SEC Form 4 · accession 0001126328-17-000058
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Bernard Elming
Officer — SVP & Chief Risk Officer
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 9:57 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 | Feb 13, 2017 | M | 12,600 | $60.10 | A | 44,768 | D | |
| Common StockF2 | Feb 13, 2017 | S | 12,600 | $62.00 | D | 32,168 | D | |
| Common Stock | holding | — | — | — | 216 | 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) | $60.10 | Feb 13, 2017 | M | 12,600 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 12,600 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2016.
- F2Includes 1,634 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.