0001126328-13-000266.txt : 20131029 0001126328-13-000266.hdr.sgml : 20131029 20131029125227 ACCESSION NUMBER: 0001126328-13-000266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131025 FILED AS OF DATE: 20131029 DATE AS OF CHANGE: 20131029 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: 0224 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 BUSINESS PHONE: 5152475111 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ZIMPLEMAN LARRY D CENTRAL INDEX KEY: 0001166875 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 131175527 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-10-25 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001166875 ZIMPLEMAN LARRY D 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 Chairman, President & CEO Common Stock 2013-10-25 4 M 0 14278 39.02 A 222387 D Common Stock 2013-10-25 4 S 0 14278 47.14 D 208109 D Common Stock 2013-10-28 4 M 0 93907 39.02 A 302016 D Common Stock 2013-10-28 4 S 0 93907 47.09 D 208109 D Employee Stock Option (Right to Buy) 39.02 2013-10-25 4 M 0 14278 0 D 2008-02-28 2015-02-28 Common Stock 14278 93907 D Employee Stock Option (Right to Buy) 39.02 2013-10-28 4 M 0 93907 0 D 2008-02-28 2015-02-28 Common Stock 93907 0 D Pursuant to a 10b5-1 trading plan adopted by the reporting person on June 12, 2013. Includes 9,079 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 $47.02 - $47.93, 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 footnotes (3) and (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.02 - $47.21, inclusive. Joyce N. Hoffman, by Power of Attorney 2013-10-29