0001126328-14-000046.txt : 20140204
0001126328-14-000046.hdr.sgml : 20140204
20140204153422
ACCESSION NUMBER: 0001126328-14-000046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140203
FILED AS OF DATE: 20140204
DATE AS OF CHANGE: 20140204
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: MCCAUGHAN JAMES P
CENTRAL INDEX KEY: 0001196954
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16725
FILM NUMBER: 14571991
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392-0300
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-02-03
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
2014-02-03
4
M
0
14992
36.30
A
207661
D
Common Stock
2014-02-03
4
S
0
14992
42.91
D
192669
D
Common Stock
2014-02-03
4
M
0
6568
39.02
A
199237
D
Common Stock
2014-02-03
4
S
0
6568
42.90
D
192669
D
Common Stock
2014-02-03
4
M
0
5000
11.07
A
197669
D
Common Stock
2014-02-03
4
S
0
5000
42.91
D
192669
D
Common Stock
2014-02-03
4
M
0
5000
11.07
A
197669
D
Common Stock
2014-02-03
4
S
0
5000
42.91
D
192669
D
Employee Stock Option (Right to Buy)
36.30
2014-02-03
4
M
0
14992
0
D
2007-02-24
2014-02-24
Common Stock
14992
0
D
Employee Stock Option (Right to Buy)
39.02
2014-02-03
4
M
0
6568
0
D
2008-02-28
2015-02-28
Common Stock
6568
78819
D
Employee Stock Option (Right to Buy)
11.07
2014-02-03
4
M
0
10000
0
D
2012-02-24
2019-02-24
Common Stock
10000
138555
D
Pursuant to a 10b5-1 trading plan adopted by the reporting person on June 12, 2013.
Includes 8,196 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 $42.40 - $43.66, 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), (5), (6) and (7) to this Form 4.
Pursuant to a 10b5-1 trading plan adopted by the reporting person on November 7, 2013.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 - $43.60, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.41 - $43.68, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 - $42.63, inclusive.
Corrects prior mathematical error.
Patrick A. Kirchner, by Power of Attorney
2014-02-04