0001126328-18-000020.txt : 20180103
0001126328-18-000020.hdr.sgml : 20180103
20180103170808
ACCESSION NUMBER: 0001126328-18-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171229
FILED AS OF DATE: 20180103
DATE AS OF CHANGE: 20180103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dunbar Timothy Mark
CENTRAL INDEX KEY: 0001565742
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16725
FILM NUMBER: 18506539
MAIL ADDRESS:
STREET 1: 711 HIGH STREET
CITY: DES MOINES
STATE: IA
ZIP: 50392
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
2017-12-29
0001126328
PRINCIPAL FINANCIAL GROUP INC
PFG
0001565742
Dunbar Timothy Mark
711 HIGH STREET
DES MOINES
IA
50392
0
1
0
0
EVP & Chief Investment Officer
Common Stock
2018-01-02
4
M
0
6400
22.21
A
49836
D
Common Stock
2018-01-02
4
S
0
6400
70.14
D
43436
D
Common Stock
2018-01-02
4
M
0
10000
27.46
A
53436
D
Common Stock
2018-01-02
4
S
0
10000
70.29
D
43436
D
Phantom Stock Units
2017-12-29
4
A
0
12.1
70.56
A
Common Stock
12.1
6738.4
D
Employee Stock Option (Right to Buy)
22.21
2018-01-02
4
M
0
6400
0
D
2013-02-23
2020-02-23
Common Stock
6400
0
D
Employee Stock Option (Right to Buy)
27.46
2018-01-02
4
M
0
10000
0
D
2015-02-27
2022-02-27
Common Stock
10000
5685
D
Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017.
Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
Corrects previously reported inaccurate amount.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.50 - $71.18, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 - $70.70, 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.
The units convert to common stock on a one-for-one basis.
Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.
Patrick A. Kirchner, by Power of Attorney
2018-01-03