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Principal Financial Group INCTable 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 Stock12/07/2016M(1)A88,375(2)DS(1)70,650(2)M(3)77,405(2)S(3)IBy 401(k) PlanBy SpouseTable 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 SharesEmployee Stock Option (Right to Buy)02/23/201302/23/202005/19/201105/19/2018Explanation of Responses:1. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2015.2. Includes 11,642 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.3. Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2016.Remarks:PK ! W)a8 docProps/app.xml
Microsoft Excel0falseWorksheets3principal financial groupprincipal financial group -1principal financial group -2falsefalsefalse12.0000PK ! _P P docProps/core.xml
2020-01-15T15:38:43Z2020-01-15T15:38:43ZPK ! 6 [Content_Types].xml
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PK ! IK K _rels/.rels
PK ! t xl/_rels/workbook.xml.rels
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xl/worksheets/sheet1.xmlPK ! >8*
xl/worksheets/sheet2.xmlPK ! -9 9 xl/worksheets/sheet3.xmlPK ! 7-< c xl/workbook.xmlPK ! k k Q" xl/sharedStrings.xmlPK ! W)a8 . docProps/app.xmlPK ! _P P 2 docProps/core.xmlPK ! 6 5 [Content_Types].xmlPK ! p
: xl/styles.xmlPK ! FTR R A xl/theme/theme1.xmlPK ! IK K ;] _rels/.relsPK ! t _ xl/_rels/workbook.xml.relsPK c