SEC Form 4 · accession 0001126328-17-000063
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
Feb 22, 2017
Accepted (ET)
Feb 23, 2017 · 5:30 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 | Feb 22, 2017 | M | 20,900 | $60.10 | A | 78,087 | D | |
| Common StockF2 | Feb 22, 2017 | S | 20,900 | $63.10 | D | 57,187 | D | |
| Common Stock | holding | — | — | — | 652 | 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) | $60.10 | Feb 22, 2017 | M | 20,900 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 20,900 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016.
- F2Includes 11,728 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.