Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MORGAN STANLEYMS · Entity 2815 | Business Unit Head | October 11, 2006 | October 12, 2006 |
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | Director | September 25, 2026 | September 29, 2026 |
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.
MORGAN STANLEY
Report date October 11, 2006 · Filed October 12, 2006
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 160,432 |
Ending reported balance
After 2006-10-12 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2006-10-11 · Exercise / conversion · Acquired 25,246 · Balance 185,678 Row 2 · 2006-10-11 · Tax withholding · Disposed 5,292 · Balance 180,386 Row 3 · 2006-10-12 · Sale · Disposed 19,954 · Balance 160,432 |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.65 · Expires 2008-11-02 | Direct | 0 |
Reported balance
After 2006-10-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2006-10-11 · Exercise / conversion · Disposed 25,246 · Balance 0 F1: Initial vesting date of ratably vested stock options, all of which are presently exercisable. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan/ESOP Trust | 1,030 |
Reported balance
Holding disclosure · report date 2006-10-11 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,030 |
Filing footnotes · ownership attribution and instrument terms
F1: Initial vesting date of ratably vested stock options, all of which are presently exercisable.
PRINCIPAL FINANCIAL GROUP INC
Report date September 25, 2026 · Filed September 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 41,762 |
Reported balance
After 2026-09-25 transaction · row 1
1 source rowRow 1 · 2026-09-25 · Grant · Acquired 285 · Balance 41,762 F1: Grant of restricted stock units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 29,892 |
Reported balance
After 2026-09-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-25 · Grant · Acquired 218 · Balance 29,892 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Discover Financial Services
Report date August 14, 2023 · Filed August 16, 2023
Section 16 reporting ended · disclosed 2023-08-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 895,025 |
Reported balance
After 2023-08-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-08-14 · Disposition to issuer · Disposed 21,286 · Balance 895,025 F1: These restricted stock units were cancelled in connection with the reporting person's resignation as CEO and President of the issuer. F2: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee. |
| Common StockSEC Table I · non-derivative | IndirectBy Hochschild Remainder Trust | 29,111 |
Reported balance
Holding disclosure · report date 2023-08-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 29,111 F3: These shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is trustee of the trust. |
Filing footnotes · ownership attribution and instrument terms
F1: These restricted stock units were cancelled in connection with the reporting person's resignation as CEO and President of the issuer.
F2: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee.
F3: These shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse is trustee of the trust.
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 |
|---|---|---|---|---|---|---|
| September 25, 2026 Filed Sep 29, 2026 20:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 218 | $114.77 | $25,019.86 |
DisclosureSEC source: 0001126328-26-000186 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,892 Underlying: Common Stock · 218 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 25, 2026 Filed Sep 29, 2026 20:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 285 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000186 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,762 F1 · price: Grant of restricted stock units. Read SEC document |
| June 26, 2026 Filed Jun 30, 2026 17:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 219 | $107.75 | $23,597.25 |
DisclosureSEC source: 0001126328-26-000170 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,674 Underlying: Common Stock · 219 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| June 26, 2026 Filed Jun 30, 2026 17:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000170 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,477 F1 · price: Grant of restricted stock units. Read SEC document |
| June 05, 2026 Filed Jun 9, 2026 15:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 689 | $105.22 | $72,496.58 |
DisclosureSEC source: 0001126328-26-000131 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,455 Underlying: Common Stock · 689 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| May 19, 2026 Filed May 21, 2026 21:05 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000117 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,183 F1 · price: Grant of restricted stock units. Read SEC document |
| March 27, 2026 Filed Mar 31, 2026 20:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 262 | $87.01 | $22,796.62 |
DisclosureSEC source: 0001126328-26-000088 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,766 Underlying: Common Stock · 262 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 27, 2026 Filed Mar 31, 2026 20:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 355 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000088 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,008 F1 · price: Grant of restricted stock units. Read SEC document |
| December 19, 2025 Filed Dec 23, 2025 23:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 244 | $88.95 | $21,703.80 |
DisclosureSEC source: 0001126328-25-000098 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,504 Underlying: Common Stock · 244 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| December 19, 2025 Filed Dec 23, 2025 23:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 340 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-25-000098 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,653 F1 · price: Grant of restricted stock units. Read SEC document |
| December 05, 2025 Filed Dec 8, 2025 18:27 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 828 | $87.52 | $72,466.56 |
DisclosureSEC source: 0001126328-25-000063 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,260 Underlying: Common Stock · 828 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| September 26, 2025 Filed Sep 30, 2025 20:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 257 | $82.62 | $21,233.34 |
