SEC Form 4 · accession 0001126328-19-000101
PRINCIPAL FINANCIAL GROUP INC · PFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deanna D Strable-Soethout
Officer — EVP & Chief Financial Officer
Period of report
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 5:20 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 StockF1,F2 | Feb 25, 2019 | A | 13,890 | $0.00 | A | 74,779 | D | |
| Common StockF3 | Feb 25, 2019 | A | 4,024 | $0.00 | A | 46,978 | I | By Spouse |
| Common Stock | holding | — | — | — | 5 | 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)F4 | $53.09 | Feb 25, 2019 | A | 81,880 | A | — | Feb 25, 2029 | Common Stock | 81,880 | 81,880 | D |
Explanation of responses
- F1Settlement of performance-based restricted stock units granted February 22, 2016.
- F2Includes 1,832 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- F3Grant of restricted stock units.
- F4The option vests in three equal annual installments beginning February 25, 2020.