SEC Form 4 · accession 0001126328-15-000153
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luis E. Valdes
Officer — Pres - Int'l Asset Mgmt&Accum
Period of report
May 21, 2015
Accepted (ET)
May 22, 2015 · 12:02 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 Stock | May 21, 2015 | M | 6,270 | $49.25 | A | 90,605 | D | |
| Common Stock | May 21, 2015 | S | 6,270 | $53.00 | D | 84,335 | D |
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) | $49.25 | May 21, 2015 | M | 6,270 | D | Feb 27, 2009 | Feb 27, 2016 | Common Stock | 6,270 | 0 | D |
Explanation of responses
- F1Pursuant to a 10b5-1 trading plan adopted by the reporting person on August 1, 2014.