SEC Form 4 · accession 0001126328-17-000256
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Joseph Houston
Officer — Chairman, President & CEO · Director
Period of report
Oct 18, 2017
Accepted (ET)
Oct 19, 2017 · 3:47 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 | 38,097 | $34.26 | A | 200,737 | D | |
| Common StockF2 | Oct 18, 2017 | S | 38,097 | $68.00 | D | 162,640 | D | |
| Common Stock | holding | — | — | — | 3,054 | I | By 401(k) Plan |
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 | 38,097 | D | Feb 28, 2014 | Feb 28, 2021 | Common Stock | 38,097 | 12,103 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2017.
- F2Includes 3,258 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.