Filing Details
- Accession Number:
- 0001126328-13-000207
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-18 17:18:26
- Reporting Period:
- 2013-07-17
- Filing Date:
- 2013-07-18
- Accepted Time:
- 2013-07-18 17:18:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1326278 | Joseph Daniel Houston | 711 High Street Des Moines IA 50392 | Pres.-Ret., Ins. & Fin. Svcs. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-07-17 | 31,110 | $36.30 | 150,374 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-17 | 31,110 | $39.30 | 119,264 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-07-18 | 43,000 | $11.07 | 162,264 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-18 | 43,000 | $39.90 | 119,264 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-07-17 | 31,110 | $0.00 | 31,110 | $36.30 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2013-07-18 | 43,000 | $0.00 | 43,000 | $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 |
| 43,540 | 2012-02-24 | 2019-02-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,701 | Indirect | By 401(k) Plan |
Footnotes
- Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 22, 2013.
- Includes 7,832 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
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