SEC Form 4 · accession 0001126328-17-000254
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen E Shaff
Officer — EVP, Gen'l Counsel, Secretary · 10% Owner
Period of report
Oct 18, 2017
Accepted (ET)
Oct 19, 2017 · 2:22 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 | Oct 18, 2017 | M | 17,082 | $34.26 | A | 102,993 | D | |
| Common StockF2 | Oct 18, 2017 | S | 17,082 | $68.00 | D | 85,911 | D | |
| Common Stock | holding | — | — | — | 2,801 | I | By Spouse | |
| Common Stock | holding | — | — | — | 500 | I | By Immediate Family Member's IRA |
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 | Oct 18, 2017 | M | 17,082 | D | Feb 28, 2014 | Feb 28, 2021 | Common Stock | 17,082 | 10,588 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017.
- F2Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.