SEC Form 4 · accession 0001126328-15-000163
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nora Mary Everett
Officer — President - RIS
Period of report
Jun 18, 2015
Accepted (ET)
Jun 19, 2015 · 2:57 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 | Jun 18, 2015 | M | 8,425 | $49.25 | A | 40,251 | D | |
| Common StockF2 | Jun 18, 2015 | S | 8,425 | $52.32 | D | 31,826 | 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 | Jun 18, 2015 | M | 8,425 | D | Feb 27, 2009 | Feb 27, 2016 | Common Stock | 8,425 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2015.
- F2Includes 2,954 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.