SEC Form 3 · accession 0001126328-19-000107

PRINCIPAL FINANCIAL GROUP INC · PFG

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President - RIS

Period of report

Mar 1, 2019

Accepted (ET)

Mar 11, 2019 · 4:21 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001126328

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	21,414	D
Common Stock	holding	—	—	—	460	I	By 401(k) Plan
Common Stock	holding	—	—	—	22	I	By Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$37.38	holding	—	—	—	Feb 22, 2019	Feb 22, 2026	Common Stock	9,585	—	D
Employee Stock Option (Right to Buy)^F2	$62.78	holding	—	—	—	—	Feb 27, 2027	Common Stock	7,180	—	D
Employee Stock Option (Right to Buy)^F3	$63.98	holding	—	—	—	—	Feb 26, 2028	Common Stock	8,004	—	D
Employee Stock Option (Right to Buy)^F4	$53.09	holding	—	—	—	—	Feb 25, 2029	Common Stock	51,750	—	D
Phantom Stock Units^F6,F5	—	holding	—	—	—	—	—	Common Stock	6	—	D

F1Includes 818 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F2The option vests in three equal annual installments beginning February 27, 2018.
F3The option vests in three equal annual installments beginning February 26, 2019.
F4The option vests in three equal annual installments beginning February 25, 2020.
F5Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.
F6Security converts to common stock on a one-for-one basis.