0001126328-16-000624.txt : 20161209 0001126328-16-000624.hdr.sgml : 20161209 20161209095652 ACCESSION NUMBER: 0001126328-16-000624 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161207 FILED AS OF DATE: 20161209 DATE AS OF CHANGE: 20161209 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: Houston Daniel Joseph CENTRAL INDEX KEY: 0001326278 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 162042942 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-12-07 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001326278 Houston Daniel Joseph 711 HIGH STREET DES MOINES IA 50392 1 1 0 0 Chairman, President & CEO Common Stock 2016-12-07 4 M 0 72350 22.21 A 222192 D Common Stock 2016-12-07 4 S 0 72350 60.02 D 149842 D Common Stock 2970 I By 401(k) Plan Employee Stock Option (Right to Buy) 22.21 2016-12-07 4 M 0 72350 0 D 2013-02-23 2020-02-23 Common Stock 72350 0 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. Includes 2,748 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 $60.00 - 60.14, 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 2016-12-09