0001126328-17-000262.txt : 20171020 0001126328-17-000262.hdr.sgml : 20171020 20171020172125 ACCESSION NUMBER: 0001126328-17-000262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171019 FILED AS OF DATE: 20171020 DATE AS OF CHANGE: 20171020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAFF KAREN E CENTRAL INDEX KEY: 0001166872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 171147705 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-10-19 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001166872 SHAFF KAREN E 711 HIGH STREET DES MOINES IA 50392 0 1 1 0 EVP, Gen'l Counsel, Secretary Common Stock 2017-10-19 4 M 0 10588 34.26 A 96499 D Common Stock 2017-10-19 4 S 0 10588 68.01 D 85911 D Common Stock 2801 I By Spouse Common Stock 500 I By Immediate Family Member's IRA Employee Stock Option (Right to Buy) 34.26 2017-10-19 4 M 0 10588 0 D 2014-02-28 2021-02-28 Common Stock 10588 0 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. Includes 8,109 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 $68.00 - $68.09, 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 2017-10-20