Key facts
- This page summarizes Patrick G. Halter's Form 4 filing for PRINCIPAL FINANCIAL GROUP INC (PFG).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 16 Mar 2023, 13:00.
Patrick G. Halter - 14 Mar 2023 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)
- Reporting relationship
- President and CEO - PAM
- Issuer ticker
- PFG
- Reported as of
- 14 Mar 2023
- Net transaction value
- -$86,983
- SEC form
- 4
- Accepted by SEC
- 16 Mar 2023, 13:00:40 UTC
- Prior SEC filing
- 01 Mar 2023
- Next SEC filing
- 23 Mar 2023
- Source filing
- View source filing
- Reporting owner signature
- Clint Woods
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Patrick G. Halter filed Form 4 for PRINCIPAL FINANCIAL GROUP INC (PFG) on 16 Mar 2023.
Change
- Previous filing in this sequence was filed on 01 Mar 2023.
- Current net transaction value: -$86,983.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
PFG
transaction
Common Stock
Award
- Transaction value
- $59,955
- Shares
- +1,159
- Change %
- +1%
- Price
- $51.73
- Shares after
- 117,026
- Date
- 14 Mar 2023
- Ownership
- Direct
- Footnotes
- F3
PFG
transaction
Common Stock
Disposed to Issuer
- Transaction value
- $86,983
- Shares
- -1,159
- Change %
- -0.99%
- Price
- $75.05
- Shares after
- 115,867
- Date
- 14 Mar 2023
- Ownership
- Direct
- Footnotes
- F1, F2, F3
PFG
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 508
- Date
- 14 Mar 2023
- Ownership
- by 401k plan
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
PFG
transaction
Derivative
Employee Stock Option (Right to Buy)
Options Exercise
- Transaction value
- $59,955
- Shares
- -1,159
- Change %
- -3.8%
- Price
- $51.73
- Shares after
- 29,659
- Date
- 14 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 1,159
- Exercise price
- $51.73
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 10, 2023.
Footnote F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.07, 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.
Footnote F3
Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.