SEC Form 4 · accession 0001126328-15-000196
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrance J. Lillis
Officer — EVP & Chief Financial Officer
Period of report
Jul 21, 2015
Accepted (ET)
Jul 22, 2015 · 2:55 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 | Jul 21, 2015 | M | 2,212 | $27.46 | A | 84,066 | D | |
| Common StockF2 | Jul 21, 2015 | S | 2,212 | $53.50 | D | 81,854 | D | |
| Common Stock | holding | — | — | — | 40 | 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 Options (Right to Buy) | $27.46 | Jul 21, 2015 | M | 2,212 | D | Feb 27, 2015 | Feb 27, 2022 | Common Stock | 2,212 | 49,638 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2015.
- F2Includes 10,120 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.