct 5, 2022 Direct
transaction PFG Common Stock Disposed to Issuer -$7.3M -93.5K -44.93% $78.06 115K Oct 5, 2022 Direct F1, F5
holding PFG Common Stock 45.8K Oct 4, 2022 By Trust F6
holding PFG Common Stock 125K Oct 4, 2022 By Trust F7
holding PFG Common Stock 3.75K Oct 4, 2022 By 401(k) Plan

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 -$1.2M -23.4K -100% $51.33 0 Oct 4, 2022 Common Stock 23.4K $51.33 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.2M -23.4K -100% $51.33 0 Oct 4, 2022 Common Stock 23.4K $51.33 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.2M -23.4K -100% $51.33 0 Oct 4, 2022 Common Stock 23.4K $51.33 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.63M -43.6K -58.33% $37.38 31.2K Oct 4, 2022 Common Stock 43.6K $37.38 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.63M -43.6K -58.33% $37.38 31.2K Oct 4, 2022 Common Stock 43.6K $37.38 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.63M -43.6K -58.33% $37.38 31.2K Oct 4, 2022 Common Stock 43.6K $37.38 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.17M -31.2K -100% $37.38 0 Oct 5, 2022 Common Stock 31.2K $37.38 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.17M -31.2K -100% $37.38 0 Oct 5, 2022 Common Stock 31.2K $37.38 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise -$1.17M -31.2K -100% $37.38 0 Oct 5, 2022 Common Stock 31.2K $37.38 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 25, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.50 to $77.48, 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 $77.50 to $78.49, 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.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.50 to $79.11, 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.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.66 to $78.51, 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.
F6 Joan M. Houston 2021 Trust.
F7 Daniel J. Houston 2019 DGT Exempt Trust.