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