SEC Form 4/A · accession 0001126328-17-000215
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James P McCaughan
Officer — President - Global Asset Mgmt.
Period of report
Sep 5, 2017
Accepted (ET)
Sep 8, 2017 · 3:34 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,F3 | Sep 5, 2017 | M | 6,039 | $60.10 | A | 201,858 | D | |
| Common StockF2,F4,F3 | Sep 5, 2017 | S | 6,039 | $62.10 | D | 195,819 | D | |
| Common StockF3 | Sep 6, 2017 | M | 2,914 | $60.10 | A | 198,733 | D | |
| Common StockF5,F3 | Sep 6, 2017 | S | 2,914 | $62.15 | 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 | 6,039 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 6,039 | 9,107 | D |
| Employee Stock Option (Right to Buy) | $60.10 | Sep 6, 2017 | M | 2,914 | D | Feb 26, 2011 | Feb 26, 2018 | Common Stock | 2,914 | 6,139 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017.
- F2Corrects prior number of options and underlying shares reported.
- F3Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F4The 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.00 - $62.31, 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.