0001126328-17-000215.txt : 20170908
0001126328-17-000215.hdr.sgml : 20170908
20170908153427
ACCESSION NUMBER: 0001126328-17-000215
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170905
FILED AS OF DATE: 20170908
DATE AS OF CHANGE: 20170908
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCCAUGHAN JAMES P
CENTRAL INDEX KEY: 0001196954
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16725
FILM NUMBER: 171076497
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392-0300
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
4/A
1
edgar.xml
PRIMARY DOCUMENT
X0306
4/A
2017-09-05
2017-09-06
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
2017-09-05
4
M
0
6039
60.10
A
201858
D
Common Stock
2017-09-05
4
S
0
6039
62.10
D
195819
D
Common Stock
2017-09-06
4
M
0
2914
60.10
A
198733
D
Common Stock
2017-09-06
4
S
0
2914
62.15
D
195819
D
Employee Stock Option (Right to Buy)
60.10
2017-09-05
4
M
0
6039
0
D
2011-02-26
2018-02-26
Common Stock
6039
9107
D
Employee Stock Option (Right to Buy)
60.10
2017-09-06
4
M
0
2914
0
D
2011-02-26
2018-02-26
Common Stock
2914
6139
D
Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017.
Corrects prior number of options and underlying shares reported.
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 $61.58 - $62.89, 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 $62.00 - $62.31, 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
2017-09-08