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 |
|---|---|---|---|---|---|---|
| December 07, 2022 Filed Dec 9, 2022 22:36 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-021465 · doc1.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 848,004 Read SEC document |
| December 06, 2022 Filed Dec 9, 2022 22:36 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-021465 · doc1.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 858,004 Read SEC document |
| December 02, 2022 Filed Dec 6, 2022 21:24 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 657 | $105.40 | $69,247.80 |
DisclosureSEC source: 0001209191-22-060003 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 868,004 F1 · shares: Shares withheld to satisfy the tax withholding obligation incurred in connection with the satisfaction of the Company's retirement eligibility provision. Read SEC document |
| September 30, 2022 Filed Oct 4, 2022 21:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 172 | $72.15 | $12,409.80 |
DisclosureSEC source: 0001062993-22-020384 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,581 Underlying: Common Stock · 172 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 30, 2022 Filed Oct 4, 2022 21:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 239 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-020384 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,234 F1 · price: Grant of restricted stock units. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 18:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 180 | $68.55 | $12,339.00 |
DisclosureSEC source: 0001062993-22-015510 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,409 Underlying: Common Stock · 180 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 24, 2022 Filed Jun 28, 2022 18:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 250 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-015510 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,995 F1 · price: Grant of restricted stock units. Read SEC document |
| May 27, 2022 Filed Jun 1, 2022 19:56 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 960 | $72.94 | $70,022.40 |
DisclosureSEC source: 0001062993-22-013974 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,623 Underlying: Common Stock · 960 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 17, 2022 Filed May 19, 2022 18:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,336 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-012972 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,745 F1 · price: Grant of restricted stock units. Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 158 | $73.60 | $11,628.80 |
DisclosureSEC source: 0001062993-22-008858 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,270 Underlying: Common Stock · 158 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 25, 2022 Filed Mar 29, 2022 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-008858 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,409 F1 · price: Grant of restricted stock units. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 22:56 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 16,128 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-014237 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 868,661 Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 22:54 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 43,733 | $118.02 | $5,161,368.66 |
DisclosureSEC source: 0001209191-22-006914 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 852,533 F1 · 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. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 22:54 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 82,292 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006914 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 896,266 Read SEC document |
| December 21, 2021 Filed Dec 23, 2021 17:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 155 | $70.33 | $10,901.15 |
DisclosureSEC source: 0001126328-21-000231 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,112 Underlying: Common Stock · 155 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 21, 2021 Filed Dec 23, 2021 17:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 218 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000231 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,199 F1 · price: Grant of restricted stock units. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 19:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 972.4 | $71.99 | $70,003.08 |
DisclosureSEC source: 0001126328-21-000222 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,957.9 Underlying: Common Stock · 972.4 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 03, 2021 Filed Dec 8, 2021 00:37 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 826 | $108.67 | $89,761.42 |
DisclosureSEC source: 0001209191-21-068445 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 813,974 F1 · shares: Shares withheld to satisfy the tax withholding obligation incurred in connection with the satisfaction of the Company's retirement eligibility provision. Read SEC document |
| November 15, 2021 Filed Dec 8, 2021 00:37 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 14,056 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-068445 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814,800 Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 164 | $64.45 | $10,569.80 |
DisclosureSEC source: 0001126328-21-000195 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,986 Underlying: Common Stock · 164 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 24, 2021 Filed Sep 28, 2021 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 232 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000195 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,981 F1 · price: Grant of restricted stock units. Read SEC document |
| August 06, 2021 Filed Aug 10, 2021 20:39 UTC | Discover Financial Services DFS · Entity 13531 | OtherNon-Recourse Loan (call option - obligation to sell) · Derivative | 74,410 | Not disclosed Strike: $36.39 | Not disclosed |
DisclosureSEC source: 0001140361-21-027797 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 74,410 shares Expires 2029-05-13 F1 · derivative.exercise_price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. On August 6, 2021, the Shares underlying the Non-Recourse Loan were returned to the reporting person. The cancellation of the long call option is exempt from Section 16 pursuant to Rule 16b-6(d) and 16a-4(d) under the Securities Exchange Act of 1934, as amended. F1 · kind: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. On August 6, 2021, the Shares underlying the Non-Recourse Loan were returned to the reporting person. The cancellation of the long call option is exempt from Section 16 pursuant to Rule 16b-6(d) and 16a-4(d) under the Securities Exchange Act of 1934, as amended. F1 · price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. On August 6, 2021, the Shares underlying the Non-Recourse Loan were returned to the reporting person. The cancellation of the long call option is exempt from Section 16 pursuant to Rule 16b-6(d) and 16a-4(d) under the Securities Exchange Act of 1934, as amended. F2 · derivative.expiration_date: The Non-Recourse Loan has a term of 9 years, subject to extension by the reporting person. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 18:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 158 | $64.36 | $10,168.88 |
DisclosureSEC source: 0001126328-21-000163 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,821 Underlying: Common Stock · 158 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 25, 2021 Filed Jun 29, 2021 18:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 223 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000163 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,749 F1 · price: Grant of restricted stock units. Read SEC document |
