0001062993-23-008685.txt : 20230404 0001062993-23-008685.hdr.sgml : 20230404 20230404184112 ACCESSION NUMBER: 0001062993-23-008685 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Houston Daniel Joseph CENTRAL INDEX KEY: 0001326278 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 23800244 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 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 2023-03-31 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001326278 Houston Daniel Joseph 711 HIGH STREET DES MOINES IA 50392 1 1 0 0 Chairman, President & CEO 0 Common Stock 2023-03-31 4 A 0 960 0 A 190192 D Common Stock 45823 I By Trust Common Stock 125000 I By Trust Common Stock 3806 I By 401(k) Plan Phantom Stock Units 2023-03-31 4 A 0 15 74.32 A Common Stock 15 1763 D Grant of restricted stock units. Includes 6,583 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Joan M. Houston 2021 Trust Daniel J. Houston 2019 DGT Exempt Trust The units convert to common stock on a one-for-one basis. Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Clint Woods 2023-04-04