Form 4 for PFG Principal Financial Group
Accepted 2022-12-12 00:00:00 ET · period of report 2022-12-08 · accession 0001062993-22-023740 · 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 | 2022-12-12 | 2022-12-08 | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | D - Sale to Iss | $89.74 | -346.9K | 114.7K | -75% | -$31.13M |
| D | 2022-12-12 | 2022-12-08 | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | A - Grant | $53.09 | +346.9K | 461.5K | +303% | +$18.41M |
| DM | 2022-12-12 | 2022-12-08 | PFG | Houston Daniel Joseph | COB, Pres, CEO, Dir | M - OptEx | $53.09 | -346.9K | 0 | -100% | -$18.41M |
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 | 2022-12-08 | D | D | 191,813 | $90.21 | 115,763 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2022. (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.72 to $90.57, 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. |
| 2 | Common | Common Stock | 2022-12-08 | D | D | 153,945 | $89.15 | 307,576 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2022. (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.72 to $89.71, 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 | 2022-12-08 | A | A | 346,860 | $53.09 | 461,521 | D | — | — | |
| 4 | Common | Common Stock | 2022-12-08 | D | D | 1,102 | $90.85 | 114,661 | D | — | — | (F1) Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2022. (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.80 to $90.85, 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. |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2022-12-08 | M | D | 116,250 | $53.09 | 0 | D | $53.09 · 2021-02-25 to 2029-02-25 | 116,250 Common Stock | |
| 6 | Derivative | Employee Stock Option (Right to Buy) | 2022-12-08 | M | D | 114,360 | $53.09 | 1,890 | D | $53.09 · 2022-02-25 to 2029-02-25 | 114,360 Common Stock | |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2022-12-08 | M | D | 116,250 | $53.09 | 0 | D | $53.09 · 2020-02-25 to 2029-02-25 | 116,250 Common Stock |