SEC Form 4 · accession 0001126328-18-000015
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P McCaughan
Officer — President - Global Asset Mgmt.
Period of report
Dec 28, 2017
Accepted (ET)
Jan 2, 2018 · 5:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001126328
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phanton Stock UnitsF1,F2 | — | Dec 28, 2017 | A | 139 | A | — | — | Common Stock | 139 | 20,397 | D |
Explanation of responses
- F1The units convert to common stock on a one-for-one basis.
- F2Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.