SEC Form 4 · accession 0001126328-17-000196
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary P Scholten
Officer — EVP & Ch Info Officer
Period of report
Jul 25, 2017
Accepted (ET)
Jul 26, 2017 · 11:18 am 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 | Jul 25, 2017 | M | 13,495 | $34.26 | A | 77,687 | D | |
| Common StockF2 | Jul 25, 2017 | S | 13,495 | $67.00 | D | 64,192 | 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) | $34.26 | Jul 25, 2017 | M | 13,495 | D | Feb 28, 2014 | Feb 28, 2021 | Common Stock | 13,495 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2017.
- F2Includes 11,895 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.