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 |
|---|---|---|---|---|---|---|
| December 07, 2016 Filed Dec 8, 2016 21:42 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
Exercise / conversionCommon Stock | 17,725 | $22.21 | $393,672.25 |
DisclosureSEC source: 0001126328-16-000623 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,375 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 12, 2015. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 9, 2016 14:56 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 72,350 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-16-000624 · 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 · 72,350 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 10, 2016. Read SEC document |
| December 07, 2016 Filed Dec 9, 2016 14:56 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
SaleCommon Stock | 72,350 | $60.02 | $4,342,447.00 |
DisclosureSEC source: 0001126328-16-000624 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,842 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.00 - 60.14, 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 2,748 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 9, 2016 14:56 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
Exercise / conversionCommon Stock | 72,350 | $22.21 | $1,606,893.50 |
DisclosureSEC source: 0001126328-16-000624 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,192 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 10, 2016. F2 · balance_after: Includes 2,748 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 22:01 UTC |
HOCHSCHILD ROGER CDirector
|
GrantPhantom Stock Units · Derivative | 849.9 | $59.42 | $50,501.06 |
DisclosureSEC source: 0001126328-16-000621 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,199.3 Underlying: Common Stock · 849.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: 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 |
| December 06, 2016 Filed Dec 7, 2016 22:01 UTC |
Mills ScottDirector
|
GrantPhantom Stock Units · Derivative | 637.4 | $59.42 | $37,874.31 |
DisclosureSEC source: 0001126328-16-000622 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,205.7 Underlying: Common Stock · 637.4 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 |
| December 06, 2016 Filed Dec 7, 2016 22:00 UTC |
Tallett Elizabeth EDirector
|
GrantPhantom Stock Units · Derivative | 65.2 | $59.42 | $3,874.18 |
DisclosureSEC source: 0001126328-16-000620 · edgar.xml · derivative · entry 1 Tallett Elizabeth E · CIK 0001192460 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,363 Underlying: Common Stock · 65.2 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 |
| December 06, 2016 Filed Dec 7, 2016 22:00 UTC |
FERRO DENNIS HDirector
|
GrantPhantom Stock Units · Derivative | 488.1 | $59.42 | $29,002.90 |
DisclosureSEC source: 0001126328-16-000619 · edgar.xml · derivative · entry 1 FERRO DENNIS H · CIK 0001244747 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,145 Underlying: Common Stock · 488.1 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 |
| December 06, 2016 Filed Dec 7, 2016 21:59 UTC |
DAN MICHAEL TDirector
|
GrantPhantom Stock Units · Derivative | 399.7 | $59.42 | $23,750.17 |
DisclosureSEC source: 0001126328-16-000618 · edgar.xml · derivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,906.9 Underlying: Common Stock · 399.7 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. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
SaleCommon Stock | 20,009 | $58.74 | $1,175,328.66 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 5 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,179 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
SaleCommon Stock | 53,685 | $58.74 | $3,153,456.90 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 4 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,188 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
Exercise / conversionCommon Stock | 53,685 | $30.70 | $1,648,129.50 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,873 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 4, 2016. F2 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
SaleCommon Stock | 18,390 | $58.74 | $1,080,228.60 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,188 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
Exercise / conversionCommon Stock | 18,390 | $34.26 | $630,041.40 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,578 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 4, 2016. F2 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 13, 2016 20:35 UTC Amendment |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 53,685 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-16-000627 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 53,685 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 4, 2016. F2 · kind: This report supplements a prior Form 4 filed December 6, 2016 which inadvertently ommitted corresponding Table II information. Read SEC document |
| December 05, 2016 Filed Dec 13, 2016 20:35 UTC Amendment |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 18,390 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-16-000627 · edgar.xml · derivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,390 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 November 4, 2016. F2 · kind: This report supplements a prior Form 4 filed December 6, 2016 which inadvertently ommitted corresponding Table II information. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 22:35 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 7.2 | $57.78 | $416.02 |
DisclosureSEC source: 0001126328-16-000614 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,116.5 Underlying: Common Stock · 7.2 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 |
