X0306 4 2018-01-05 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 2018-01-05 4 M 0 69894 30.70 A 232556 D Common Stock 2018-01-05 4 S 0 69894 72.01 D 162662 D Common Stock 3074 I By 401(k) Plan Employee Stock Option (Right to Buy) 30.70 2018-01-05 4 M 0 69894 0 D 2016-02-25 2023-02-25 Common Stock 69894 19856 D Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. Includes 3,280 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 $72.00 - $72.03, 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 2018-01-08