SEC Form 4 · accession 0001126328-17-000111
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luis E. Valdes
Officer — Pres - Int'l Asset Mgmt&Accum
Period of report
Apr 20, 2017
Accepted (ET)
Apr 21, 2017 · 3:41 pm EDT
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 | Apr 20, 2017 | M | 37,255 | $44.88 | A | 119,472 | D | |
| Common StockF2 | Apr 20, 2017 | S | 37,255 | $63.00 | D | 82,217 | D | |
| Common StockF2 | Apr 20, 2017 | M | 23,656 | $51.33 | A | 105,873 | D | |
| Common StockF2 | Apr 20, 2017 | S | 23,656 | $63.00 | D | 82,217 | 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) | $44.88 | Apr 20, 2017 | M | 37,255 | D | Apr 24, 2017 | Apr 24, 2024 | Common Stock | 37,255 | 0 | D |
| Employee Stock Option (Right to Buy) | $51.33 | Apr 20, 2017 | M | 23,656 | D | Feb 23, 2017 | Feb 23, 2025 | Common Stock | 23,656 | 11,829 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017.
- F2Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.