Form Type: 4

SEC EDGAR Link
Accession Number:0001126328-21-000134
Date:2021-05-03
Issuer: PRINCIPAL FINANCIAL GROUP INC (PFG)
Original Submission Date:

Reporting Person:

STRABLE-SOETHOUT DEANNA D
711 HIGH STREET
DES MOINES, IA 50392

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-05-03 S 15,915 d $65.07 40,716 direct
COMMON STOCK 2021-05-03 0 $0.00 51,675 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the sales reported were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on december 9, 2020.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $65.00 to $65.21, 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 exchanges commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f3 includes 1,367 shares acquired pursuant to the principal financial group, inc. employee stock purchase plan.
f4 includes 1,387 shares acquired pursuant to the principal financial group, inc. employee stock purchase plan.
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