Filing Details
- Accession Number:
- 0001126328-18-000020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-01-03 17:08:08
- Reporting Period:
- 2017-12-29
- Accepted Time:
- 2018-01-03 17:08:08
- 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 | 2018-01-02 | 6,400 | $22.21 | 49,836 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-02 | 6,400 | $70.14 | 43,436 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-01-02 | 10,000 | $27.46 | 53,436 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-02 | 10,000 | $70.29 | 43,436 | 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 | Phantom Stock Units | Acquisiton | 2017-12-29 | 12 | $70.56 | 12 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-01-02 | 6,400 | $0.00 | 6,400 | $22.21 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-01-02 | 10,000 | $0.00 | 10,000 | $27.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,738 | No | 4 | A | Direct | ||
| 0 | 2013-02-23 | 2020-02-23 | No | 4 | M | Direct |
| 5,685 | 2015-02-27 | 2022-02-27 | No | 4 | M | Direct |
Footnotes
- Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017.
- Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
- Corrects previously reported inaccurate amount.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.50 - $71.18, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 - $70.70, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- 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. Interests under the plan will be settled upon the reporting person's retirement or other termination of service.
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