SEC Form 4 · accession 0001126328-16-000392
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Joseph Houston
Officer — President & CEO · Director
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:00 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 StockF1,F2 | Feb 22, 2016 | A | 24,209 | $0.00 | A | 149,210 | D | |
| Common Stock | holding | — | — | — | 2,886 | I | By 401(k) Plan |
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)F3 | $37.38 | Feb 22, 2016 | A | 224,465 | A | — | Feb 22, 2026 | Common Stock | 224,465 | 224,465 | D |
Explanation of responses
- F1Settlement of performance-based restricted stock units granted February 25, 2013.
- F2Includes 2,116 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3The option vests in three equal annual installments beginning February 22, 2017.