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Home > Insider Trading > Filing (0001126328-14-000046)

Filing Details

Accession Number:
0001126328-14-000046
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-04 15:34:22
Reporting Period:
2014-02-03
Filing Date:
2014-02-04
Accepted Time:
2014-02-04 15:34:22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1126328 Principal Financial Group Inc PFG Accident & Health Insurance (6321) 421520346
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1196954 P James Mccaughan 711 High Street
Des Moines IA 50392		 President - Global Asset Mgmt. No Yes No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-02-03 14,992 $36.30 207,661 No 4 M Direct
Common Stock Disposition 2014-02-03 14,992 $42.91 192,669 No 4 S Direct
Common Stock Acquisiton 2014-02-03 6,568 $39.02 199,237 No 4 M Direct
Common Stock Disposition 2014-02-03 6,568 $42.90 192,669 No 4 S Direct
Common Stock Acquisiton 2014-02-03 5,000 $11.07 197,669 No 4 M Direct
Common Stock Disposition 2014-02-03 5,000 $42.91 192,669 No 4 S Direct
Common Stock Acquisiton 2014-02-03 5,000 $11.07 197,669 No 4 M Direct
Common Stock Disposition 2014-02-03 5,000 $42.91 192,669 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Show Other Fields >>
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2014-02-03 14,992 $0.00 14,992 $36.30
Common Stock Employee Stock Option (Right to Buy) Disposition 2014-02-03 6,568 $0.00 6,568 $39.02
Common Stock Employee Stock Option (Right to Buy) Disposition 2014-02-03 10,000 $0.00 10,000 $11.07
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-02-24 2014-02-24 No 4 M Direct
78,819 2008-02-28 2015-02-28 No 4 M Direct
138,555 2012-02-24 2019-02-24 No 4 M Direct
Footnotes
  1. Pursuant to a 10b5-1 trading plan adopted by the reporting person on June 12, 2013.
  2. Includes 8,196 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 - $43.66, 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 footnotes (3), (5), (6) and (7) to this Form 4.
  4. Pursuant to a 10b5-1 trading plan adopted by the reporting person on November 7, 2013.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 - $43.60, inclusive.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.41 - $43.68, inclusive.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 - $42.63, inclusive.
  8. Corrects prior mathematical error.