Daniel Joseph Houston - 30 Jun 2023 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Chairman, President & CEO, Director
Signature
Chris Agbe-Davies as Attorney-in-Fact
Issuer symbol
PFG
Transactions as of
30 Jun 2023
Net transactions value
+$1,138
Form type
4
Filing time
05 Jul 2023, 21:20:19 UTC
Previous filing
04 Apr 2023
Next filing
08 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Will/Inheritance $0 +592 +0.39% $0.000000 153,287 22 May 2023 Direct
transaction PFG Common Stock Award $0 +586 +0.38% $0.000000 154,229 30 Jun 2023 Direct F1, F2
holding PFG Common Stock 45,823 30 Jun 2023 By Trust F3
holding PFG Common Stock 125,000 30 Jun 2023 By Trust F4
holding PFG Common Stock 3,838 30 Jun 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 $1,138 +15 +0.85% $75.84 1,778 30 Jun 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 an accumulative total of 6,939 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.