| November 18, 2016 Filed Nov 21, 2016 22:21 UTC |
HOCHSCHILD ROGER CDirector
|
GrantPhantom Stock Units · Derivative | 34.7 | $57.66 | $2,000.80 |
DisclosureSEC source: 0001126328-16-000609 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,349.4 Underlying: Common Stock · 34.7 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. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 22:22 UTC |
Mills ScottDirector
|
GrantPhantom Stock Units · Derivative | 52 | $57.66 | $2,998.32 |
DisclosureSEC source: 0001126328-16-000610 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 568.2 Underlying: Common Stock · 52 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 |
| November 18, 2016 Filed Nov 21, 2016 22:37 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 7.2 | $57.66 | $415.15 |
DisclosureSEC source: 0001126328-16-000611 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,109.3 Underlying: Common Stock · 7.2 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 |
| November 18, 2016 Filed Nov 21, 2016 22:20 UTC |
FERRO DENNIS HDirector
|
GrantPhantom Stock Units · Derivative | 34.7 | $57.66 | $2,000.80 |
DisclosureSEC source: 0001126328-16-000608 · edgar.xml · derivative · entry 1 FERRO DENNIS H · CIK 0001244747 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,656.9 Underlying: Common Stock · 34.7 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. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 22:19 UTC |
Tallett Elizabeth EDirector
|
GrantPhantom Stock Units · Derivative | 8.7 | $57.66 | $501.64 |
DisclosureSEC source: 0001126328-16-000607 · edgar.xml · derivative · entry 1 Tallett Elizabeth E · CIK 0001192460 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,297.8 Underlying: Common Stock · 8.7 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. Read SEC document |
| November 16, 2016 Filed Dec 13, 2016 20:37 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000629 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,185 F1 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 22:41 UTC |
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
|
GiftCommon Stock | 701 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000605 · 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: 80,783 F1 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:58 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
SaleCommon Stock | 13,000 | $58.00 | $754,000.00 |
DisclosureSEC source: 0001126328-16-000601 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,650 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 10, 2016 Filed Dec 13, 2016 20:40 UTC |
HELTON SANDRA LDirector
|
GiftCommon Stock | 4,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000632 · edgar.xml · nonDerivative · entry 1 HELTON SANDRA L · CIK 0001166857 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,408 Read SEC document |
| November 04, 2016 Filed Nov 4, 2016 20:44 UTC |
Lillis TerranceEVP & Chief Financial Officer
|
GiftCommon Stock | 800 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000591 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,761 F1 · balance_after: Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Oct 28, 2016 21:35 UTC |
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
|
SaleCommon Stock | 12,832 | $55.00 | $705,760.00 |
DisclosureSEC source: 0001126328-16-000589 · 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: 81,484 F1 · kind: Pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 3, 2016. F2 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,704 | $0.00 Strike: $11.07 | $0.00 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · derivative · entry 4 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,704 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 November 23, 2015. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
SaleCommon Stock | 6,704 | $55.00 | $368,720.00 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · nonDerivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,185 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
Exercise / conversionCommon Stock | 6,704 | $11.07 | $74,213.28 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,889 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 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 19:44 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 7.9 | $52.62 | $415.70 |
DisclosureSEC source: 0001126328-16-000586 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,094.3 Underlying: Common Stock · 7.9 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 |
| October 21, 2016 Filed Nov 8, 2016 17:58 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 7.9 | $52.62 | $415.70 |
DisclosureSEC source: 0001126328-16-000592 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,094.3 Underlying: Common Stock · 7.9 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 |
| October 07, 2016 Filed Oct 11, 2016 14:54 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
GrantPhantom Stock Units · Derivative | 7.9 | $52.26 | $412.85 |
DisclosureSEC source: 0001126328-16-000583 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,086.4 Underlying: Common Stock · 7.9 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 |
| October 07, 2016 Filed Oct 11, 2016 14:53 UTC |
Tallett Elizabeth EDirector
|
GrantPhantom Stock Units · Derivative | 4.8 | $52.26 | $250.85 |
DisclosureSEC source: 0001126328-16-000582 · edgar.xml · derivative · entry 1 Tallett Elizabeth E · CIK 0001192460 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,289.1 Underlying: Common Stock · 4.8 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. Read SEC document |
