SEC Form 4 · accession 0001126328-15-000250
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P McCaughan
Officer — President - Global Asset Mgmt.
Period of report
Oct 7, 2015
Accepted (ET)
Oct 9, 2015 · 9:43 am 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 | Oct 7, 2015 | M | 15,940 | $49.25 | A | 280,765 | D | |
| Common StockF2 | Oct 7, 2015 | S | 15,940 | $49.75 | D | 264,825 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units | $49.25 | Oct 7, 2015 | M | 15,940 | D | Feb 27, 2009 | Feb 27, 2016 | Common Stock | 15,940 | 47,820 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 plan adopted by the reporting person on June 12, 2015.
- F2Includes 9,613 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.