SEC Form 4 · accession 0001126328-17-000228
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis H Ferro
Director
Period of report
Sep 29, 2017
Accepted (ET)
Oct 3, 2017 · 3:30 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 | Sep 29, 2017 | A | 187 | $0.00 | A | 26,833 | 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 UnitsF2,F3 | — | Sep 29, 2017 | A | 139 | A | — | — | Common Stock | 139 | 19,185 | D |
Explanation of responses
- F1Grant of restricted stock units.
- F2The units convert to common stock on a one-for-one basis.
- F3The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement.