SEC Form 4 · accession 0001126328-17-000214
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
James P McCaughan
Officer — President - Global Asset Mgmt.
Period of report
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 11:20 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 | Sep 5, 2017 | M | 15,146 | $60.10 | A | 210,965 | D | |
| Common StockF3,F2 | Sep 5, 2017 | S | 15,146 | $62.10 | D | 195,819 | D | |
| Common StockF2 | Sep 5, 2017 | M | 3,888 | $11.07 | A | 199,707 | D | |
| Common StockF3,F2 | Sep 5, 2017 | S | 3,888 | $62.10 | D | 195,819 | D | |
| Common StockF2 | Sep 5, 2017 | M | 9,841 | $22.21 | A | 205,660 | D | |
| Common StockF3,F2 | Sep 5, 2017 | S | 9,841 | $62.10 | D | 195,819 | D | |
| Common StockF2 | Sep 5, 2017 | M | 12,589 | $34.26 | A | 208,407 | D | |
| Common StockF3,F2 | Sep 5, 2017 | S | 12,589 | $62.10 | D | 195,819 | D | |
| Common StockF2 | Sep 5, 2017 | M | 19,350 | $27.46 | A | 215,169 | D | |
| Common StockF3,F2 | Sep 5, 2017 | S | 19,350 | $62.10 | D | 195,819 | 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 | Sep 5, 2017 | M | 15,146 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 15,146 | 0 | D |
| Employee Stock Option (Right to Buy) | $11.07 | Sep 5, 2017 | M | 3,888 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 3,888 | 0 | D |
| Employee Stock Option (Right to Buy) | $22.21 | Sep 5, 2017 | M | 9,841 | D | Feb 23, 2013 | Feb 23, 2020 | Common Stock | 9,841 | 0 | D |
| Employee Stock Option (Right to Buy) | $34.26 | Sep 5, 2017 | M | 12,589 | D | Feb 28, 2014 | Feb 28, 2021 | Common Stock | 12,589 | 0 | D |
| Employee Stock Option (Right to Buy) | $27.46 | Sep 5, 2017 | M | 19,350 | D | Feb 27, 2015 | Feb 27, 2022 | Common Stock | 19,350 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017.
- F2Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.58 - $62.89, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.