0001126328-13-000199.txt : 20130703 0001126328-13-000199.hdr.sgml : 20130703 20130703164253 ACCESSION NUMBER: 0001126328-13-000199 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130701 FILED AS OF DATE: 20130703 DATE AS OF CHANGE: 20130703 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Valdes Luis E. CENTRAL INDEX KEY: 0001543399 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 13953296 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-07-01 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001543399 Valdes Luis E. 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 President-Principal Internat'l Common Stock 2013-07-01 4 M 0 5939 11.07 A 41183 D Common Stock 2013-07-01 4 S 0 2660 37.70 D 38523 D Common Stock 2013-07-01 4 M 0 18327 22.21 A 56850 D Common Stock 2013-07-01 4 S 0 12980 37.70 D 43870 D Employee Stock Option (Right to Buy) 11.07 2013-07-01 4 M 0 5939 0 D 2012-02-24 2019-02-24 Common Stock 5939 0 D Employee Stock Option (Right to Buy) 22.21 2013-07-01 4 M 0 18327 0 D 2013-02-23 2020-02-23 Common Stock 18327 0 D Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 31, 2013. Includes 6,505 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.62 to $37.88, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., 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 ranges seth forth herein. Joyce N. Hoffman, by Power of Attorney 2013-07-03