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PRINCIPAL FINANCIAL GROUP INC — Director's Dealing 2017
Nov 29, 2017
30322_dirs_2017-11-29_5ac9b161-eef2-4c76-bbd5-aebd52c9ebbf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRINCIPAL FINANCIAL GROUP INC (PFG)
CIK: 0001126328
Period of Report: 2017-11-28
Reporting Person: STRABLE-SOETHOUT DEANNA D (EVP & Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-28 | Common Stock | M | 18905 | $22.21 | Acquired | 73115 | Direct |
| 2017-11-28 | Common Stock | S | 18905 | $70.07 | Disposed | 54210 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-28 | Employee Stock Option (Right to Buy) | $22.21 | M | 18905 | Disposed | 2020-02-23 | Common Stock (18905) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 39324 | Indirect |
| Common Stock | 5 | Indirect |
Footnotes
F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.
F2: Includes 1,477 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 - $70.24, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.