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Nasdaq · USD

PFG

PRINCIPAL FINANCIAL GROUP INC

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3209
SEC CIK
0001126328
Parsed reports
1,477

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
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202604
Feb 202610
Mar 202600
Apr 202604
May 202603
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 30, 2017 Filed Jul 5, 2017 20:05 UTC GrantPhantom Stock Units · Derivative 101.3 $64.07 $6,490.29
Disclosure

SEC source: 0001126328-17-000173 · edgar.xml · derivative · entry 3

DAN MICHAEL T · CIK 0001246392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,578.3

Underlying: Common Stock · 101.3 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
June 30, 2017 Filed Jul 5, 2017 20:05 UTC GrantCommon Stock 277 $0.00 $0.00
Disclosure

SEC source: 0001126328-17-000173 · edgar.xml · nonDerivative · entry 1

DAN MICHAEL T · CIK 0001246392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,756

F1 · price: Grant of restricted stock units.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 20:04 UTC GrantCommon Stock 310 $0.00 $0.00
Disclosure

SEC source: 0001126328-17-000172 · edgar.xml · nonDerivative · entry 1

CARTER MILLER JOYCELYN · CIK 0001166855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,577

F1 · price: Grant of restricted stock units.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 20:03 UTC GrantCommon Stock 295 $0.00 $0.00
Disclosure

SEC source: 0001126328-17-000171 · edgar.xml · nonDerivative · entry 1

BERNARD BETSY J · CIK 0001166854 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,993

F1 · price: Grant of restricted stock units.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 4,230 $0.00 Strike: $37.38 $0.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 10

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,460

Underlying: Common Stock · 4,230 shares

Expires 2026-02-22

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 22, 2017.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,835 $0.00 Strike: $44.88 $0.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 9

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,835 shares

Expires 2024-02-24

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 22, 2017.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,975 $0.00 Strike: $34.26 $0.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 8

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,975 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 22, 2017.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
SaleCommon Stock 14,667 $64.20 $941,621.40
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 7

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,731

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
SaleCommon Stock 4,230 $64.20 $271,566.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 6

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,398

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionCommon Stock 4,230 $37.38 $158,117.40
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 5

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,628

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 22, 2017.

F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
SaleCommon Stock 5,835 $64.20 $374,607.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 4

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,398

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionCommon Stock 5,835 $44.88 $261,874.80
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 3

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,233

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 22, 2017.

F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
SaleCommon Stock 5,975 $64.20 $383,595.00
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 2

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,398

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 21, 2017 Filed Jun 23, 2017 16:03 UTC
Elming Gregory BernardSVP & Chief Risk Officer
Exercise / conversionCommon Stock 5,975 $34.26 $204,703.50
Disclosure

SEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 1

Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,373

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 22, 2017.

F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 16, 2017 Filed Jun 19, 2017 19:31 UTC
Dunbar Timothy MarkEVP & Chief Investment Officer
GrantPhantom Stock Units · Derivative 5.4 $65.35 $352.89
Disclosure

SEC source: 0001126328-17-000162 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,514.8

Underlying: Common Stock · 5.4 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
June 15, 2017 Filed Jun 16, 2017 20:30 UTC
SCHOLTEN GARY PEVP & Ch Info Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 21,950 $0.00 Strike: $27.46 $0.00
Disclosure

SEC source: 0001126328-17-000161 · edgar.xml · derivative · entry 3

SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,950 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 16, 2017.

Read SEC document
June 15, 2017 Filed Jun 16, 2017 20:30 UTC
SCHOLTEN GARY PEVP & Ch Info Officer
SaleCommon Stock 21,950 $65.04 $1,427,628.00
Disclosure

SEC source: 0001126328-17-000161 · edgar.xml · nonDerivative · entry 2

SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,109

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 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 $65.00 - $65.15, 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 11,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 15, 2017 Filed Jun 16, 2017 20:30 UTC
SCHOLTEN GARY PEVP & Ch Info Officer
Exercise / conversionCommon Stock 21,950 $27.46 $602,747.00
Disclosure

SEC source: 0001126328-17-000161 · edgar.xml · nonDerivative · entry 1

SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,059

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 16, 2017.

F2 · balance_after: Includes 11,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 14, 2017 Filed Jun 16, 2017 18:07 UTC
STRABLE-SOETHOUT DEANNA DEVP & Chief Financial Officer
OtherPhantom Stock Units · Derivative 3,322 $65.36 $217,125.92
Disclosure

SEC source: 0001126328-17-000160 · edgar.xml · derivative · entry 4

STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 3,322 shares

Expires not disclosed

F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F5 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on May 15, 2017.

F4 · 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.

F4 · 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
June 14, 2017 Filed Jun 16, 2017 18:07 UTC
STRABLE-SOETHOUT DEANNA DEVP & Chief Financial Officer
OtherPhantom Stock Units · Derivative 2,844.8 $65.36 $185,936.13
Disclosure

SEC source: 0001126328-17-000160 · edgar.xml · derivative · entry 3

STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,844.8 shares

Expires not disclosed

F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis.

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2017.

F4 · 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.

F4 · 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
June 14, 2017 Filed Jun 16, 2017 18:07 UTC
STRABLE-SOETHOUT DEANNA DEVP & Chief Financial Officer
OtherCommon Stock 655 $64.71 $42,385.05
Disclosure

SEC source: 0001126328-17-000160 · edgar.xml · nonDerivative · entry 1

STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By 401(k) Plan

Disclosed balance after: 0

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2017.

Read SEC document
June 12, 2017 Filed Jun 13, 2017 21:14 UTC
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 38,105 $0.00 Strike: $27.46 $0.00
Disclosure

SEC source: 0001126328-17-000159 · edgar.xml · derivative · entry 5

SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,105 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 9, 2017.

