SHAFF KAREN E 4
4 · PRINCIPAL FINANCIAL GROUP INC · Filed Dec 4, 2017
Insider Transaction Report
Form 4
SHAFF KAREN E
Exec. VP and General Counsel
Transactions
- Exercise/Conversion
Common Stock
2017-12-01$30.70/sh+40,755$1,251,179→ 120,266 total - Sale
Common Stock
2017-12-01$69.51/sh−9,806$681,615→ 69,705 total - Sale
Common Stock
2017-12-01$69.51/sh−40,755$2,832,880→ 79,511 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2017-12-01−40,755→ 0 totalExercise: $30.70From: 2016-02-25Exp: 2023-02-25→ Common Stock (40,755 underlying)
Holdings
- 500(indirect: By IRA)
Common Stock
- 2,801(indirect: By Spouse)
Common Stock
Footnotes (3)
- [F1]Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017.
- [F2]Includes 8,109 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 $68.41 - $70.53, 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.