SEC Form 4 · accession 0001126328-16-000590
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Mark Dunbar
Officer — EVP & Chief Investment Officer
Period of report
Oct 28, 2016
Accepted (ET)
Nov 1, 2016 · 12:02 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 StockF2 | Oct 28, 2016 | M | 6,704 | $11.07 | A | 51,889 | D | |
| Common StockF2 | Oct 28, 2016 | S | 6,704 | $55.00 | D | 45,185 | D | |
| Common Stock | holding | — | — | — | 114 | 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 | Oct 28, 2016 | M | 6,704 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 6,704 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015.
- F2Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.