SEC Form 4 · accession 0001126328-17-000076
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen E Shaff
Officer — EVP, Gen'l Counsel, Secretary · 10% Owner
Period of report
Feb 27, 2017
Accepted (ET)
Mar 1, 2017 · 5:27 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,F2 | Feb 27, 2017 | A | 5,930 | $0.00 | A | 87,465 | D | |
| Common Stock | holding | — | — | — | 2,801 | I | By Spouse | |
| Common Stock | holding | — | — | — | 500 | I | By Immediate Family Member's IRA |
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)F3 | $62.78 | Feb 27, 2017 | A | 31,035 | A | — | Feb 27, 2027 | Common Stock | 31,035 | 31,035 | D |
Explanation of responses
- F1Settlement of performance-based restricted stock units granted February 24, 2014.
- F2Includes 7,937 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3The option vests in three equal annual installments beginning February 27, 2018.