SEC Form 4 · accession 0001126328-18-000268
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amy Christine Friedrich
Officer — President - USIS
Period of report
Oct 5, 2018
Accepted (ET)
Oct 9, 2018 · 3:56 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 5, 2018 | M | 1,700 | $11.07 | A | 26,594 | D | |
| Common StockF2 | Oct 5, 2018 | S | 1,700 | $61.00 | D | 24,894 | D | |
| Common Stock | holding | — | — | — | 2,088 | 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) | $11.07 | Oct 5, 2018 | M | 1,700 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 1,700 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2018.
- F2Includes 5,002 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.