SEC Form 4 · accession 0001126328-17-000140
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen E Shaff
Officer — EVP, Gen'l Counsel, Secretary · 10% Owner
Period of report
May 15, 2017
Accepted (ET)
May 18, 2017 · 4:40 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 StockF1 | May 15, 2017 | G | 2,000 | $0.00 | D | 85,612 | D | |
| Common Stock | holding | — | — | — | 2,801 | I | By Spouse | |
| Common Stock | holding | — | — | — | 500 | I | By Immediate Family Member's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.