SEC Form 4 · accession 0001126328-17-000116
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Mark Dunbar
Officer — EVP & Chief Investment Officer
Period of report
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 3:55 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 | 19,905 | $60.10 | A | 64,442 | D | |
| Common StockF2 | Apr 27, 2017 | S | 19,905 | $65.00 | D | 44,537 | D | |
| Common StockF2 | Apr 27, 2017 | M | 5,000 | $22.21 | A | 49,537 | D | |
| Common StockF2 | Apr 27, 2017 | S | 5,000 | $65.00 | D | 44,537 | D | |
| Common Stock | holding | — | — | — | 114 | 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 | Apr 27, 2017 | M | 19,905 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 19,905 | 0 | D |
| Employee Stock Option (Right to Buy) | $22.21 | Apr 27, 2017 | M | 5,000 | D | Feb 23, 2013 | Feb 23, 2020 | Common Stock | 5,000 | 6,400 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016.
- F2Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.