0001126328-17-000163.txt : 20170623 0001126328-17-000163.hdr.sgml : 20170623 20170623120308 ACCESSION NUMBER: 0001126328-17-000163 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170621 FILED AS OF DATE: 20170623 DATE AS OF CHANGE: 20170623 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Elming Gregory Bernard CENTRAL INDEX KEY: 0001516394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 17926912 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-06-21 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001516394 Elming Gregory Bernard 711 HIGH STREET DES MOINES IA 50392 0 1 0 0 SVP & Chief Risk Officer Common Stock 2017-06-21 4 M 0 5975 34.26 A 41373 D Common Stock 2017-06-21 4 S 0 5975 64.20 D 35398 D Common Stock 2017-06-21 4 M 0 5835 44.88 A 41233 D Common Stock 2017-06-21 4 S 0 5835 64.20 D 35398 D Common Stock 2017-06-21 4 M 0 4230 37.38 A 39628 D Common Stock 2017-06-21 4 S 0 4230 64.20 D 35398 D Common Stock 2017-06-21 4 S 0 14667 64.20 D 20731 D Employee Stock Option (Right to Buy) 34.26 2017-06-21 4 M 0 5975 0 D 2014-02-28 2021-02-28 Common Stock 5975 0 D Employee Stock Option (Right to Buy) 44.88 2017-06-21 4 M 0 5835 0 D 2017-02-24 2024-02-24 Common Stock 5835 0 D Employee Stock Option (Right to Buy) 37.38 2017-06-21 4 M 0 4230 0 D 2017-02-22 2026-02-22 Common Stock 4230 8460 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 2017. Includes 1,646 shares held in 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 $63.80 - $64.97, 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. Clint Woods, by Power of Attorney 2017-06-23