SEC Form 4 · accession 0001126328-16-000633
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Joseph Houston
Officer — Chairman, President & CEO · Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 3:40 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 StockF1 | Dec 9, 2016 | G | 3,780 | $0.00 | D | 146,062 | D | |
| Common Stock | holding | — | — | — | 2,970 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 2,748 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.