SEC Form 4 · accession 0001126328-16-000623
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
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 4:42 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 StockF2 | Dec 7, 2016 | M | 17,725 | $22.21 | A | 88,375 | D | |
| Common StockF2 | Dec 7, 2016 | S | 17,725 | $60.00 | D | 70,650 | D | |
| Common StockF2 | Dec 7, 2016 | M | 6,755 | $56.42 | A | 77,405 | D | |
| Common StockF2 | Dec 7, 2016 | S | 6,755 | $60.00 | D | 70,650 | D | |
| Common Stock | holding | — | — | — | 647 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 192 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $22.21 | Dec 7, 2016 | M | 17,725 | D | Feb 23, 2013 | Feb 23, 2020 | Common Stock | 17,725 | 0 | D |
| Employee Stock Option (Right to Buy) | $56.42 | Dec 7, 2016 | M | 6,755 | D | May 19, 2011 | May 19, 2018 | Common Stock | 6,755 | 0 | D |
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.
- F3Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016.