Form 4 for PFG Principal Financial Group
Accepted 2023-03-31 00:00:00 ET · period of report 2023-03-29 · accession 0001062993-23-008228 · 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 | 2023-03-31 | 2023-03-29 | PFG | Walker Roberto | EVP, Principal Latin American | A - Grant | $49.03 | +26.9K | 66.6K | +68% | +$1.32M |
| DM | 2023-03-31 | 2023-03-29 | PFG | Walker Roberto | EVP, Principal Latin American | D - Sale to Iss | $72.85 | -26.9K | 39.7K | -40% | -$1.96M |
| DM | 2023-03-31 | 2023-03-29 | PFG | Walker Roberto | EVP, Principal Latin American | M - OptEx | $49.03 | -26.9K | 0 | -100% | -$1.32M |
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 | 2023-03-29 | A | A | 14,558 | $37.38 | 54,248 | D | — | — | (F3) Includes 5,106 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 2 | Common | Common Stock | 2023-03-29 | A | A | 12,335 | $62.78 | 66,583 | D | — | — | (F3) Includes 5,106 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 3 | Common | Common Stock | 2023-03-29 | D | D | 26,293 | $72.84 | 40,290 | D | — | — | (F1) The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 2/24/2023. (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.33 to $73.32, 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 5,106 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 4 | Common | Common Stock | 2023-03-29 | D | D | 600 | $73.34 | 39,690 | D | — | — | (F1) The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 2/24/2023. (F3) Includes 5,106 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-29 | M | D | 10,814 | $37.38 | 0 | D | $37.38 · 2019-02-22 to 2026-02-22 | 10,814 Common Stock | |
| 6 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-29 | M | D | 4,111 | $62.78 | 0 | D | $62.78 · 2018-02-27 to 2027-02-27 | 4,111 Common Stock | |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-29 | M | D | 4,112 | $62.78 | 0 | D | $62.78 · 2020-02-27 to 2027-02-27 | 4,112 Common Stock | |
| 8 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-29 | M | D | 4,112 | $62.78 | 0 | D | $62.78 · 2019-02-27 to 2027-02-27 | 4,112 Common Stock | |
| 9 | Derivative | Employee Stock Option (Right to Buy) | 2023-03-29 | M | D | 3,744 | $37.38 | 0 | D | $37.38 · 2018-02-22 to 2026-02-22 | 3,744 Common Stock |