SEC Form 4 · accession 0001126328-17-000115
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deanna D Strable-Soethout
Officer — EVP & Chief Financial Officer
Period of report
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 3:54 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 27, 2017 | M | 21,235 | $60.10 | A | 75,018 | D | |
| Common StockF2 | Apr 27, 2017 | S | 21,235 | $65.00 | D | 53,783 | D | |
| Common Stock | Apr 27, 2017 | M | 1,065 | $60.10 | A | 39,775 | I | By Spouse |
| Common Stock | Apr 27, 2017 | S | 1,065 | $65.00 | D | 38,710 | I | By Spouse |
| Common Stock | Apr 27, 2017 | M | 1,445 | $39.88 | A | 40,155 | I | By Spouse |
| Common Stock | Apr 27, 2017 | S | 1,445 | $65.00 | D | 38,710 | I | By Spouse |
| Common Stock | holding | — | — | — | 655 | I | By 401(k) Plan |
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 | Apr 27, 2017 | M | 21,235 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 21,235 | 0 | D |
| Employee Stock Option (Right to Buy) | $60.10 | Apr 27, 2017 | M | 1,065 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 1,065 | 0 | I |
| Employee Stock Option (Right to Buy) | $39.88 | Apr 27, 2017 | M | 1,445 | D | Jul 7, 2011 | Jul 7, 2018 | Common Stock | 1,445 | 0 | I |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.
- F2Includes 1,050 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on November 11, 2016.