| October 07, 2016 Filed Oct 11, 2016 14:53 UTC |
HOCHSCHILD ROGER CDirector
|
GrantPhantom Stock Units · Derivative | 19.1 | $52.26 | $998.17 |
DisclosureSEC source: 0001126328-16-000581 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,314.7 Underlying: Common Stock · 19.1 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 |
| October 05, 2016 Filed Oct 6, 2016 14:51 UTC |
Dunbar Timothy MarkEVP & Chief Investment Officer
|
SaleCommon Stock | 5,000 | $52.00 | $260,000.00 |
DisclosureSEC source: 0001126328-16-000580 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,185 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:55 UTC |
SHAFF KAREN EEVP, Gen'l Counsel, Secretary · 10% owner
|
GrantCommon Stock | 98 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000577 · 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: 94,316 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 21:38 UTC |
STRABLE-SOETHOUT DEANNA DPresident - US Ins. Solutions
|
GrantPhantom Stock Units · Derivative | 25.9 | $51.51 | $1,334.11 |
DisclosureSEC source: 0001126328-16-000579 · edgar.xml · derivative · entry 3 STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · President - US Ins. Solutions 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,274.5 Underlying: Common Stock · 25.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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. F3 · 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 |
| September 30, 2016 Filed Oct 4, 2016 21:38 UTC |
STRABLE-SOETHOUT DEANNA DPresident - US Ins. Solutions
|
GrantPhantom Stock Units · Derivative | 22.1 | $51.51 | $1,138.37 |
DisclosureSEC source: 0001126328-16-000579 · edgar.xml · derivative · entry 2 STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · President - US Ins. Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,804.1 Underlying: Common Stock · 22.1 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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. F3 · 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 |
| September 30, 2016 Filed Oct 4, 2016 21:38 UTC |
STRABLE-SOETHOUT DEANNA DPresident - US Ins. Solutions
|
GrantCommon Stock | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000579 · edgar.xml · nonDerivative · entry 1 STRABLE-SOETHOUT DEANNA D · CIK 0001278726 · President - US Ins. Solutions 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 36,759 F1 · price: Grant of restricted stock units. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:56 UTC |
Valdes Luis E.Pres - Int'l Asset Mgmt&Accum
|
GrantCommon Stock | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000578 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,188 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
GrantPhantom Stock Units · Derivative | 9.9 | $51.51 | $509.95 |
DisclosureSEC source: 0001126328-16-000576 · edgar.xml · derivative · entry 4 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,255.8 Underlying: Common Stock · 9.9 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. 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 |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC |
SCHOLTEN GARY PEVP & Ch Info Officer
|
GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000576 · edgar.xml · nonDerivative · entry 1 SCHOLTEN GARY P · CIK 0001205451 · EVP & Ch Info Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,650 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC |
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
|
GrantPhantom Stock Units · Derivative | 155.4 | $51.51 | $8,004.65 |
DisclosureSEC source: 0001126328-16-000575 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,682.6 Underlying: Common Stock · 155.4 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. 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 |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC |
MCCAUGHAN JAMES PPresident - Global Asset Mgmt.
|
GrantCommon Stock | 312 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000575 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,861 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,264 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:47 UTC |
Lillis TerranceEVP & Chief Financial Officer
|
GrantPhantom Stock Units · Derivative | 1.3 | $51.51 | $66.96 |
DisclosureSEC source: 0001126328-16-000574 · edgar.xml · derivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162.8 Underlying: Commom Stock · 1.3 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. 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 |
| September 30, 2016 Filed Oct 4, 2016 20:47 UTC |
Lillis TerranceEVP & Chief Financial Officer
|
GrantCommon Stock | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000574 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,561 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:46 UTC |
Houston Daniel JosephDirector · Chairman, President & CEO
|
GrantPhantom Stock Units · Derivative | 10.8 | $51.51 | $556.31 |
DisclosureSEC source: 0001126328-16-000573 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,370.1 Underlying: Common Stock · 10.8 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 |
| September 30, 2016 Filed Oct 4, 2016 20:45 UTC |
Everett Nora MaryPresident - RIS
|
GrantCommon Stock | 155 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000572 · edgar.xml · nonDerivative · entry 1 Everett Nora Mary · CIK 0001636094 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,161 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 3,110 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. F3 · balance_after: Corrects inadvertent transpositional error from prior report. 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.