Patrick Gregory Halter - Mar 14, 2023 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
President and CEO - PAM
Signature
Clint Woods
Stock symbol
PFG
Transactions as of
Mar 14, 2023
Transactions value $
-$86,983
Form type
4
Date filed
3/16/2023, 01:00 PM
Previous filing
Mar 1, 2023
Next filing
Mar 23, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $60K +1.16K +1% $51.73 117K Mar 14, 2023 Direct F3
transaction PFG Common Stock Disposed to Issuer -$87K -1.16K -0.99% $75.05 116K Mar 14, 2023 Direct F1, F2, F3
holding PFG Common Stock 508 Mar 14, 2023 by 401k 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 Employee Stock Option (Right to Buy) Options Exercise -$60K -1.16K -3.76% $51.73 29.7K Mar 14, 2023 Common Stock 1.16K $51.73 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 10, 2023.
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.
F3 Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.