-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Iaedu62qUEtaR/pje+XqB3KKdQjLr4yAdq2EVuSN965DI1/pSxVbPCbgMt+ivnbf 3N4J2bHpAFdwkD8dC5XpCw== 0000950131-03-000650.txt : 20030213 0000950131-03-000650.hdr.sgml : 20030213 20030213163714 ACCESSION NUMBER: 0000950131-03-000650 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78045 FILM NUMBER: 03560212 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 BUSINESS PHONE: 5152475111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHERN TRUST CORP CENTRAL INDEX KEY: 0000073124 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 362723087 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 50 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60675 BUSINESS PHONE: 3126306000 FORMER COMPANY: FORMER CONFORMED NAME: NORTRUST CORP DATE OF NAME CHANGE: 19780525 SC 13G/A 1 dsc13ga.txt SCHEDULE 13G/A Pg. 1 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Principal Financial Group ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $0.01 Par ------------------------------------------------------------------------------ (Title of Class of Securities) 74251V 10 2 ------------------------------------------------------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement[ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) - ------------------------------------ ------------------------------- CUSIP No. 74251V 10 2 13G Page 2 of 6 Pages ----------- ------- ------- - ------------------------------------ ------------------------------- - -------------------------------------------------------------------------------- Name of Reporting Person 1 S.S. or I.R.S. Identification No. of above person Northern Trust Corporation 36-2723087 The Northern Trust Company 36-1561860 Northern Trust Bank, NA 86-0377338 Northern Trust Bank of California, NA 94-2938925 Northern Trust Bank of Florida, NA 36-3190871 Northern Trust Bank of Texas, NA 75-1999849 Northern Trust Bank, FSB 38-3424562 Northern Trust Investments, Inc. 36-3608252 Northern Trust Company of Connecticut 06-6275604 - -------------------------------------------------------------------------------- Check the appropriate box if a member of a group 2 Not Applicable (a)[_] (b)[_] - -------------------------------------------------------------------------------- S.E.C. use only 3 - -------------------------------------------------------------------------------- Citizenship or place of organization 4 Northern Trust Corporation--a Delaware corporation with principal offices in Chicago, Illinois - -------------------------------------------------------------------------------- Sole Voting Power 5 Number of 2,806,545 ------------------------------------------------------ Shares Shared Voting Power Beneficially 6 owned by 1,356,674 ------------------------------------------------------ Each Sole Dispositive Power Reporting 7 Person 37,231,008 ------------------------------------------------------ With Shared Dispositive Power 8 499,034 - -------------------------------------------------------------------------------- Aggregate amount beneficially owned by each reporting person 9 37,983,944 - -------------------------------------------------------------------------------- Check box if the aggregate amount in Row (9) excludes certain shares. 10 Not Applicable - -------------------------------------------------------------------------------- Percent of class represented by amount in Row 9 11 11.27 - -------------------------------------------------------------------------------- Type of reporting person 12 Northern Trust Corporation HC - -------------------------------------------------------------------------------- Pg. 3 SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Check the following box if a fee is being paid with statement[ ]. 1. (a) Principal Financial Group ------------------------- (Name of Issuer) (b) 711 High Street, Des Moines, IA 50392 ------------------------------------- (Address of Issuer's Principal Executive Office) 2. (a) Northern Trust Corporation -------------------------- (Name of Person Filing) (b) 50 South LaSalle Street, Chicago, Illinois 60675 ------------------------------------------------ (Address of Person Filing) (c) U.S. (Delaware Corporation) --------------------------- (Citizenship) (d) Common Stock, $0.01 Par ----------------------- (Title of Class of Securities) (e) 74251V 10 2 ----------- (CUSIP Number) 3. This statement is being filed by Northern Trust Corporation as a Parent Holding Company in accordance with S240.13d-1(b)(1)(ii)(G). 4. (a) 37,983,944 ---------- (Amount Beneficially Owned) (b) 11.27 ----- (Percent of Class) (c) Number of shares as to which such person has: (i) 2,806,545 --------- (Sole Power to Vote or to Direct the Vote) (ii) 1,356,674 --------- (Shared Power to Vote or to Direct the Vote) (iii) 37,231,008 ---------- (Sole Power to Dispose or Direct Disposition) (iv) 499,034 ------- (Shared Power to Dispose or Direct Disposition) Pg. 4 5. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following: 6. Statement regarding ownership of 5 percent or more on behalf of another person: 7. Parent Holding Company reporting on behalf of the following subsidiaries, all of which are banks as defined in Section 3(a)(6)of the Act: ---------------------------------------------------------------------------- The Northern Trust Company Northern Trust Bank N.A. 50 South LaSalle Street 2398 East Camelback Road Chicago, IL 60675 Phoenix, AZ 85016 ---------------------------------------------------------------------------- Northern Trust Bank of Florida N.A. Northern Trust Bank of California N.A. 700 Brickell Avenue 355 South Grand Avenue, Suite 2600 Miami, FL 33131 Los Angeles, CA 90071 ---------------------------------------------------------------------------- Northern Trust Bank, FSB Northern Trust Investments, Inc. 40701 Woodward, Suite 110 50 South LaSalle Street Bloomfield Hills, Michigan 48304 Chicago, IL 60675 ---------------------------------------------------------------------------- Northern Trust Bank of Texas N.A Northern Trust Company of Connecticut 2020 Ross Avenue 300 Atlantic Street, Suite 400 Dallas, TX 75201 Stamford, CT 06901 ---------------------------------------------------------------------------- 8. Identification and Classification of Members of the Group. Not Applicable. 9. Notice of Dissolution of Group. Not Applicable. 10. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Pg. 5 After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. NORTHERN TRUST CORPORATION ____________________________ By: Perry R. Pero ------------- DATED: 02-07-2003 As its: Vice Chairman ---------- ------------- Pg. 6 EXHIBIT TO SCHEDULE 13G FILED BY NORTHERN TRUST CORPORATION Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549-1004 Attention: Filing Desk, Stop 1-4 RE: Principal Financial Group ------------------------- Pursuant to the requirement of 240.13d-1(k) (1) (iii), this exhibit shall constitute our written agreement that the Schedule 13G to which this exhibit is attached is filed on behalf of Northern Trust Corporation and of its subsidiary(ies), as stated below, regarding our respective beneficial ownership in the above-captioned equity security. NORTHERN TRUST CORPORATION __________________________ By: Perry R. Pero ------------- DATED: 02-07-2003 As its: Vice Chairman ---------- ------------- The NORTHERN TRUST COMPANY _______________________________ By: Perry R. Pero ------------- As its Vice Chairman ------------- NORTHERN TRUST BANK, NA NORTHERN TRUST BANK OF CALIFORNIA, NA NORTHERN TRUST BANK OF FLORIDA, NA NORTHERN TRUST BANK OF TEXAS, NA _______________________________ By: Quentin C. Johnson ------------------ As its Authorized Representative ------------------------- NORTHERN TRUST INVESTMENTS, INC. _______________________________ By: Orie L. Dudley -------------- As its Director -------- NORTHERN TRUST BANK, FSB _______________________________ By: Brian J. Hofmann ---------------- As its Authorized Representative ------------------------- NORTHERN TRUST COMPANY OF CONNECTICUT _______________________________ By: Trista Simoncek --------------- As its Authorized Representative ------------------------- -----END PRIVACY-ENHANCED MESSAGE-----