X0306 4 2016-01-04 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 2016-01-04 4 M 0 12000 11.07 A 267222 D Common Stock 2016-01-04 4 S 0 12000 43.70 D 255222 D Employee Stock Option (Right to Buy) 11.07 2016-01-04 4 M 0 12000 0 D 2012-02-24 2019-02-24 Common Stock 12000 15555 D Pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 20, 2015. Includes 9,692 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 $43.32 - $44.04, 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. Patrick A. Kirchner, by Power of Attorney 2016-01-05