0001126328-13-000022.txt : 20130104 0001126328-13-000022.hdr.sgml : 20130104 20130104165124 ACCESSION NUMBER: 0001126328-13-000022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130102 FILED AS OF DATE: 20130104 DATE AS OF CHANGE: 20130104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCCAUGHAN JAMES P CENTRAL INDEX KEY: 0001196954 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 13512551 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 2013-01-02 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001196954 MCCAUGHAN JAMES P 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 President - Global Asset Mgmt. Common Stock 2013-01-02 4 M 0 40475 27.57 A 192950 D Common Stock 2013-01-02 4 S 0 40475 28.95 D 152475 D Employee Stock Option (Right to Buy) 27.57 2013-01-02 4 M 0 40475 0 D 2006-02-25 2013-02-25 Common Stock 40475 0 D Pursuant to 10b5-1 plan adopted August 16, 2012. Includes 7,152 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.76 to $29.22. The reporting person undertakes to provide Principal Financial Group security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the range set forth within the footnote. Joyce N. Hoffman, by Power of Attorney 2013-01-04