SEC Form 4 · accession 0001126328-18-000176
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
Jun 4, 2018
Accepted (ET)
Jun 5, 2018 · 4:35 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 | Jun 4, 2018 | M | 10,000 | $30.70 | A | 198,960 | D | |
| Common StockF2 | Jun 4, 2018 | S | 10,000 | $56.31 | D | 188,960 | D | |
| Common StockF2 | Jun 4, 2018 | S | 10,000 | $56.31 | D | 178,960 | 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) | $30.70 | Jun 4, 2018 | M | 10,000 | D | Feb 25, 2016 | Feb 25, 2023 | Common Stock | 10,000 | 73,630 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018.
- F2Includes 10,720 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.