SEC Form 4 · accession 0001126328-17-000064
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nora Mary Everett
Officer — President - RIS
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 | 11,290 | $62.63 | A | 46,269 | D | |
| Common StockF2 | Feb 22, 2017 | S | 11,290 | $63.00 | D | 34,979 | D |
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) | $62.63 | Feb 22, 2017 | M | 11,290 | D | Feb 26, 2010 | Feb 26, 2017 | Common Stock | 11,290 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.
- F2Includes 3,133 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.