SEC Form 4 · accession 0001126328-19-000023
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
Jan 17, 2019
Accepted (ET)
Jan 18, 2019 · 9:16 am EST
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 | Jan 17, 2019 | M | 900 | $11.07 | A | 26,082 | D | |
| Common StockF2 | Jan 17, 2019 | S | 900 | $49.00 | D | 25,182 | D | |
| Common Stock | holding | — | — | — | 2,114 | 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 | Jan 17, 2019 | M | 900 | D | Feb 24, 2012 | Feb 24, 2019 | Common Stock | 900 | 0 | D |
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 31, 2018.
- F2Includes 5,063 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.