Walker Roberto's Form 4 filing
Principal Financial Group IncPFG · filed Aug 22, 2022
- Accession no.
- 0001062993-22-018548
- Filed
- Aug 22, 2022
- Trade date
- Aug 18-19, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 4 derivative transactions. Open-market sales total $2.19M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Walker RobertoCIK 0001867763 | Officer (EVP, Principal Latin American) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 18, 2022 | Common Stock | AGrant or awardAcquired | +15,000 | $30.70 | +$460,500 | 58,008 | Direct | |
| Aug 18, 2022 | Common Stock | SSaleDisposed | −15,000 | $78.34F1 | −$1,175,100 | 43,008 | Direct | |
| Aug 19, 2022 | Common Stock | AGrant or awardAcquired | +12,975 | $30.70 | +$398,332.5 | 55,983 | Direct | |
| Aug 19, 2022 | Common Stock | SSaleDisposed | −12,975 | $78.04F2 | −$1,012,569 | 43,008 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 18, 2022 | Common Stock | MOption exerciseDisposed | −5,325 | $30.70 | −$163,477.5 | 0 | Direct | |
| Aug 18, 2022 | Common Stock | MOption exerciseDisposed | −9,675 | $30.70 | −$297,022.5 | 1,650 | Direct | |
| Aug 19, 2022 | Common Stock | MOption exerciseDisposed | −1,650 | $30.70 | −$50,655 | 0 | Direct | |
| Aug 19, 2022 | Common Stock | MOption exerciseDisposed | −11,325 | $30.70 | −$347,677.5 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.18 to $78.50, 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.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.80 to $78.19, 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.
Referenced by the price of 1 transaction in Table I.