Filing Details

Accession Number:
0001126328-18-000020
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-03 17:08:08
Reporting Period:
2017-12-29
Accepted Time:
2018-01-03 17:08:08
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
1565742 Mark Timothy Dunbar 711 High Street
Des Moines IA 50392
Evp & Chief Investment Officer 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 2018-01-02 6,400 $22.21 49,836 No 4 M Direct
Common Stock Disposition 2018-01-02 6,400 $70.14 43,436 No 4 S Direct
Common Stock Acquisiton 2018-01-02 10,000 $27.46 53,436 No 4 M Direct
Common Stock Disposition 2018-01-02 10,000 $70.29 43,436 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 Phantom Stock Units Acquisiton 2017-12-29 12 $70.56 12 $0.00
Common Stock Employee Stock Option (Right to Buy) Disposition 2018-01-02 6,400 $0.00 6,400 $22.21
Common Stock Employee Stock Option (Right to Buy) Disposition 2018-01-02 10,000 $0.00 10,000 $27.46
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
6,738 No 4 A Direct
0 2013-02-23 2020-02-23 No 4 M Direct
5,685 2015-02-27 2022-02-27 No 4 M Direct
Footnotes
  1. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017.
  2. Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
  3. Corrects previously reported inaccurate amount.
  4. 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.
  5. 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.
  6. The units convert to common stock on a one-for-one basis.
  7. 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.