Filing Details
- Accession Number:
- 0001126328-14-000171
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-23 17:23:38
- Reporting Period:
- 2014-06-20
- Filing Date:
- 2014-06-23
- Accepted Time:
- 2014-06-23 17:23:38
- 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 | 2014-06-20 | 6,000 | $11.07 | 47,849 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-06-20 | 6,000 | $50.00 | 41,849 | 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 | 2014-06-20 | 6,000 | $0.00 | 6,000 | $11.07 |
Common Stock | Phantom Stock Units | Acquisiton | 2014-06-20 | 6 | $50.37 | 6 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
6,704 | 2012-02-24 | 2019-02-24 | No | 4 | M | Direct |
4,749 | No | 4 | A | Direct |
Footnotes
- Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2013.
- Includes 3,883 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- Security converts 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. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.