Daniel Joseph Houston - Sep 29, 2023 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Chairman, President & CEO, Director
Signature
Chris Agbe-Davies as Attorney-in-Fact
Stock symbol
PFG
Transactions as of
Sep 29, 2023
Transactions value $
$1,153
Form type
4
Date filed
10/3/2023, 04:53 PM
Previous filing
Aug 8, 2023
Next filing
Nov 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $0 +632 +0.41% $0.00 154K Sep 29, 2023 Direct F1, F2
holding PFG Common Stock 45.8K Sep 29, 2023 By Trust F3
holding PFG Common Stock 125K Sep 29, 2023 By Trust F4
holding PFG Common Stock 3.87K Sep 29, 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 $1.15K +16 +0.9% $72.07 1.79K Sep 29, 2023 Common Stock 16 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 7,002 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.