DisclosureSEC source: 0001126328-25-000050 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,432 Underlying: Common Stock · 257 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 26, 2025 Filed Sep 30, 2025 20:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 358 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-25-000050 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,313 F1 · price: Grant of restricted stock units. Read SEC document |
| June 27, 2025 Filed Jul 1, 2025 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 250 | $79.19 | $19,797.50 |
DisclosureSEC source: 0001062993-25-012372 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,175 Underlying: Common Stock · 250 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| June 27, 2025 Filed Jul 1, 2025 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 361 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-012372 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,955 F1 · price: Grant of restricted stock units. Read SEC document |
| June 06, 2025 Filed Jun 10, 2025 17:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 909 | $76.97 | $69,965.73 |
DisclosureSEC source: 0001062993-25-011308 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,925 Underlying: Common Stock · 909 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| May 20, 2025 Filed May 22, 2025 17:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,484 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-010036 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,594 F1 · price: Grant of restricted stock units. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 233 | $83.06 | $19,352.98 |
DisclosureSEC source: 0001062993-25-006733 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,016 Underlying: Common Stock · 233 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 314 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-006733 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,110 F1 · price: Grant of restricted stock units. Read SEC document |
| December 18, 2024 Filed Dec 20, 2024 19:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 241 | $74.91 | $18,053.31 |
DisclosureSEC source: 0001062993-24-021016 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,783 Underlying: Common Stock · 241 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| December 18, 2024 Filed Dec 20, 2024 19:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 336 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-021016 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,796 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2024 Filed Dec 9, 2024 23:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 829 | $84.40 | $69,967.60 |
DisclosureSEC source: 0001062993-24-020277 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,542 Underlying: Common Stock · 829 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| September 27, 2024 Filed Oct 1, 2024 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 205 | $86.09 | $17,648.45 |
DisclosureSEC source: 0001062993-24-017140 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,713 Underlying: Common Stock · 205 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 27, 2024 Filed Oct 1, 2024 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 286 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-017140 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,460 F1 · price: Grant of restricted stock units. Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 209 | $79.46 | $16,607.14 |
DisclosureSEC source: 0001062993-24-013199 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,508 Underlying: Common Stock · 209 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 303 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-013199 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,174 F1 · price: Grant of restricted stock units. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 18:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 883 | $79.27 | $69,995.41 |
DisclosureSEC source: 0001062993-24-012356 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,299 Underlying: Common Stock · 883 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| May 21, 2024 Filed May 23, 2024 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-011060 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,871 F1 · price: Grant of restricted stock units. Read SEC document |
| March 28, 2024 Filed Apr 2, 2024 00:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 186 | $86.31 | $16,053.66 |
DisclosureSEC source: 0001062993-24-007627 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,416 Underlying: Common Stock · 186 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 28, 2024 Filed Apr 2, 2024 00:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-007627 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,476 F1 · price: Grant of restricted stock units. Read SEC document |
| December 20, 2023 Filed Dec 22, 2023 22:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 189 | $78.36 | $14,810.04 |
DisclosureSEC source: 0001062993-23-023142 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,230 Underlying: Common Stock · 189 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| December 20, 2023 Filed Dec 22, 2023 22:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 265 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-023142 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,226 F1 · price: Grant of restricted stock units. Read SEC document |
| December 08, 2023 Filed Dec 12, 2023 20:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 931 | $75.15 | $69,964.65 |
DisclosureSEC source: 0001062993-23-022411 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,041 Underlying: Common Stock · 931 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| September 29, 2023 Filed Oct 3, 2023 20:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 198 | $72.07 | $14,269.86 |
DisclosureSEC source: 0001062993-23-018828 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,110 Underlying: Common Stock · 198 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 29, 2023 Filed Oct 3, 2023 20:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 277 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-018828 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,961 F1 · price: Grant of restricted stock units. Read SEC document |
