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PRINCIPAL FINANCIAL GROUP INC — Director's Dealing 2012
Apr 3, 2012
30322_dirs_2012-04-03_b81e037f-8baa-4883-9f79-7e4704995373.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRINCIPAL FINANCIAL GROUP INC (PFG)
CIK: 0001126328
Period of Report: 2012-03-30
Reporting Person: Lillis Terrance J. (Senior Vice President & CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-03-30 | Common Stock | A | 23 | — | Acquired | 21332 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-03-30 | Phantom Stock Units | $ | A | 1 | Acquired | Common Stock (1) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 38 | Indirect |
| Common Stock | 303 | Indirect |
Footnotes
F1: Grant of restricted stock units.
F2: Includes 6,991 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: Security converts to common stock on a one-for-one basis.
F4: The phantom stock units were acquired pursuant to the Principal Select Savings Excess Plan and may be transferred at any time into another investment alternative under the plan. Interests under the plan will be settled upon the reporting person's termination of service.
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