0001126328-17-000292.txt : 20171129 0001126328-17-000292.hdr.sgml : 20171129 20171129090243 ACCESSION NUMBER: 0001126328-17-000292 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171128 FILED AS OF DATE: 20171129 DATE AS OF CHANGE: 20171129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Houston Daniel Joseph CENTRAL INDEX KEY: 0001326278 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 171226940 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 2017-11-28 0001126328 PRINCIPAL FINANCIAL GROUP INC PFG 0001326278 Houston Daniel Joseph 711 HIGH STREET DES MOINES IA 50392 1 1 0 0 Chairman, President & CEO Common Stock 2017-11-28 4 M 0 37080 60.10 A 199720 D Common Stock 2017-11-28 4 S 0 37080 70.05 D 162640 D Common Stock 3054 I By 401(k) Plan Employee Stock Option (Right to Buy) 60.10 2017-11-28 4 M 0 37080 0 D 2011-02-26 2018-02-26 Common Stock 37080 0 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2015. Includes 3,258 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 $70.00 - $70.26, 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 2017-11-29