| August 14, 2023 Filed Aug 16, 2023 20:21 UTC | Discover Financial Services DFS · Entity 13531 | Disposition to issuerCommon Stock | 21,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-046019 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 895,025 F1 · shares: These restricted stock units were cancelled in connection with the reporting person's resignation as CEO and President of the issuer. F2 · balance_after: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee. Read SEC document |
| June 30, 2023 Filed Jul 6, 2023 01:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 183 | $75.84 | $13,878.72 |
DisclosureSEC source: 0001062993-23-014554 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,912 Underlying: Common Stock · 183 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| June 30, 2023 Filed Jul 6, 2023 01:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 257 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-014554 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,684 F1 · price: Grant of restricted stock units. Read SEC document |
| May 26, 2023 Filed May 31, 2023 20:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,027 | $68.17 | $70,010.59 |
DisclosureSEC source: 0001062993-23-012522 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,729 Underlying: Common Stock · 1,027 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| May 16, 2023 Filed May 18, 2023 20:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-011659 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,427 F1 · price: Grant of restricted stock units. Read SEC document |
| March 31, 2023 Filed Apr 4, 2023 21:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 177 | $74.32 | $13,154.64 |
DisclosureSEC source: 0001062993-23-008615 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,702 Underlying: Common Stock · 177 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 31, 2023 Filed Apr 4, 2023 21:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 236 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-008615 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,677 F1 · price: Grant of restricted stock units. Read SEC document |
| February 23, 2023 Filed Feb 27, 2023 21:07 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 21,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-013160 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 916,311 F1 · balance_after: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 21:18 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 49,872 | $115.83 | $5,776,673.76 |
DisclosureSEC source: 0001209191-23-006824 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,025 F2 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously granted performance stock units and restricted stock units. F1 · balance_after: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 21:18 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 96,893 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-006824 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 944,897 F1 · balance_after: Includes 80,876 shares subject to a non-recourse loan to the generation-skipping trust ("GST") for which the reporting person's spouse serves as trustee. Read SEC document |
| December 19, 2022 Filed Dec 21, 2022 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 149 | $84.31 | $12,562.19 |
DisclosureSEC source: 0001062993-22-024303 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,525 Underlying: Common Stock · 149 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 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. F3 · derivative.expiration_date: 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. Read SEC document |
| December 19, 2022 Filed Dec 21, 2022 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 207 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-024303 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,441 F1 · price: Grant of restricted stock units. Read SEC document |
| December 09, 2022 Filed Dec 13, 2022 21:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 795 | $88.07 | $70,015.65 |
DisclosureSEC source: 0001062993-22-023788 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,376 Underlying: Common Stock · 795 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 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. F2 · derivative.expiration_date: 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. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 22:36 UTC | Discover Financial Services DFS · Entity 13531 | OtherNon-Recourse Loan (call option - right to buy) · Derivative | 80,876 | Not disclosed Strike: $104.09 | Not disclosed |
DisclosureSEC source: 0001567619-22-021465 · doc1.xml · derivative · entry 5 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · By GST Disclosed balance after: 80,876 Underlying: Common Stock · 80,876 shares Expires 2031-12-01 F1 · derivative.exercise_price: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F1 · kind: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F1 · price: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F2 · derivative.expiration_date: The Non-Recourse Loan has a term of 9 years, subject to extension by the reporting person. F1 · ownership.direct: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F1 · ownership.nature: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 22:36 UTC | Discover Financial Services DFS · Entity 13531 | OtherNon-Recourse Loan (call option - obligation to sell) · Derivative | 80,876 | Not disclosed Strike: $104.09 | Not disclosed |
DisclosureSEC source: 0001567619-22-021465 · doc1.xml · derivative · entry 4 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,876 Underlying: Common Stock · 80,876 shares Expires 2031-12-01 F1 · derivative.exercise_price: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F1 · kind: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F1 · price: On December 7, 2022, the reporting person entered into a non-recourse loan agreement ("Non-Recourse Loan") with a generation-skipping trust ("GST") for which his spouse serves as trustee, pursuant to which the reporting person transferred 80,876 shares of Discover Financial Services ("Shares") to the GST. As collateral for the loan, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the average high/low price on the transfer date of $104.085. F2 · derivative.expiration_date: The Non-Recourse Loan has a term of 9 years, subject to extension by the reporting person. 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.