Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | Director | March 31, 2023 | April 04, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PRINCIPAL FINANCIAL GROUP INC
Report date March 31, 2023 · Filed April 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,970 |
Reported balance
After 2023-03-31 transaction · row 1
1 source rowRow 1 · 2023-03-31 · Grant · Acquired 356 · Balance 54,970 F1: Grant of restricted stock units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 14,488 |
Reported balance
After 2023-03-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-31 · Grant · Acquired 124 · Balance 14,488 F2: The units convert to common stock on a one-for-one basis. F3: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors 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 retirement. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: The units convert to common stock on a one-for-one basis.
F3: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors 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 retirement.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 06, 2018 Filed Dec 7, 2018 19:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 555.2 | $45.03 | $25,000.66 |
DisclosureSEC source: 0001126328-18-000300 · edgar.xml · derivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,775.8 Underlying: Common Stock · 555.2 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 |
| September 28, 2018 Filed Oct 2, 2018 20:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 73.7 | $58.59 | $4,318.08 |
DisclosureSEC source: 0001126328-18-000250 · edgar.xml · derivative · entry 2 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,220.6 Underlying: Common Stock · 73.7 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 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 retirement or other termination of service. F3 · derivative.expiration_date: The reported 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 retirement or other termination of service. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 20:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 206 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000250 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,990 F1 · price: Grant of restricted stock units. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 75 | $52.95 | $3,971.25 |
DisclosureSEC source: 0001126328-18-000193 · edgar.xml · derivative · entry 2 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,146.9 Underlying: Common Stock · 75 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 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 retirement or other termination of service. F3 · derivative.expiration_date: The reported 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 retirement or other termination of service. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 222 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000193 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,784 F1 · price: Grant of restricted stock units. Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 20:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 439.3 | $56.91 | $25,000.56 |
DisclosureSEC source: 0001126328-18-000180 · edgar.xml · derivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,072 Underlying: Common Stock · 439.3 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. F3 · balance_after: Since the date of the reporting person's last ownership report, he transferred 7,633 phantom stock units and 19,826 shares of Princpal Financial Group, Inc. common stock to his ex-wife pursuant to a domestic relations order. The reporting person's ex-wife likewise transferred 5,000 shares of common stock to the reporting person pursuant to the same order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document |
| May 22, 2018 Filed May 23, 2018 20:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,752 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000162 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,388 F1 · price: Grant of restricted stock units. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 126.8 | $60.91 | $7,723.39 |
DisclosureSEC source: 0001126328-18-000120 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,265.4 Underlying: Common Stock · 126.8 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 |
| March 29, 2018 Filed Apr 2, 2018 20:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 329 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000120 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,636 F1 · price: Grant of restricted stock units. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 100.8 | $71.39 | $7,196.11 |
DisclosureSEC source: 0001126328-18-000019 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,138.6 Underlying: Common Stock · 100.8 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 |
| December 28, 2017 Filed Jan 2, 2018 22:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 268 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000019 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,307 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2017 Filed Dec 7, 2017 21:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 353 | $70.82 | $24,999.46 |
DisclosureSEC source: 0001126328-17-000301 · edgar.xml · derivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,037.8 Underlying: Common Stock · 353 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 |
| September 29, 2017 Filed Oct 3, 2017 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 106.5 | $64.34 | $6,852.21 |
DisclosureSEC source: 0001126328-17-000227 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,684.8 Underlying: Common Stock · 106.5 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 |
| September 29, 2017 Filed Oct 3, 2017 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 283 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000227 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,039 F1 · price: Grant of restricted stock units. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 20:05 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 101.3 | $64.07 | $6,490.29 |
DisclosureSEC 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 | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 277 | $0.00 | $0.00 |
DisclosureSEC 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 02, 2017 Filed Jun 6, 2017 18:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 371.3 | $63.96 | $23,748.35 |
DisclosureSEC 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 16, 2017 Filed May 18, 2017 14:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000132 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,479 F1 · price: Grant of restricted stock units. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 99.9 | $63.11 | $6,304.69 |
DisclosureSEC source: 0001126328-17-000087 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,105.7 Underlying: Common Stock · 99.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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 |
| March 31, 2017 Filed Apr 4, 2017 19:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 259 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000087 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,447 F1 · price: Grant of restricted stock units. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 98.9 | $58.73 | $5,808.40 |
DisclosureSEC source: 0001126328-16-000638 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,005.8 Underlying: Common Stock · 98.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: 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 |
| December 27, 2016 Filed Dec 29, 2016 21:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 263 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000638 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,188 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 21:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | 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 |
| September 30, 2016 Filed Oct 4, 2016 20:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 106.7 | $51.51 | $5,496.12 |
DisclosureSEC source: 0001126328-16-000562 · edgar.xml · derivative · entry 3 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,507.2 Underlying: Common Stock · 106.7 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 |
| September 30, 2016 Filed Oct 4, 2016 20:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 284 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000562 · edgar.xml · nonDerivative · entry 1 DAN MICHAEL T · CIK 0001246392 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,925 F1 · price: Grant of restricted stock units. 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.