SEC Form 4 · accession 0001126328-15-000202
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen E Shaff
Officer — EVP, Gen'l Counsel, Secretary · 10% Owner
Period of report
Jul 30, 2015
Accepted (ET)
Jul 31, 2015 · 1:41 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 30, 2015 | M | 39,165 | $49.25 | A | 123,131 | D | |
| Common Stock | Jul 30, 2015 | S | 39,165 | $55.25 | D | 83,966 | D | |
| Common Stock | Jul 30, 2015 | G | 1,094 | $0.00 | D | 82,872 | D | |
| Common Stock | holding | — | — | — | 2,801 | I | By Spouse | |
| Common Stock | holding | — | — | — | 500 | I | By Immediate Family Member's IRA |
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 | Jul 30, 2015 | M | 39,165 | D | Feb 27, 2009 | Feb 27, 2016 | Common Stock | 39,165 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2015.
- F2Includes 6,488 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2015.