SEC Form 4 · accession 0001126328-19-000033
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julia M Lawler
Officer — EVP & Chief Risk Officer
Period of report
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 12:05 pm 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 | Feb 1, 2019 | S | 1,000 | $50.17 | A | 60,920 | D | |
| Common Stock | holding | — | — | — | 1,277 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2018 and modified on November 7, 2018.
- F2Includes 817 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.