Daniel Joseph Houston - 08 Dec 2022 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Chairman, President & CEO, Director
Signature
Janis Winterhof
Issuer symbol
PFG
Transactions as of
08 Dec 2022
Net transactions value
-$31,127,764
Form type
4
Filing time
12 Dec 2022, 16:11:36 UTC
Previous filing
06 Oct 2022
Next filing
13 Dec 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 $18,414,797 +346,860 +303% $53.09 461,521 08 Dec 2022 Direct
transaction PFG Common Stock Disposed to Issuer $13,724,197 -153,945 -33% $89.15 307,576 08 Dec 2022 Direct F1, F2
transaction PFG Common Stock Disposed to Issuer $17,303,451 -191,813 -62% $90.21 115,763 08 Dec 2022 Direct F1, F3
transaction PFG Common Stock Disposed to Issuer $100,117 -1,102 -0.95% $90.85 114,661 08 Dec 2022 Direct F1, F4
holding PFG Common Stock 45,823 08 Dec 2022 By Trust F5
holding PFG Common Stock 125,000 08 Dec 2022 By Trust F6
holding PFG Common Stock 3,745 08 Dec 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 $6,171,712 -116,250 -100% $53.09 0 08 Dec 2022 Common Stock 116,250 $53.09 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $6,171,712 -116,250 -100% $53.09 0 08 Dec 2022 Common Stock 116,250 $53.09 Direct
transaction PFG Employee Stock Option (Right to Buy) Options Exercise $6,071,372 -114,360 -98% $53.09 1,890 08 Dec 2022 Common Stock 114,360 $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 November 8, 2022.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.72 to $89.71, 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 $89.72 to $90.57, 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 $90.80 to $90.85, 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 Joan M. Houston 2021 Trust.
F6 Daniel J. Houston 2019 DGT Exempt Trust.