0001126328-13-000209.txt : 20130724 0001126328-13-000209.hdr.sgml : 20130724 20130724121536 ACCESSION NUMBER: 0001126328-13-000209 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130722 FILED AS OF DATE: 20130724 DATE AS OF CHANGE: 20130724 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: Dunbar Timothy Mark CENTRAL INDEX KEY: 0001565742 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 13983064 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-07-22 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001565742 Dunbar Timothy Mark 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 SVP and Chief Investment Offic Common Stock 2013-07-22 4 M 0 4280 36.30 A 44419 D Common Stock 2013-07-22 4 S 0 4280 40.00 D 40139 D Common Stock 2013-07-22 4 M 0 685 38.74 A 40824 D Common Stock 2013-07-22 4 S 0 685 40.00 D 40139 D Common Stock 2013-07-22 4 M 0 5000 11.07 A 45139 D Common Stock 2013-07-22 4 S 0 5000 40.00 D 40139 D Common Stock 114 I By Spouse Employee Stock Option (Right to Buy) 36.30 2013-07-22 4 M 0 4280 0 D 2007-02-24 2014-02-24 Common Stock 4280 0 D Employee Stock Option (Right to Buy) 38.74 2013-07-22 4 M 0 685 0 D 2007-11-12 2014-11-12 Common Stock 685 0 D Employee Stock Option (Right to Buy) 11.07 2013-07-22 4 M 0 5000 0 D 2012-02-24 2019-02-24 Common Stock 5000 12704 D Pursuant to a 10b5-1 trading plan adopted by the reporting person on June 14, 2013. Includes 2,957 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Joyce N. Hoffman, by Power of Attorney 2013-07-24