SEC Form 4 · accession 0001126328-15-000204
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deanna D Strable-Soethout
Officer — President - US Ins. Solutions
Period of report
Jul 29, 2015
Accepted (ET)
Jul 31, 2015 · 2:52 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 Stock | Jul 29, 2015 | M | 22 | $11.07 | A | 39,360 | D | |
| Common Stock | Jul 29, 2015 | S | 22 | $55.00 | D | 39,338 | D | |
| Common Stock | holding | — | — | — | 618 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 31,735 | 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) | $11.07 | Jul 29, 2015 | M | 22 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 22 | 13,862 | D |
| Employee Stock Option (Right to Buy) | $11.07 | holding | — | — | — | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 7,955 | 7,955 | I |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2014.