0001062993-22-010093.txt : 20220412 0001062993-22-010093.hdr.sgml : 20220412 20220412143853 ACCESSION NUMBER: 0001062993-22-010093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220408 FILED AS OF DATE: 20220412 DATE AS OF CHANGE: 20220412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halter Patrick Gregory CENTRAL INDEX KEY: 0001579709 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 22821915 MAIL ADDRESS: STREET 1: 801 GRAND AVENUE STREET 2: G24-E30 CITY: DES MOINES STATE: IA ZIP: 50392 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCIPAL FINANCIAL GROUP INC CENTRAL INDEX KEY: 0001126328 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 421520346 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 BUSINESS PHONE: 5152475111 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-04-08 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001579709 Halter Patrick Gregory 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 President - PGAM Common Stock 2022-04-08 4 A 0 33005 62.78 A 130545 D Common Stock 2022-04-08 4 A 0 35340 63.98 A 165885 D Common Stock 2022-04-08 4 A 0 84815 53.09 A 250700 D Common Stock 2022-04-08 4 D 0 147560 73.70 D 103140 D Common Stock 2022-04-08 4 D 0 5600 74.12 D 97540 D Employee Stock Option (Right to Buy) 62.78 2022-04-08 4 M 0 33005 62.78 D 2020-02-27 2027-02-27 Common Stock 33005 0 D Employee Stock Option (Right to Buy) 63.98 2022-04-08 4 M 0 35340 63.98 D 2021-02-26 2028-02-26 Common Stock 35340 0 D Employee Stock Option (Right to Buy) 53.09 2022-04-08 4 M 0 84815 53.09 D 2022-02-25 2029-02-25 Common Stock 84815 0 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.11 to $74.10, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.11 to $74.16, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Alex P. Montz 2022-04-12