PRINCIPAL FINANCIAL GROUP INC 4

4 · PRINCIPAL FINANCIAL GROUP INC · Filed Jun 23, 2017

Form 4

Period: 2017-06-21

SVP & Chief Risk Officer

Transactions

Sale
Common Stock
2017-06-21$64.20/sh−4,230$271,566→ 35,398 total
Exercise/Conversion
Common Stock
2017-06-21$37.38/sh+4,230$158,117→ 39,628 total
Exercise/Conversion
Common Stock
2017-06-21$34.26/sh+5,975$204,704→ 41,373 total
Exercise/Conversion
Common Stock
2017-06-21$44.88/sh+5,835$261,875→ 41,233 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2017-06-21−5,835→ 0 total
Exercise: $44.88From: 2017-02-24Exp: 2024-02-24→ Common Stock (5,835 underlying)
Sale
Common Stock
2017-06-21$64.20/sh−5,975$383,595→ 35,398 total
Sale
Common Stock
2017-06-21$64.20/sh−5,835$374,607→ 35,398 total
Sale
Common Stock
2017-06-21$64.20/sh−14,667$941,621→ 20,731 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2017-06-21−5,975→ 0 total
Exercise: $34.26From: 2014-02-28Exp: 2021-02-28→ Common Stock (5,975 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2017-06-21−4,230→ 8,460 total
Exercise: $37.38From: 2017-02-22Exp: 2026-02-22→ Common Stock (4,230 underlying)

Footnotes (3)

[F1]Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2017.
[F2]Includes 1,646 shares held in 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 $63.80 - $64.97, 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.

Documents

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