0001062993-23-007541.txt : 20230323 0001062993-23-007541.hdr.sgml : 20230323 20230323160335 ACCESSION NUMBER: 0001062993-23-007541 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230321 FILED AS OF DATE: 20230323 DATE AS OF CHANGE: 20230323 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: 23756148 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 X0407 4 2023-03-21 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001579709 Halter Patrick Gregory 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 President and CEO - PAM 1 Common Stock 2023-03-21 4 A 0 29659 51.73 A 145526 D Common Stock 2023-03-21 4 A 0 25991 58.68 A 171517 D Common Stock 2023-03-21 4 D 0 55650 75.14 D 115867 D Common Stock 508 I by 401k plan Employee Stock Option (Right to Buy) 51.73 2023-03-21 4 M 0 29659 51.73 D 2023-02-24 2030-02-24 Common Stock 29659 0 D Employee Stock Option (Right to Buy) 58.68 2023-03-21 4 M 0 25991 58.68 D 2023-03-05 2031-03-05 Common Stock 25991 0 D The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 10, 2023. 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. Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Clint Woods 2023-03-23