SEC Form 4 · accession 0001126328-15-000180
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larry D Zimpleman
Officer — Chairman & CEO
Period of report
Jun 26, 2015
Accepted (ET)
Jun 30, 2015 · 5:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001126328
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance UnitsF2,F1 | — | Jun 26, 2015 | A | 60 | A | — | — | Common Stock | 60 | 8,351 | D |
| Phantom Stock UnitsF1,F3 | — | Jun 26, 2015 | A | 93 | A | — | — | Common Stock | 93 | 12,934 | D |
Explanation of responses
- F1The units convert to common stock on a one-for-one basis.
- F2The reported performance units were acquired pursuant to the Principal Financial Group Long-Term Performance Plan. Units under the Plan will be settled in cash or stock within a five-year period from the date of vesting.
- F3Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.