SEC Form 4 · accession 0001126328-18-000180
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Dan
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 4:34 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F1,F2 | — | Jun 6, 2018 | A | 439 | A | — | — | Common Stock | 439 | 8,072 | D |
Explanation of responses
- F1The units convert to common stock on a one-for-one basis.
- F2The 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.
- F3Since the date of the reporting person's last ownership report, he transferred 7,633 phantom stock units and 19,826 shares of Princpal Financial Group, Inc. common stock to his ex-wife pursuant to a domestic relations order. The reporting person's ex-wife likewise transferred 5,000 shares of common stock to the reporting person pursuant to the same order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.