Last 12 months
Inside the activity.
1 purchase rows · 12 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 4 |
| Feb 2026 | 1 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 4 |
| May 2026 | 0 | 3 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 26, 2018 Filed Feb 28, 2018 22:11 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
GrantCommon Stock | 16,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000104 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,430 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:10 UTC |
Friedrich Amy ChristinePresident - USIS
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 35,680 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000103 · edgar.xml · derivative · entry 3 Friedrich Amy Christine · CIK 0001707433 · President - USIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,680 Underlying: Common Stock · 35,680 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:10 UTC |
Friedrich Amy ChristinePresident - USIS
|
GrantCommon Stock | 1,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000103 · edgar.xml · nonDerivative · entry 1 Friedrich Amy Christine · CIK 0001707433 · President - USIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,893 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 4,515 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:10 UTC |
Everett Nora MaryPresident - RIS
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 41,325 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000102 · edgar.xml · derivative · entry 2 Everett Nora Mary · CIK 0001636094 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,325 Underlying: Common Stock · 41,325 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:10 UTC |
Everett Nora MaryPresident - RIS
|
GrantCommon Stock | 6,601 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000102 · edgar.xml · nonDerivative · entry 1 Everett Nora Mary · CIK 0001636094 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,004 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 2,486 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:09 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 40,340 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000101 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,340 Underlying: Common Stock · 40,340 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:09 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantCommon Stock | 6,841 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000101 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,614 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 3,863 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 23, 2018 Filed Feb 26, 2018 19:18 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 3.9 | $63.15 | $246.29 |
DisclosureSEC source: 0001126328-18-000099 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,752.8 Underlying: Common Stock · 3.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 09, 2018 Filed Feb 12, 2018 19:49 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 4 | $61.39 | $245.56 |
DisclosureSEC source: 0001126328-18-000075 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,748.9 Underlying: Common Stock · 4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 07, 2018 Filed Feb 8, 2018 19:38 UTC |
STRABLE-SOETHOUT DEANNA DEVP & Chief Financial Officer
|
GiftCommon Stock | 280 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000069 · edgar.xml · nonDerivative · entry 1 STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,930 F1 · balance_after: Includes 1,477 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 19:07 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 3.2 | $75.04 | $240.13 |
DisclosureSEC source: 0001126328-18-000033 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,744.9 Underlying: Common Stock · 3.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 16:37 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 3.3 | $74.21 | $244.89 |
DisclosureSEC source: 0001126328-18-000030 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,741.7 Underlying: Common Stock · 3.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 19,856 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,856 shares Expires 2023-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
SaleCommon Stock | 19,856 | $72.02 | $1,430,029.12 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,662 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 - $72.06, 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. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionCommon Stock | 19,856 | $30.70 | $609,579.20 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,518 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 24,310 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,310 shares Expires 2023-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
SaleCommon Stock | 24,310 | $71.59 | $1,740,352.90 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · nonDerivative · entry 2 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,894 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.37 - $71.91, 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. F2 · balance_after: Includes 12,497 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:15 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
Exercise / conversionCommon Stock | 24,310 | $30.70 | $746,317.00 |
DisclosureSEC source: 0001126328-18-000023 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,204 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2017. F2 · balance_after: Includes 12,497 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 69,894 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,856 Underlying: Common Stock · 69,894 shares Expires 2023-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
SaleCommon Stock | 69,894 | $72.01 | $5,033,066.94 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,662 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 - $72.03, 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. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionCommon Stock | 69,894 | $30.70 | $2,145,745.80 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,556 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 2017. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 7 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,685 Underlying: Common Stock · 10,000 shares Expires 2022-02-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,400 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 6 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,400 shares Expires 2020-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
SaleCommon Stock | 10,000 | $70.29 | $702,900.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 4 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,436 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F5 · price: 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. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionCommon Stock | 10,000 | $27.46 | $274,600.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,436 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
