0001062993-23-008071.txt : 20230330 0001062993-23-008071.hdr.sgml : 20230330 20230330141230 ACCESSION NUMBER: 0001062993-23-008071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230328 FILED AS OF DATE: 20230330 DATE AS OF CHANGE: 20230330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Walker Roberto CENTRAL INDEX KEY: 0001867763 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 23779638 MAIL ADDRESS: STREET 1: 711 HIGH ST. 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 2023-03-28 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001867763 Walker Roberto 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 EVP, Principal Latin American 1 Common Stock 2023-03-28 4 A 0 9009 51.33 A 48699 D Common Stock 2023-03-28 4 A 0 17882 37.38 A 66581 D Common Stock 2023-03-28 4 D 0 26891 72.18 D 39690 D Employee Stock Option (Right to Buy) 51.33 2023-03-28 4 M 0 3796 51.33 D 2017-02-23 2025-02-23 Common Stock 3796 0 D Employee Stock Option (Right to Buy) 51.33 2023-03-28 4 M 0 5212 51.33 D 2018-02-23 2025-02-23 Common Stock 5212 0 D Employee Stock Option (Right to Buy) 37.38 2023-03-28 4 M 0 10813 37.38 D 2017-02-22 2026-02-22 Common Stock 10813 0 D Employee Stock Option (Right to Buy) 37.38 2023-03-28 4 M 0 7069 37.38 D 2018-02-22 2026-02-22 Common Stock 7069 3744 D The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 2/24/2023. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.71 to $72.47, 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 5,106 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Clint Woods 2023-03-30