ROGER C. HOCHSCHILD - 10 Dec 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
10 Dec 2021
Transactions value $
$70,003
Form type
4
Filing time
14 Dec 2021, 13:23:13 UTC
Previous filing
07 Dec 2021
Next filing
23 Dec 2021
SEC
View on sec.gov

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 $70K +972 +5.72% $71.99 18K 10 Dec 2021 Common Stock 972 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The units convert to common stock on a one-for-one basis.
F2 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.