0001126328-17-000254.txt : 20171019 0001126328-17-000254.hdr.sgml : 20171019 20171019142253 ACCESSION NUMBER: 0001126328-17-000254 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171018 FILED AS OF DATE: 20171019 DATE AS OF CHANGE: 20171019 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: 171144336 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 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-10-18 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 2017-10-18 4 M 0 17082 34.26 A 102993 D Common Stock 2017-10-18 4 S 0 17082 68.00 D 85911 D Common Stock 2801 I By Spouse Common Stock 500 I By Immediate Family Member's IRA Employee Stock Option (Right to Buy) 34.26 2017-10-18 4 M 0 17082 0 D 2014-02-28 2021-02-28 Common Stock 17082 10588 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Patrick A. Kirchner, by Power of Attorney 2017-10-19