SEC Form 4 · accession 0001126328-17-000129
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
May 16, 2017
Accepted (ET)
May 17, 2017 · 2:58 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 | May 16, 2017 | M | 10,375 | $60.10 | A | 92,284 | D | |
| Common StockF2 | May 16, 2017 | S | 10,375 | $64.00 | D | 81,909 | 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 | May 16, 2017 | M | 10,375 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 10,375 | 0 | 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.