SEC Form 4 · accession 0001126328-16-000591
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrance J. Lillis
Officer — EVP & Chief Financial Officer
Period of report
Nov 4, 2016
Accepted (ET)
Nov 4, 2016 · 4:44 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 | Nov 4, 2016 | G | 800 | $0.00 | D | 99,761 | D | |
| Common Stock | holding | — | — | — | 44 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.