Filing Details
- Accession Number:
- 0001126328-17-000115
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-01 15:54:09
- Reporting Period:
- 2017-04-27
- Filing Date:
- 2017-05-01
- Accepted Time:
- 2017-05-01 15:54:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1126328 | Principal Financial Group Inc | PFG | Accident & Health Insurance (6321) | 421520346 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1278726 | D Deanna Strable-Soethout | 711 High Street Des Moines IA 50392 | Evp & Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-04-27 | 21,235 | $60.10 | 75,018 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-27 | 21,235 | $65.00 | 53,783 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-04-27 | 1,065 | $60.10 | 39,775 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Disposition | 2017-04-27 | 1,065 | $65.00 | 38,710 | No | 4 | S | Indirect | By Spouse |
| Common Stock | Acquisiton | 2017-04-27 | 1,445 | $39.88 | 40,155 | No | 4 | M | Indirect | By Spouse |
| Common Stock | Disposition | 2017-04-27 | 1,445 | $65.00 | 38,710 | No | 4 | S | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
| No | 4 | M | Indirect | By Spouse |
| No | 4 | S | Indirect | By Spouse |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-04-27 | 21,235 | $0.00 | 21,235 | $60.10 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-04-27 | 1,065 | $0.00 | 1,065 | $60.10 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-04-27 | 1,445 | $0.00 | 1,445 | $39.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-02-26 | 2018-02-26 | No | 4 | M | Direct |
| 0 | 2011-02-26 | 2018-02-26 | No | 4 | M | Indirect |
| 0 | 2011-07-07 | 2018-07-07 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 655 | Indirect | By 401(k) Plan |
Footnotes
- Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2016.
- Includes 1,050 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on November 11, 2016.
Billionaire Hedge Funds
