SEC Form 4 · accession 0001126328-17-000117
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
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 3:57 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 | 14,550 | $60.10 | A | 53,693 | D | |
| Common StockF2 | Apr 27, 2017 | S | 14,550 | $65.00 | D | 39,143 | 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) | $60.10 | Apr 27, 2017 | M | 14,550 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 14,550 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.
- F2Includes 3,155 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.