SaleCommon Stock | 6,400 | $70.14 | $448,896.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,436 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F4 · price: 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. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionCommon Stock | 6,400 | $22.21 | $142,144.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,836 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. F3 · balance_after: Corrects previously reported inaccurate amount. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:08 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 12.1 | $70.56 | $853.78 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 5 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,738.4 Underlying: Common Stock · 12.1 shares Expires not disclosed F6 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F7 · derivative.exercise_date: 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. F7 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:35 UTC |
Friedrich Amy ChristinePresident - USIS
|
GrantCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000013 · edgar.xml · nonDerivative · entry 1 Friedrich Amy Christine · CIK 0001707433 · President - USIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,399 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,369 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:43 UTC |
DAN MICHAEL TDirector
|
GrantPhantom Stock Units · Derivative | 100.8 | $71.39 | $7,196.11 |
DisclosureSEC source: 0001126328-18-000019 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,138.6 Underlying: Common Stock · 100.8 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:43 UTC |
DAN MICHAEL TDirector
|
GrantCommon Stock | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000019 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,307 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:32 UTC |
Nordin Diane CDirector
|
GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000008 · edgar.xml · nonDerivative · entry 1 Nordin Diane C · CIK 0001369224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,089 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:39 UTC |
STRABLE-SOETHOUT DEANNA DEVP & Chief Financial Officer
|
GrantCommon Stock | 80 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000018 · edgar.xml · nonDerivative · entry 2 STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 39,404 F2 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:38 UTC |
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
|
GrantCommon Stock | 88 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000017 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,049 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,165 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:37 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
GrantPhantom Stock Units · Derivative | 8.9 | $71.39 | $635.37 |
DisclosureSEC source: 0001126328-18-000016 · edgar.xml · derivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,301.4 Underlying: Common Stock · 8.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:36 UTC |
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
|
GrantPhanton Stock Units · Derivative | 139 | $71.39 | $9,923.21 |
DisclosureSEC source: 0001126328-18-000015 · edgar.xml · derivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,397.4 Underlying: Common Stock · 139 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:36 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
GrantPhantom Stock Units · Derivative | 9.7 | $71.39 | $692.48 |
DisclosureSEC source: 0001126328-18-000014 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,419.9 Underlying: Common Stock · 9.7 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:35 UTC |
Elming Gregory BernardSVP & Chief Risk Officer
|
GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000012 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,843 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,681 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:34 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 45.8 | $71.39 | $3,269.66 |
DisclosureSEC source: 0001126328-18-000011 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,726.3 Underlying: Common Stock · 45.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:33 UTC |
Tallett Elizabeth EDirector
|
GrantPhantom Stock Units · Derivative | 45.7 | $71.39 | $3,262.52 |
DisclosureSEC source: 0001126328-18-000010 · edgar.xml · derivative · entry 2 Tallett Elizabeth E · CIK 0001192460 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,760.9 Underlying: Common Stock · 45.7 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:33 UTC |
Tallett Elizabeth EDirector
|
GrantCommon Stock | 317 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000010 · edgar.xml · nonDerivative · entry 1 Tallett Elizabeth E · CIK 0001192460 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,578 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:33 UTC |
Pickerell BlairDirector
|
GrantCommon Stock | 49 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000009 · edgar.xml · nonDerivative · entry 1 Pickerell Blair · CIK 0001315141 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,172 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC |
Mills ScottDirector
|
GrantPhantom Stock Units · Derivative | 14.1 | $71.39 | $1,006.60 |
DisclosureSEC source: 0001126328-18-000007 · edgar.xml · derivative · entry 2 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,623.2 Underlying: Common Stock · 14.1 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC |
Mills ScottDirector
|
GrantCommon Stock | 31 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000007 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,524 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC |
HOCHSCHILD ROGER CDirector
|
GrantPhantom Stock Units · Derivative | 44.2 | $71.39 | $3,155.44 |
DisclosureSEC source: 0001126328-18-000006 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,235.7 Underlying: Common Stock · 44.2 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC |
HOCHSCHILD ROGER CDirector
|
GrantCommon Stock | 57 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000006 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:30 UTC |
HELTON SANDRA LDirector
|
GrantCommon Stock | 286 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000005 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,040 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:29 UTC |
GELATT DANIELDirector · 10% owner
|
GrantCommon Stock | 321 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000004 · edgar.xml · nonDerivative · entry 1 GELATT DANIEL · CIK 0001166856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,597 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:28 UTC |
FERRO DENNIS HDirector
|
GrantPhantom Stock Units · Derivative | 131.9 | $71.39 | $9,416.34 |
DisclosureSEC source: 0001126328-18-000003 · edgar.xml · derivative · entry 2 FERRO DENNIS H · CIK 0001244747 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,805.8 Underlying: Common Stock · 131.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:28 UTC |
FERRO DENNIS HDirector
|
GrantCommon Stock | 177 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000003 · edgar.xml · nonDerivative · entry 1 FERRO DENNIS H · CIK 0001244747 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,010 F1 · price: Grant of restricted stock units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.