SEC Form 4 · accession 0001104659-15-060103
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Joseph Houston
Officer — Pres & Chief Operating Officer
Period of report
Aug 13, 2015
Accepted (ET)
Aug 14, 2015 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001126328
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Aug 13, 2015 | M | 1,610 | $54.20 | A | 135,594 | D | |
| Common Stock | Aug 13, 2015 | S | 1,610 | $57.00 | D | 133,984 | D | |
| Common Stock | holding | — | — | — | 2,829 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $54.20 | Aug 13, 2015 | M | 1,610 | D | May 30, 2009 | May 30, 2016 | Common Stock | 1,610 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 plan adopted by the reporting person on May 13, 2015.
- F2Includes 1,599 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.