ROGER C. HOCHSCHILD - 24 Sep 2021 Form 4 Insider Report for PRINCIPAL FINANCIAL GROUP INC (PFG)

Role
Director
Signature
Alex P. Montz, by Power of Attorney
Issuer symbol
PFG
Transactions as of
24 Sep 2021
Transactions value $
$10,570
Form type
4
Filing time
28 Sep 2021, 16:58:12 UTC
Previous filing
10 Aug 2021
Next filing
07 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFG Common Stock Award $0 +232 +0.98% $0.00 24K 24 Sep 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PFG Phantom Stock Units Award $10.6K +164 +0.97% $64.45 17K 24 Sep 2021 Common Stock 164 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Grant of restricted stock units.
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.