PFG

SEC source: 0001126328-17-000217 · edgar.xml · derivative · entry 6

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,093 shares

Expires 2018-02-26

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 May 5, 2017.

SEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 4

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $62.14 - $62.53, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 3

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,912

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000217 · edgar.xml · derivative · entry 5

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,093

Underlying: Common Stock · 100 shares

Expires 2018-02-26

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 May 5, 2017.

F4 · balance_after: Corrects previously inaccurate remaining amount.

SEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 2

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 1

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,919

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000216 · edgar.xml · derivative · entry 1

Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,594.5

Underlying: Common Stock · 5.8 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.

SEC source: 0001126328-17-000215 · edgar.xml · derivative · entry 6

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,139

Underlying: Common Stock · 2,914 shares

Expires 2018-02-26

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 May 5, 2017.

SEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 4

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $62.00 - $62.31, 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.

F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 3

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,733

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 May 5, 2017.

F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 15

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,350 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 May 5, 2017.

SEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 14

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,589 shares

Expires 2021-02-28

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 May 5, 2017.

SEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 13

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,841 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 May 5, 2017.

SEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 12

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,888 shares

Expires 2019-02-24

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 May 5, 2017.

SEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 11

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,146 shares

Expires 2018-02-26

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 May 5, 2017.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 10

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 9

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,169

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 8

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 7

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,407

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 6

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 5

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,660

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 4

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 3

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,707

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 2

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 1

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,965

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000215 · edgar.xml · derivative · entry 5

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,107

Underlying: Common Stock · 6,039 shares

Expires 2018-02-26

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 May 5, 2017.

SEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 2

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017.

F2 · shares: Corrects prior number of options and underlying shares reported.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.58 - $62.89, 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.

F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 1

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,858

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 May 5, 2017.

F2 · shares: Corrects prior number of options and underlying shares reported.

F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000213 · edgar.xml · derivative · entry 1

Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,588.7

Underlying: Common Stock · 5.6 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.

SEC source: 0001126328-17-000212 · edgar.xml · derivative · entry 1

Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,583.1

Underlying: Common Stock · 5.5 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.

SEC source: 0001126328-17-000205 · edgar.xml · derivative · entry 15

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,350

Underlying: Common Stock · 19,350 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 May 5, 2017.

SEC source: 0001126328-17-000205 · edgar.xml · derivative · entry 14

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,589

Underlying: Common Stock · 12,589 shares

Expires 2021-02-28

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 May 5, 2017.

SEC source: 0001126328-17-000205 · edgar.xml · derivative · entry 13

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,841

Underlying: Common Stock · 9,841 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 May 5, 2017.

SEC source: 0001126328-17-000205 · edgar.xml · derivative · entry 12

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,888

Underlying: Common Stock · 3,889 shares

Expires 2019-02-24

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 May 5, 2017.

SEC source: 0001126328-17-000205 · edgar.xml · derivative · entry 11

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,146

Underlying: Common Stock · 15,148 shares

Expires 2018-02-26

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 May 5, 2017.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 10

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $66.63 - $67.18, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 9

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,169

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 8

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $66.63 - $67.18, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 7

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,407

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 6

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $66.63 - $67.18, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 5

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,660

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 4

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $66.63 - $67.18, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 3

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,708

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 2

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,819

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $66.63 - $67.18, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000205 · edgar.xml · nonDerivative · entry 1

MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,967

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 May 5, 2017.

F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

SEC source: 0001126328-17-000203 · edgar.xml · derivative · entry 1

Mills Scott · CIK 0001559855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,977.8

Underlying: Common Stock · 22.4 shares

Expires not disclosed

F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F2 · derivative.exercise_date: 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.

F2 · 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.

SEC source: 0001126328-17-000204 · edgar.xml · derivative · entry 1

Tallett Elizabeth E · CIK 0001192460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,589.8

Underlying: Common Stock · 3.7 shares

Expires not disclosed

F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F2 · derivative.exercise_date: 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.

F2 · 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.

SEC source: 0001126328-17-000202 · edgar.xml · derivative · entry 1

HOCHSCHILD ROGER C · CIK 0001183833 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,307

Underlying: Common Stock · 29.8 shares

Expires not disclosed

F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F2 · derivative.exercise_date: 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.

F2 · 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.

SEC source: 0001126328-17-000201 · edgar.xml · derivative · entry 1

FERRO DENNIS H · CIK 0001244747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,037.9

Underlying: Common Stock · 7.5 shares

Expires not disclosed

F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F2 · 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.

F2 · 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.

SEC source: 0001126328-17-000200 · edgar.xml · derivative · entry 1

Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,577.6

Underlying: Common Stock · 5.2 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.