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
- Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 1, 2013.
- Includes 8,559 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- Pursuant to a 10b5-1 trading plan adopted by the reporting person on May 12, 2013.
- The units convert to common stock on a one-for-one basis.
- 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.