Filing Details

Accession Number:
0001126328-17-000260
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-10-20 17:19:52
Reporting Period:
2017-10-19
Accepted Time:
2017-10-20 17:19:52
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
Chairman, President & Ceo Yes 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 2017-10-19 12,103 $34.26 174,743 No 4 M Direct
Common Stock Disposition 2017-10-19 12,103 $68.04 162,640 No 4 S Direct
Common Stock Acquisiton 2017-10-19 81,865 $27.46 244,505 No 4 M Direct
Common Stock Disposition 2017-10-19 81,865 $68.04 162,640 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 2017-10-19 12,103 $0.00 12,103 $34.26
Common Stock Employee Stock Option (Right to Buy) Disposition 2017-10-19 81,865 $0.00 81,865 $27.46
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-02-28 2021-02-28 No 4 M Direct
0 2015-02-27 2022-02-27 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,054 Indirect By 401(k) Plan
Footnotes
  1. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2017.
  2. Includes 3,258 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 $68.00 - $68.14, 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.