Filing Details

Accession Number:
0001126328-13-000211
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-24 16:26:20
Reporting Period:
2013-07-22
Filing Date:
2013-07-24
Accepted Time:
2013-07-24 16:26:20
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
1166872 E Karen Shaff 711 High Street
Des Moines IA 50392
Exec. Vp And General Counsel 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 2013-07-22 36,530 $36.30 100,860 No 4 M Direct
Common Stock Disposition 2013-07-22 36,530 $40.50 64,330 No 4 S Direct
Common Stock Disposition 2013-07-23 5,793 $40.53 620 No 4 I Indirect By 401(k) Plan
Common Stock Disposition 2013-07-23 620 $41.53 0 No 4 I Indirect By 401(k) Plan
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 I Indirect By 401(k) Plan
No 4 I Indirect By 401(k) Plan
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 2013-07-22 36,530 $0.00 36,530 $36.30
Common Stock Phantom Stock Units Disposition 2013-07-23 2,495 $40.41 2,495 $0.00
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
0 No 4 I Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,801 Indirect By Spouse
Common Stock 500 Indirect By Immediate Family Member's IRA
Footnotes
  1. Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 1, 2013.
  2. Includes 8,559 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
  3. Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 12, 2013.
  4. The units convert to common stock on a one-for-one basis.
  5. 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.