SEC Form 4 · accession 0001126328-15-000203
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Mark Dunbar
Officer — EVP & Chief Investment Officer
Period of report
Jul 30, 2015
Accepted (ET)
Jul 31, 2015 · 1:42 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 | 8,275 | $49.25 | A | 49,907 | D | |
| Common StockF2 | Jul 30, 2015 | S | 8,275 | $55.00 | D | 41,632 | D | |
| Common Stock | holding | — | — | — | 114 | I | By Spouse |
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 | 8,275 | D | Feb 27, 2009 | Feb 27, 2016 | Common Stock | 8,275 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2015.
- F2Includes 4,543 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.