SEC Form 4 · accession 0001126328-17-000160
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
Jun 14, 2017
Accepted (ET)
Jun 16, 2017 · 2:07 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 Stock | Jun 14, 2017 | I | 655 | $64.71 | D | 0 | I | By 401(k) Plan |
| Common StockF2 | holding | — | — | — | 53,783 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F4 | — | Jun 14, 2017 | I | 2,845 | D | — | — | Common Stock | 2,845 | 0 | D |
| Phantom Stock UnitsF3,F4 | — | Jun 14, 2017 | I | 3,322 | D | — | — | Common Stock | 3,322 | 0 | I |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2017.
- F2Includes 1,050 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3The units convert to common stock on a one-for-one basis.
- F4Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.
- F5Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on May 15, 2017.