SEC Form 4 · accession 0001126328-16-000601
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary P Scholten
Officer — EVP & Ch Info Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 9:58 am 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 10, 2016 | S | 13,000 | $58.00 | D | 70,650 | D | |
| Common Stock | holding | — | — | — | 647 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 192 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015.
- F2Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.