Form 4 for PFG Principal Financial Group
Accepted 2022-08-15 00:00:00 ET · period of report 2022-08-11 · accession 0001062993-22-017929 · 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 | 2022-08-15 | 2022-08-11+ | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | A - Grant | $57.99 | +220.7K | 199.1K | New | +$12.80M |
| DM | 2022-08-15 | 2022-08-11+ | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | D - Sale to Iss | $78.31 | -220.7K | 114.3K | -66% | -$17.28M |
| DM | 2022-08-15 | 2022-08-11+ | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | M - OptEx | $57.99 | -220.7K | 5,558 | -98% | -$12.80M |
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 | 2022-08-11 | A | A | 42,386 | $44.88 | 156,670 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-12 | D | D | 135,877 | $78.44 | 114,284 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/13/2022 (F3) The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $78.00 to $78.96, 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. |
| 3 | Common | Common Stock | 2022-08-12 | A | A | 119,203 | $62.78 | 250,161 | D | — | — | |
| 4 | Common | Common Stock | 2022-08-12 | A | A | 16,674 | $44.88 | 130,958 | D | — | — | |
| 5 | Common | Common Stock | 2022-08-11 | D | D | 84,843 | $78.09 | 114,284 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/13/2022 (F2) The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $78.00 to $78.24, 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. |
| 6 | Common | Common Stock | 2022-08-11 | A | A | 42,457 | $62.78 | 199,127 | D | — | — | |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 39,734 | $62.78 | 0 | D | $62.78 · 2019-02-27 to 2027-02-27 | 39,734 Common Stock | |
| 8 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 39,735 | $62.78 | 0 | D | $62.78 · 2018-02-27 to 2027-02-27 | 39,735 Common Stock | |
| 9 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 5,558 | $44.88 | 0 | D | $44.88 · 2020-02-27 to 2027-02-27 | 5,558 Common Stock | |
| 10 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 5,558 | $44.88 | 0 | D | $44.88 · 2019-02-27 to 2027-02-27 | 5,558 Common Stock | |
| 11 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,129 | $44.88 | 5,558 | D | $44.88 · 2015-02-24 to 2024-02-24 | 14,129 Common Stock | |
| 12 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 5,558 | $44.88 | 0 | D | $44.88 · 2018-02-27 to 2027-02-27 | 5,558 Common Stock | |
| 13 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,128 | $44.88 | 5,558 | D | $44.88 · 2017-02-24 to 2024-02-24 | 14,128 Common Stock | |
| 14 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,153 | $62.78 | 39,735 | D | $62.78 · 2018-02-27 to 2027-02-27 | 14,153 Common Stock | |
| 15 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-12 | M | D | 39,734 | $62.78 | 0 | D | $62.78 · 2020-02-20 to 2027-02-27 | 39,734 Common Stock | |
| 16 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,153 | $62.78 | 39,734 | D | $62.78 · 2019-02-27 to 2027-02-27 | 14,153 Common Stock | |
| 17 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,153 | $62.78 | 39,734 | D | $62.78 · 2020-02-27 to 2027-02-27 | 14,153 Common Stock | |
| 18 | Derivative | Employee Stock Option (Right to Buy) | 2022-08-11 | M | D | 14,129 | $44.88 | 5,558 | D | $44.88 · 2016-02-24 to 2024-02-24 | 14,129 Common Stock |