Form 4 for PFG Principal Financial Group
Accepted 2023-10-03 00:00:00 ET · period of report 2023-09-29 · accession 0001062993-23-018854 · 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 | 2023-10-03 | 2023-09-29 | PFG | RIVERA ALFREDO | Dir | A - Grant | $0.00 | +87 | 8,160 | +1% | $0 |
| D | 2023-10-03 | 2023-09-29 | PFG | RIVERA ALFREDO | Dir | A - Grant | $72.07 | +8 | 858 | +0.9% | +$576.56 |
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 | 2023-09-29 | A | A | 87 | $0.00 | 8,160 | D | — | — | (F1) Grant of restricted stock units. |
| 2 | Derivative | Phantom Stock Units | 2023-09-29 | A | A | 8 | $72.07 | 858 | D | — · — to — | 8 Common Stock | (F2) The units convert to common stock on a one-for-one basis. (F3) The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement. |