SEC Form 4 · accession 0001126328-17-000042
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deanna D Strable-Soethout
Officer — President - US Ins. Solutions
Period of report
Feb 9, 2017
Accepted (ET)
Feb 13, 2017 · 5:00 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 Stock | Feb 9, 2017 | M | 1,406 | $11.07 | A | 38,254 | I | By Spouse |
| Common Stock | Feb 9, 2017 | S | 1,406 | $60.00 | D | 36,848 | 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) | $11.07 | Feb 9, 2017 | M | 1,406 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 1,406 | 0 | I |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.