Filing Details

Accession Number:
0001126328-17-000116
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-05-01 15:55:37
Reporting Period:
2017-04-27
Filing Date:
2017-05-01
Accepted Time:
2017-05-01 15:55:37
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 2017-04-27 19,905 $60.10 64,442 No 4 M Direct
Common Stock Disposition 2017-04-27 19,905 $65.00 44,537 No 4 S Direct
Common Stock Acquisiton 2017-04-27 5,000 $22.21 49,537 No 4 M Direct
Common Stock Disposition 2017-04-27 5,000 $65.00 44,537 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 Employee Stock Option (Right to Buy) Disposition 2017-04-27 19,905 $0.00 19,905 $60.10
Common Stock Employee Stock Option (Right to Buy) Disposition 2017-04-27 5,000 $0.00 5,000 $22.21
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2011-02-26 2018-02-26 No 4 M Direct
6,400 2013-02-23 2020-02-23 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 114 Indirect By Spouse
Footnotes
  1. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016.
  2. Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.