0001126328-17-000158.txt : 20170607 0001126328-17-000158.hdr.sgml : 20170607 20170607141322 ACCESSION NUMBER: 0001126328-17-000158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170605 FILED AS OF DATE: 20170607 DATE AS OF CHANGE: 20170607 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: MCCAUGHAN JAMES P CENTRAL INDEX KEY: 0001196954 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 17896911 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-06-05 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 2017-06-05 4 M 0 15148 60.10 A 215675 D Common Stock 2017-06-05 4 S 0 15148 63.61 D 200527 D Common Stock 2017-06-05 4 M 0 3889 11.07 A 204416 D Common Stock 2017-06-05 4 S 0 3889 63.61 D 200527 D Common Stock 2017-06-05 4 M 0 9842 22.21 A 210369 D Common Stock 2017-06-05 4 S 0 9842 63.61 D 200527 D Common Stock 2017-06-05 4 M 0 12589 34.26 A 213116 D Common Stock 2017-06-05 4 S 0 12589 63.61 D 200527 D Common Stock 2017-06-05 4 M 0 19350 27.46 A 219877 D Common Stock 2017-06-05 4 S 0 19350 63.61 D 200527 D Common Stock 2017-06-06 4 S 0 5000 62.61 D 195527 D Employee Stock Option (Right to Buy) 60.10 2017-06-05 4 M 0 15148 0 D 2011-02-26 2018-02-26 Common Stock 15148 45442 D Employee Stock Option (Right to Buy) 11.07 2017-06-05 4 M 0 3889 0 D 2012-02-24 2019-02-24 Common Stock 3889 11666 D Employee Stock Option (Right to Buy) 22.21 2017-06-05 4 M 0 9842 0 D 2013-02-23 2020-02-23 Common Stock 9842 29523 D Employee Stock Option (Right to Buy) 34.26 2017-06-05 4 M 0 12589 0 D 2014-02-28 2021-02-28 Common Stock 12589 37766 D Employee Stock Option (Right to Buy) 27.46 2017-06-05 4 M 0 19350 0 D 2015-02-27 2022-02-27 Common Stock 19350 58050 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017. Includes 10,273 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 $63.21 - $64.04, 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. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2017. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.36 - $62.82, 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 2017-06-07