0001126328-13-000029.txt : 20130111 0001126328-13-000029.hdr.sgml : 20130111 20130111170832 ACCESSION NUMBER: 0001126328-13-000029 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130101 FILED AS OF DATE: 20130111 DATE AS OF CHANGE: 20130111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dunbar Timothy Mark CENTRAL INDEX KEY: 0001565742 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 13526035 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 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 X0206 3 2013-01-01 0 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001565742 Dunbar Timothy Mark 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 SVP & Chief Investment Officer Common Stock 45593 D Common Stock 114 I By Spouse Employee Stock Option (Right to Buy) 27.57 2006-02-25 2013-02-25 Common Stock 4930 D Employee Stock Option (Right to Buy) 36.30 2007-02-24 2014-02-24 Common Stock 4280 D Employee Stock Option (Right to Buy) 38.74 2007-11-12 2014-11-12 Common Stock 685 D Employee Stock Option (Right to Buy) 39.02 2008-02-28 2015-02-28 Common Stock 8745 D Employee Stock Option (Right to Buy) 49.25 2009-02-27 2016-02-27 Common Stock 8275 D Employee Stock Option (Right to Buy) 62.63 2010-02-26 2017-02-26 Common Stock 7925 D Employee Stock Option (Right to Buy) 60.10 2011-02-26 2018-02-26 Common Stock 19905 D Employee Stock Option (Right to Buy) 11.07 2012-02-24 2019-02-24 Common Stock 17704 D Employee Stock Option (Right to Buy) 22.21 2020-02-23 Common Stock 11400 D Employee Stock Option (Right to Buy) 34.26 2021-02-28 Common Stock 11125 D Employee Stock Option (Right to Buy) 27.46 2022-02-27 Common Stock 15685 D Phantom Stock Units Common Stock 4083 D Includes 2,919 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. The options vest in three equal annual installments beginning February 23, 2011. The options vest in three equal annual installments beginning February 28, 2012. The options vest in three equal annual installments beginning February 27, 2013. 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. Timothy M. Dunbar 2013-01-11