0001126328-11-000156.txt : 20110323
0001126328-11-000156.hdr.sgml : 20110323
20110323153433
ACCESSION NUMBER: 0001126328-11-000156
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20110314
FILED AS OF DATE: 20110323
DATE AS OF CHANGE: 20110323
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Elming Gregory Bernard
CENTRAL INDEX KEY: 0001516394
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16725
FILM NUMBER: 11706394
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392-0300
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PRINCIPAL FINANCIAL GROUP INC
CENTRAL INDEX KEY: 0001126328
STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321]
IRS NUMBER: 421520346
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0224
BUSINESS ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392-0300
BUSINESS PHONE: 5152475111
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392-0300
3
1
edgar.xml
PRIMARY DOCUMENT
X0203
3
2011-03-14
0
0001126328
PRINCIPAL FINANCIAL GROUP INC
PFG
0001516394
Elming Gregory Bernard
711 HIGH STREET
DES MOINES
IA
50392
0
1
0
0
SVP & Chief Risk Officer
Common Stock
11183
D
Common Stock
216
I
By Spouse
Phantom Stock Units
Common Stock
2
D
Employee Stock Option (Right to Buy)
27.57
2006-02-25
2013-02-25
Common Stock
8000
D
Employee Stock Option (Right to Buy)
36.30
2007-02-24
2014-02-24
Common Stock
8485
D
Employee Stock Option (Right to Buy)
39.02
2008-02-28
2015-02-28
Common Stock
8095
D
Employee Stock Option (Right to Buy)
49.25
2009-02-27
2016-02-27
Common Stock
9165
D
Employee Stock Option (Right to Buy)
62.63
2010-02-26
2017-02-26
Common Stock
8260
D
Employee Stock Option (Right to Buy)
60.10
2011-02-26
2018-02-26
Common Stock
12600
D
Employee Stock Option (Right to Buy)
11.07
2019-02-24
Common Stock
21030
D
Employee Stock Option (Right to Buy)
22.21
2020-02-23
Common Stock
8695
D
Employee Stock Option (Right to Buy)
34.26
2021-02-28
Common Stock
5975
D
Includes 1,378 shares granted pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan and 7,939 restricted stock units granted pursuant to the Principal Financial Group, Inc. Stock Incentive Plan.
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.
Security converts to common stock on a one-for-one basis.
The option vests in three equal annual installments beginning February 24, 2010.
The option vests in three equal annual installments beginning February 23, 2011.
The option vests in three equal annual installments beginning February 28, 2012.
Joyce N. Hoffman, by Power of Attorney
2011-03-23
EX-24
2
elmingpoa.txt
POWER OF ATTORNEY
Power of Attorney
Know all by these presents, that the undersigned hereby constitutes
and appoints Larry D. Zimpleman, Karen E. Shaff and Joyce N. Hoffman,
and each of them, individually, the undersigned's true and lawful
attorney in fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as a beneficial owner of securities of Principal Financial
Group, Inc. (the "Company's"), Schedules 13D (including amendments thereto)
and Forms 3, 4 and 5 in accordance with Section 13(d) and Section 16(a),
respectively, of the Securities Exchange Act of 1934 and the rules
thereunder and any joint filing agreement pursuant to Rule 13d-1(k)(1)(iii);
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete and execute any such
Schedule 13D (or amendment), Form 3, 4 or 5 or joint filing agreement
and timely file such schedule or form with the United States Securities
and Exchange Commission and any appropriate national securities exchange; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of each such attorney-in-fact, may be of
benefit to, in the best interest of, or legally required by, the undersigned,
it being understood that the documents executed by each such attorney-in-fact
on behalf of the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as he may approve in
his discretion.
The undersigned hereby grants to each such attorney-in-fact power and authority
to do and perform any and every act and thing whatsoever requisite, necessary
or proper to be done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that each such attorney-in-fact, or
his substitute or substitutes, shall lawfully do or cause to be done by
virtue of this Power of Attorney and the rights and powers herein granted.
The undersigned acknowledges that each such attorney in fact is serving
in such capacity at the request of the undersigned, is not assuming, nor
is the Company assuming, any of the undersigned's responsibilities to
comply with Section 13(d) or Section 16 of the Securities Exchange act
of 1934.
The Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Schedules 13(d) or Forms 3, 4
and 5 with respect to the undersigned's holdings of and transactions in
securities issued by the Company, unless earlier revoked by the undersigned
in a signed writing delivered to each such attorney-in-fact.
From and after the date hereof, any Power of Attorney previously granted by
the undersigned concerning the subject matter hereof is hereby revoked.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 14th day of March, 2011.
/s/ Gregory B. Elming_______________
Name: Gregory B. Elming
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