SEC Form 4 · accession 0001126328-15-000266
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luis E. Valdes
Officer — Pres - Int'l Asset Mgmt&Accum
Period of report
Nov 6, 2015
Accepted (ET)
Nov 9, 2015 · 2:24 pm EST
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 | Nov 6, 2015 | M | 13,892 | $27.46 | A | 98,819 | D | |
| Common StockF2 | Nov 6, 2015 | S | 13,892 | $52.00 | D | 84,927 | D |
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) | $27.46 | Nov 6, 2015 | M | 13,892 | D | Feb 27, 2015 | Feb 27, 2022 | Common Stock | 13,892 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 plan adopted by the reporting person on July 29, 2015.
- F2Includes 7,810 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.