0001126328-17-000041.txt : 20170213 0001126328-17-000041.hdr.sgml : 20170213 20170213165202 ACCESSION NUMBER: 0001126328-17-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170209 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 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 BUSINESS PHONE: 5152475111 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAFF KAREN E CENTRAL INDEX KEY: 0001166872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 17600077 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-02-09 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001166872 SHAFF KAREN E 711 HIGH STREET DES MOINES IA 50392 0 1 1 0 EVP, Gen'l Counsel, Secretary Common Stock 2017-02-09 4 M 0 43410 22.21 A 124338 D Common Stock 2017-02-09 4 S 0 43410 60.04 D 80928 D Common Stock 2801 I By Spouse Common Stock 500 I By Immediate Family Member's IRA Employee Stock Option (Right to Buy) 22.21 2017-02-09 4 M 0 43410 0 D 2013-02-23 2020-02-23 Common Stock 43410 0 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. Includes 7,330 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 - $60.12, 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 2017-02-13