Filing Details
- Accession Number:
- 0001126328-13-000023
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-04 16:52:47
- Reporting Period:
- 2013-01-02
- Filing Date:
- 2013-01-04
- Accepted Time:
- 2013-01-04 16:52:47
- 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 |
---|---|---|---|---|---|---|---|
1205451 | P Gary Scholten | 711 High Street Des Moines IA 50392 | Sr Vp & Ch Info 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 | 2013-01-02 | 18,220 | $27.57 | 44,604 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-01-02 | 18,220 | $28.95 | 26,384 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 2013-01-02 | 18,220 | $0.00 | 18,220 | $27.57 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2006-02-25 | 2013-02-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 579 | Indirect | By 401(k) Plan |
Common Stock | 192 | Indirect | By Spouse |
Footnotes
- Pursuant to 10b5-1 plan adopted February 24, 2012.
- Includes 8,144 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.76 to $29.21. The reporting person undertakes to provide Principal Financial Group security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the range set forth within the footnote.