0001126328-13-000033.txt : 20130123 0001126328-13-000033.hdr.sgml : 20130123 20130123132025 ACCESSION NUMBER: 0001126328-13-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130122 FILED AS OF DATE: 20130123 DATE AS OF CHANGE: 20130123 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: 13542296 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 2013-01-22 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 2013-01-22 4 S 0 3333 30.28 D 42444 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 Pursuant to a Rule 10b5-1 plan adopted June 11, 2012. The price reported in Column 4 is a weighted average price. These shares were sold in mulitple transactions at prices ranging from $30.27 to $30.29, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder thereof, 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 range set forth in this footnote. Includes 7,494 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Joyce N. Hoffman, by Power of Attorney 2013-01-23