Form 4 for PFG Principal Financial Group
Accepted 2022-04-12 00:00:00 ET · period of report 2022-04-08 · accession 0001062993-22-010093 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-04-12 | 2022-04-08 | PFG | Halter Patrick Gregory | Pres - PGAM | A - Grant | $57.69 | +153.2K | 165.9K | +1,204% | +$8.84M |
| DM | 2022-04-12 | 2022-04-08 | PFG | Halter Patrick Gregory | Pres - PGAM | D - Sale to Iss | $73.72 | -153.2K | 97.5K | -61% | -$11.29M |
| DM | 2022-04-12 | 2022-04-08 | PFG | Halter Patrick Gregory | Pres - PGAM | M - OptEx | $57.69 | -153.2K | 0 | -100% | -$8.84M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-04-08 | A | A | 84,815 | $53.09 | 250,700 | D | — | — | |
| 2 | Common | Common Stock | 2022-04-08 | A | A | 33,005 | $62.78 | 130,545 | D | — | — | |
| 3 | Common | Common Stock | 2022-04-08 | A | A | 35,340 | $63.98 | 165,885 | D | — | — | |
| 4 | Common | Common Stock | 2022-04-08 | D | D | 147,560 | $73.70 | 103,140 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022. (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.11 to $74.10, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| 5 | Common | Common Stock | 2022-04-08 | D | D | 5,600 | $74.12 | 97,540 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022. (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.11 to $74.16, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| 6 | Derivative | Employee Stock Option (Right to Buy) | 2022-04-08 | M | D | 35,340 | $63.98 | 0 | D | $63.98 · 2021-02-26 to 2028-02-26 | 35,340 Common Stock | |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2022-04-08 | M | D | 33,005 | $62.78 | 0 | D | $62.78 · 2020-02-27 to 2027-02-27 | 33,005 Common Stock | |
| 8 | Derivative | Employee Stock Option (Right to Buy) | 2022-04-08 | M | D | 84,815 | $53.09 | 0 | D | $53.09 · 2022-02-25 to 2029-02-25 | 84,815 Common Stock |