Scott Mills - 28 May 2021 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Director
Signature
Alex P. Montz, by Power of Attorney
Issuer symbol
PFG
Transactions as of
28 May 2021
Net transactions value
+$60,002
Form type
4
Filing time
02 Jun 2021, 12:41:53 UTC
Previous filing
20 May 2021
Next filing
29 Jun 2021
SEC
View on sec.gov

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 $60,002 +918 +9.8% $65.39 10,321 28 May 2021 Common Stock 918 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The units convert to common stock on a one-for-one basis.
F2 The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement.