SEC Form 4 · accession 0001126328-16-000575
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
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 4:54 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 StockF1,F2 | Sep 30, 2016 | A | 312 | $0.00 | A | 196,861 | 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 UnitsF3,F4 | — | Sep 30, 2016 | A | 155 | A | — | — | Common Stock | 155 | 19,683 | D |
Explanation of responses
- F1Grant of restricted stock units.
- F2Includes 10,264 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3The units convert to common stock on a one-for-one basis.
- F4Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.