0001126328-16-000625.txt : 20161209
0001126328-16-000625.hdr.sgml : 20161209
20161209174511
ACCESSION NUMBER: 0001126328-16-000625
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161208
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: Lillis Terrance J.
CENTRAL INDEX KEY: 0001443238
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16725
FILM NUMBER: 162044888
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-12-08
0001126328
PRINCIPAL FINANCIAL GROUP INC
PFG
0001443238
Lillis Terrance J.
711 HIGH STREET
DES MOINES
IA
50392
0
1
0
0
EVP & Chief Financial Officer
Common Stock
2016-12-08
4
M
0
25655
34.26
A
125416
D
Common Stock
2016-12-08
4
S
0
25655
60.83
D
99761
D
Common Stock
2016-12-08
4
M
0
13505
56.52
A
113266
D
Common Stock
2016-12-08
4
S
0
13505
61.00
D
99761
D
Common Stock
2016-12-08
4
S
0
10000
60.82
D
89761
D
Common Stock
44
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
34.26
2016-12-08
4
M
0
25655
0
D
2014-02-28
2021-02-28
Common Stock
25655
0
D
Employee Stock Option (Right to Buy)
56.52
2016-12-08
4
M
0
13505
0
D
2011-05-19
2018-05-19
Common Stock
13505
0
D
Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2016.
Includes 11,348 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 $60.23 - $61.36, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.54 - $61.04, 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
2016-12-09