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Principal Financial Group INCFORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5OMB APPROVALOMB Number:
3235-0287
Estimated average burden
hours per response:
0.5OMB Number:3235-0287Estimated average burdenhours per response:Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).1. Name and Address of Reporting Person*STRABLE-SOETHOUT DEANNA D
(Last)
(First)
(Middle)
711 HIGH STREET
(Street)
DES MOINES
IA
50392
(City)
(State)
(Zip)STRABLE-SOETHOUT DEANNA D(Last)(First)(Middle)711 HIGH STREETDES MOINESIA(City)(State)(Zip)2. Issuer Name and Ticker or Trading Symbol
PRINCIPAL FINANCIAL GROUP INC
[ PFG ]5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
EVP & Chief Financial OfficerDirector10% OwnerXOfficer (give title below)Other (specify below)EVP & Chief Financial Officer3. Date of Earliest Transaction
(Month/Day/Year)
06/14/20174. If Amendment, Date of Original Filed
(Month/Day/Year)6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting PersonForm filed by One Reporting PersonForm filed by More than One Reporting PersonTable I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned1. Title of Security (Instr.
3)2. Transaction Date
(Month/Day/Year)2A. Deemed Execution Date, if any
(Month/Day/Year)3. Transaction Code (Instr.
8)4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)7. Nature of Indirect Beneficial Ownership (Instr.
4)CodeVAmount(A) or (D)PriceCommon Stock06/14/2017I(1)DIBy 401(k) Plan53,783(2)Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)1. Title of Derivative Security (Instr.
3)2. Conversion or Exercise Price of Derivative Security3. Transaction Date
(Month/Day/Year)3A. Deemed Execution Date, if any
(Month/Day/Year)4. Transaction Code (Instr.
8)5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)6. Date Exercisable and Expiration Date
(Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)8. Price of Derivative Security (Instr.
5)9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)11. Nature of Indirect Beneficial Ownership (Instr.
4)(A)(D)Date ExercisableExpiration DateTitleAmount or Number of SharesPhantom Stock UnitsI(5)By SpouseExplanation of Responses:1. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2017.2. Includes 1,050 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.3. The units convert to common stock on a one-for-one basis.4. 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.5. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on May 15, 2017.Remarks:Patrick A. Kirchner, by Power of Attorney06/16/2017** Signature of Reporting PersonDateReminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v).** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.PK ! tU docProps/app.xml
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2020-01-14T08:20:02Z2020-01-14T08:20:02ZPK ! t7 7 [Content_Types].xml
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