0001126328-13-000017.txt : 20130102 0001126328-13-000017.hdr.sgml : 20130101 20130102150252 ACCESSION NUMBER: 0001126328-13-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121228 FILED AS OF DATE: 20130102 DATE AS OF CHANGE: 20130102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAFF KAREN E CENTRAL INDEX KEY: 0001166872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 13501567 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2012-12-28 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001166872 SHAFF KAREN E 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 Exec. VP and General Counsel Common Stock 2012-12-28 4 A 0 83 0 A 45777 D Common Stock 6341 I By 401(k) Plan Common Stock 2801 I By Spouse Common Stock 500 I By Immediate Family Member's IRA Phantom Stock Units 2012-12-28 4 A 0 18.3 28.08 A Common Stock 18.3 2462.5 D Grant of restricted stock units. Includes 7,494 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Security converts to common stock on a one-for-one basis. The reported phantom stock units were acquired pursuant to the Principal Select Savings Excess Plan and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement or other termination of service. Joyce N. Hoffman, by Power of Attorney 2013-01-02