4//SEC Filing
MCCAUGHAN JAMES P 4
Accession 0001126328-18-000209
CIK 0001126328other
Filed
Jul 5, 8:00 PM ET
Accepted
Jul 6, 11:19 AM ET
Size
13.2 KB
Accession
0001126328-18-000209
Insider Transaction Report
Form 4
MCCAUGHAN JAMES P
President - Global Asset Mgmt.
Transactions
- Award
Phantom Stock Units
2018-06-29$52.95/sh−202$10,696→ 20,770.2 total→ Common Stock (202 underlying) - Exercise/Conversion
Common Stock
2018-07-02$30.70/sh+10,000$307,000→ 189,329 total - Sale
Common Stock
2018-07-02$52.72/sh−10,000$527,200→ 179,329 total - Sale
Common Stock
2018-07-02$52.72/sh−10,000$527,200→ 169,329 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2018-07-02−10,000→ 63,630 totalExercise: $30.70From: 2016-02-25Exp: 2023-02-25→ Common Stock (10,000 underlying)
Footnotes (5)
- [F1]Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018.
- [F2]Includes 11,089 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 $52.46 - $53.05, 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.
- [F4]The units convert to common stock on a one-for-one basis.
- [F5]Acquired 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.
Documents
Issuer
PRINCIPAL FINANCIAL GROUP INC
CIK 0001126328
Entity typeother
Related Parties
1- filerCIK 0001196954
Filing Metadata
- Form type
- 4
- Filed
- Jul 5, 8:00 PM ET
- Accepted
- Jul 6, 11:19 AM ET
- Size
- 13.2 KB