Read SEC document
June 12, 2017 Filed Jun 13, 2017 21:14 UTC
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
SaleCommon Stock 38,105 $65.05 $2,478,730.25
Disclosure

SEC source: 0001126328-17-000159 · edgar.xml · nonDerivative · entry 2

SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,612

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 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 $65.00 - $65.31, 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.

F2 · balance_after: Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 12, 2017 Filed Jun 13, 2017 21:14 UTC
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
Exercise / conversionCommon Stock 38,105 $27.46 $1,046,363.30
Disclosure

SEC source: 0001126328-17-000159 · 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: 123,717

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 9, 2017.

F2 · balance_after: Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 06, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 5,000 $62.61 $313,050.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,527

F4 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 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 $62.36 - $62.82, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 19,350 $0.00 Strike: $27.46 $0.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,050

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 12,589 $0.00 Strike: $34.26 $0.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,766

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 9,842 $0.00 Strike: $22.21 $0.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,523

Underlying: Common Stock · 9,842 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 3,889 $0.00 Strike: $11.07 $0.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,666

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 15,148 $0.00 Strike: $60.10 $0.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,442

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 19,350 $63.61 $1,230,853.50
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,527

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 $63.21 - $64.04, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionCommon Stock 19,350 $27.46 $531,351.00
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,877

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 12,589 $63.61 $800,786.29
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,527

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 $63.21 - $64.04, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionCommon Stock 12,589 $34.26 $431,299.14
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,116

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 9,842 $63.61 $626,049.62
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,527

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 $63.21 - $64.04, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionCommon Stock 9,842 $22.21 $218,590.82
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,369

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 3,889 $63.61 $247,379.29
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,527

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 $63.21 - $64.04, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionCommon Stock 3,889 $11.07 $43,051.23
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,416

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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
SaleCommon Stock 15,148 $63.61 $963,564.28
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,527

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 $63.21 - $64.04, 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.

Read SEC document
June 05, 2017 Filed Jun 7, 2017 18:13 UTC
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
Exercise / conversionCommon Stock 15,148 $60.10 $910,394.80
Disclosure

SEC source: 0001126328-17-000158 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,675

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.

Read SEC document
June 02, 2017 Filed Jun 5, 2017 18:26 UTC
Everett Nora MaryPresident - RIS
SaleCommon Stock 8,700 $63.52 $552,624.00
Disclosure

SEC source: 0001126328-17-000151 · edgar.xml · nonDerivative · entry 1

Everett Nora Mary · CIK 0001636094 · President - RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,443

F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.43 - $63.81, 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 3,155 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 18:21 UTC GrantPhantom Stock Units · Derivative 60.6 $63.96 $3,875.98
Disclosure

SEC source: 0001126328-17-000157 · edgar.xml · derivative · entry 1

Tallett Elizabeth E · CIK 0001192460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,539.6

Underlying: Common Stock · 60.6 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 18:19 UTC GrantPhantom Stock Units · Derivative 789.6 $63.96 $50,502.82
Disclosure

SEC source: 0001126328-17-000155 · edgar.xml · derivative · entry 1

HOCHSCHILD ROGER C · CIK 0001183833 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,238.1

Underlying: Common Stock · 789.6 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 18:20 UTC
Mills ScottDirector
GrantPhantom Stock Units · Derivative 592.2 $63.96 $37,877.11
Disclosure

SEC source: 0001126328-17-000156 · edgar.xml · derivative · entry 1

Mills Scott · CIK 0001559855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,945.7

Underlying: Common Stock · 592.2 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 18:19 UTC GrantPhantom Stock Units · Derivative 453.4 $63.96 $28,999.46
Disclosure

SEC source: 0001126328-17-000154 · edgar.xml · derivative · entry 1

FERRO DENNIS H · CIK 0001244747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,898.1

Underlying: Common Stock · 453.4 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.

Read SEC document
June 02, 2017 Filed Jun 6, 2017 18:18 UTC GrantPhantom Stock Units · Derivative 371.3 $63.96 $23,748.35
Disclosure

SEC source: 0001126328-17-000153 · edgar.xml · derivative · entry 1

DAN MICHAEL T · CIK 0001246392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,477

Underlying: Common Stock · 371.3 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
May 19, 2017 Filed May 22, 2017 21:28 UTC GrantPhantom Stock Units · Derivative 4.1 $60.83 $249.40
Disclosure

SEC source: 0001126328-17-000149 · edgar.xml · derivative · entry 1

Tallett Elizabeth E · CIK 0001192460 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,479

Underlying: Common Stock · 4.1 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.

Read SEC document
May 19, 2017 Filed May 22, 2017 21:26 UTC
Mills ScottDirector
GrantPhantom Stock Units · Derivative 37 $60.83 $2,250.71
Disclosure

SEC source: 0001126328-17-000148 · edgar.xml · derivative · entry 1

Mills Scott · CIK 0001559855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353.6

Underlying: Common Stock · 37 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.

Read SEC document
May 19, 2017 Filed May 22, 2017 21:24 UTC GrantPhantom Stock Units · Derivative 49.3 $60.83 $2,998.92
Disclosure

SEC source: 0001126328-17-000147 · edgar.xml · derivative · entry 1

HOCHSCHILD ROGER C · CIK 0001183833 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,448.5

Underlying: Common Stock · 49.3 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
May 19, 2017 Filed May 22, 2017 21:23 UTC GrantPhantom Stock Units · Derivative 8.2 $60.83 $498.81
Disclosure

SEC source: 0001126328-17-000146 · edgar.xml · derivative · entry 1

FERRO DENNIS H · CIK 0001244747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,444.6

Underlying: Common Stock · 8.2 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

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.