0001126328-14-000171.txt : 20140626 0001126328-14-000171.hdr.sgml : 20140626 20140623172338 ACCESSION NUMBER: 0001126328-14-000171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140620 FILED AS OF DATE: 20140623 DATE AS OF CHANGE: 20140623 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: 1231 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: 14935890 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-06-20 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001565742 Dunbar Timothy Mark 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 EVP & Chief Investment Officer Common Stock 2014-06-20 4 M 0 6000 11.07 A 47849 D Common Stock 2014-06-20 4 S 0 6000 50.00 D 41849 D Employee Stock Option (Right to Buy) 11.07 2014-06-20 4 M 0 6000 0 D 2012-02-24 2019-02-24 Common Stock 6000 6704 D Phantom Stock Units 2014-06-20 4 A 0 6 50.37 A Common Stock 6 4749 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2013. Includes 3,883 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Security converts to common stock on a one-for-one basis. 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. Patrick A. Kirchner, by Power of Attorney 2014-06-23