0001126328-15-000288.txt : 20151202 0001126328-15-000288.hdr.sgml : 20151202 20151202172348 ACCESSION NUMBER: 0001126328-15-000288 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151201 FILED AS OF DATE: 20151202 DATE AS OF CHANGE: 20151202 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: MCCAUGHAN JAMES P CENTRAL INDEX KEY: 0001196954 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 151265594 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-12-01 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001196954 MCCAUGHAN JAMES P 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 President - Global Asset Mgmt. Common Stock 2015-12-01 4 M 0 12000 11.07 A 276825 D Common Stock 2015-12-01 4 S 0 12000 51.91 D 264825 D Common Stock 2015-12-01 4 M 0 15940 49.25 A 280765 D Common Stock 2015-12-01 4 S 0 15940 51.75 D 264825 D Employee Stock Option (Right to Buy) 11.07 2015-12-01 4 M 0 12000 0 D 2012-02-24 2019-02-24 Common Stock 12000 27555 D Employee Stock Option (Right to Buy) 49.25 2015-12-01 4 M 0 15940 0 D 2009-02-27 2016-02-27 Common Stock 15940 15940 D Pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 20, 2015. Includes 9,613 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.50 - $52.16, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of 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 set forth in this footnote. Pursuant to a Rule 10b5-1 plan adopted by the reporting person on June 12, 2015. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.47 - $52.04, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of 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 set forth in this footnote. Patrick A. Kirchner, by Power of Attorney 2015-12-02