0001126328-18-000209.txt : 20180706 0001126328-18-000209.hdr.sgml : 20180706 20180706111948 ACCESSION NUMBER: 0001126328-18-000209 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180702 FILED AS OF DATE: 20180706 DATE AS OF CHANGE: 20180706 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: 18941990 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 2018-07-02 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 2018-07-02 4 M 0 10000 30.70 A 189329 D Common Stock 2018-07-02 4 S 0 10000 52.72 D 179329 D Common Stock 2018-07-02 4 S 0 10000 52.72 D 169329 D Employee Stock Option (Right to Buy) 30.70 2018-07-02 4 M 0 10000 0 D 2016-02-25 2023-02-25 Common Stock 10000 63630 D Phantom Stock Units 2018-06-29 4 A 0 202 52.95 D Common Stock 202 20770.2 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. Includes 11,089 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 $52.46 - $53.05, 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 units convert to common stock on a one-for-one basis. Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Patrick Kirchner, by Power of Attorney 2018-07-06