Form 4 for PFG Principal Financial Group
Accepted 2023-03-23 00:00:00 ET · period of report 2023-03-21 · accession 0001062993-23-007541 · 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 | 2023-03-23 | 2023-03-21 | PFG | Halter Patrick Gregory | Pres, CEO - PAM | D - Sale to Iss | $75.14 | -55.6K | 115.9K | -32% | -$4.18M |
| DM | 2023-03-23 | 2023-03-21 | PFG | Halter Patrick Gregory | Pres, CEO - PAM | A - Grant | $54.98 | +55.6K | 171.5K | +48% | +$3.06M |
| DM | 2023-03-23 | 2023-03-21 | PFG | Halter Patrick Gregory | Pres, CEO - PAM | M - OptEx | $54.98 | -55.6K | 0 | -100% | -$3.06M |
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 | 2023-03-21 | D | D | 55,650 | $75.14 | 115,867 | D | — | — | (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 $75.63, 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. |
| 2 | Common | Common Stock | 2023-03-21 | A | A | 29,659 | $51.73 | 145,526 | D | — | — | (F3) Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 3 | Common | Common Stock | 2023-03-21 | A | A | 25,991 | $58.68 | 171,517 | D | — | — | (F3) Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 4 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-21 | M | D | 29,659 | $51.73 | 0 | D | $51.73 · 2023-02-24 to 2030-02-24 | 29,659 Common Stock | |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-21 | M | D | 25,991 | $58.68 | 0 | D | $58.68 · 2023-03-05 to 2031-03-05 | 25,991 Common Stock |