Daniel Joseph Houston - Mar 31, 2023 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Chairman, President & CEO, Director
Signature
Clint Woods
Stock symbol
PFG
Transactions as of
Mar 31, 2023
Transactions value $
$1,115
Form type
4
Date filed
4/4/2023, 06:41 PM
Previous filing
Mar 1, 2023
Next filing
Jul 5, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $0 +960 +0.51% $0.00 190K Mar 31, 2023 Direct F1, F2
holding PFG Common Stock 45.8K Mar 31, 2023 By Trust F3
holding PFG Common Stock 125K Mar 31, 2023 By Trust F4
holding PFG Common Stock 3.81K Mar 31, 2023 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 Phantom Stock Units Award $1.11K +15 +0.86% $74.32 1.76K Mar 31, 2023 Common Stock 15 Direct F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Grant of restricted stock units.
F2 Includes 6,583 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3 Joan M. Houston 2021 Trust
F4 Daniel J. Houston 2019 DGT Exempt Trust
F5 The units convert to common stock on a one-for-one basis.
F6 Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.