D. STRABLE SOETHOUT - 28 Oct 2022 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
EVP & Chief Financial Officer
Signature
Clint Woods
Issuer symbol
PFG
Transactions as of
28 Oct 2022
Net transactions value
-$903,115
Form type
4
Filing time
01 Nov 2022, 15:17:21 UTC
Previous filing
04 Oct 2022
Next filing
02 Nov 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 $475,279 +10,590 +15% $44.88 83,493 28 Oct 2022 Direct
transaction PFG Common Stock Disposed to Issuer $903,115 -10,590 -13% $85.28 72,903 28 Oct 2022 Direct F1, F2, F3
holding PFG Common Stock 56,208 28 Oct 2022 By Spouse F4

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 $158,426 -3,530 -100% $44.88 0 28 Oct 2022 Common Stock 3,530 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $158,426 -3,530 -100% $44.88 0 28 Oct 2022 Common Stock 3,530 $44.88 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $158,426 -3,530 -100% $44.88 0 28 Oct 2022 Common Stock 3,530 $44.88 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 20, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.58, 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 Includes 341 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F4 Includes 341 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.