Form 4 for PFG Principal Financial Group
Accepted 2022-10-04 00:00:00 ET · period of report 2022-09-30 · accession 0001062993-22-020427 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-10-04 | 2022-09-30 | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | A - Grant | $0.00 | +322 | 114.7K | +0.3% | $0 |
| D | 2022-10-04 | 2022-09-30 | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | A - Grant | $72.15 | +15 | 1,735 | +0.9% | +$1,082 |
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 | 2022-09-30 | A | A | 322 | $0.00 | 114,661 | D | — | — | (F1) Grant of restricted stock units. (F2) Includes 6,477 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 2 | Derivative | Phantom Stock Units | 2022-09-30 | A | A | 15 | $72.15 | 1,735 | D | — · — to — | 15 Common Stock | (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. |