SEC Form 4/A · accession 0001126328-16-000627
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Luis E. Valdes
Officer — Pres - Int'l Asset Mgmt&Accum
Period of report
Dec 5, 2016
Accepted (ET)
Dec 13, 2016 · 3:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001126328
Table I — non-derivative securities
No Table I lines on this filing.
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) | $34.26 | Dec 5, 2016 | M | 18,390 | D | Feb 28, 2014 | Feb 28, 2021 | Common Stock | 18,390 | 0 | D |
| Employee Stock Option (Right to Buy) | $30.70 | Dec 5, 2016 | M | 53,685 | D | Feb 25, 2016 | Feb 25, 2023 | Common Stock | 53,685 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016.
- F2This report supplements a prior Form 4 filed December 6, 2016 which inadvertently ommitted corresponding Table II information.