| May 28, 2021 Filed Jun 2, 2021 16:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,032.3 | $65.39 | $67,502.10 |
DisclosureSEC source: 0001126328-21-000156 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,663.2 Underlying: Common Stock · 1,032.3 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 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 18, 2021 Filed May 20, 2021 15:48 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,512 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000146 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,526 F1 · price: Grant of restricted stock units. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 143 | $60.63 | $8,670.09 |
DisclosureSEC source: 0001126328-21-000122 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,631 Underlying: Common Stock · 143 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 26, 2021 Filed Mar 30, 2021 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 192 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000122 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,014 F1 · price: Grant of restricted stock units. Read SEC document |
| February 19, 2021 Filed Feb 24, 2021 00:21 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 20,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005897 · form4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828,856 F2 · balance_after: Includes 74,410 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 10, 2021 Filed Feb 24, 2021 00:21 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-005897 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 808,626 F2 · balance_after: Includes 74,410 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, 2021 Filed Feb 4, 2021 00:47 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 17,190 | $82.19 | $1,412,846.10 |
DisclosureSEC source: 0001140361-21-003314 · form4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828,626 F1 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously-granted (i) performance stock units, and (ii) restricted stock units. F3 · balance_after: Includes 74,410 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, 2021 Filed Feb 4, 2021 00:47 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 25,392 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-21-003314 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,816 F3 · balance_after: Includes 74,410 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 21, 2020 Filed Dec 23, 2020 19:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 165 | $47.50 | $7,837.50 |
DisclosureSEC source: 0001126328-20-000227 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,488 Underlying: Common Stock · 165 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 21, 2020 Filed Dec 23, 2020 19:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 243 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000227 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,822 F1 · price: Grant of restricted stock units. Read SEC document |
| December 17, 2020 Filed Dec 21, 2020 21:21 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 44,534 | $87.48 | $3,895,834.32 |
DisclosureSEC source: 0000905148-20-001301 · form4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 820,424 F1 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously-granted restricted stock units. F3 · balance_after: Includes 74,410 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 04, 2020 Filed Dec 11, 2020 18:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,291.1 | $52.28 | $67,498.71 |
DisclosureSEC source: 0001126328-20-000219 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,332.5 Underlying: Common Stock · 1,291.1 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 25, 2020 Filed Sep 29, 2020 20:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 200 | $38.63 | $7,726.00 |
DisclosureSEC source: 0001126328-20-000186 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,031 Underlying: Common Stock · 200 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, 2020 Filed Sep 29, 2020 20:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 294 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000186 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,579 F1 · price: Grant of restricted stock units. Read SEC document |
| June 26, 2020 Filed Jun 30, 2020 23:05 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 178 | $39.14 | $6,966.92 |
DisclosureSEC source: 0001126328-20-000159 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,830.8 Underlying: Common Stock · 178 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, 2020 Filed Jun 30, 2020 23:05 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 286 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000159 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,285 F1 · price: Grant of restricted stock units. Read SEC document |
| June 05, 2020 Filed Jun 8, 2020 16:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,209.7 | $44.64 | $54,001.01 |
DisclosureSEC source: 0001126328-20-000141 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,652.8 Underlying: Common Stock · 1,209.7 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 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, 2020 Filed May 21, 2020 19:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 4,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000133 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,999 F1 · price: Grant of restricted stock units. Read SEC document |
| May 13, 2020 Filed May 15, 2020 21:00 UTC | Discover Financial Services DFS · Entity 13531 | OtherNon-Recourse Loan (call option - right to buy) · Derivative | 74,410 | Not disclosed Strike: $36.39 | Not disclosed |
DisclosureSEC source: 0000905148-20-000622 · form4.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · By GST Disclosed balance after: 74,410 Underlying: Common Stock · 74,410 shares Expires 2029-05-13 F1 · derivative.exercise_price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F1 · kind: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F1 · price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. 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 May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F1 · ownership.nature: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. Read SEC document |
| May 13, 2020 Filed May 15, 2020 21:00 UTC | Discover Financial Services DFS · Entity 13531 | OtherNon-Recourse Loan (call option - obligation to sell) · Derivative | 74,410 | Not disclosed Strike: $36.39 | Not disclosed |
DisclosureSEC source: 0000905148-20-000622 · form4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,410 Underlying: Common Stock · 74,410 shares Expires 2029-05-13 F1 · derivative.exercise_price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F1 · kind: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F1 · price: On May 13, 2020, 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 74,410 shares of Discover Financial Services ("Shares") to the GST. In return, the GST provided to the reporting person a promissory note for the value of the Shares transferred, using the fair market value of the Shares as of close of trading on the transfer date. F2 · derivative.expiration_date: The Non-Recourse Loan has a term of 9 years, subject to extension by the reporting person. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 19:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 210.1 | $32.60 | $6,849.26 |
DisclosureSEC source: 0001126328-20-000102 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,443 Underlying: Common Stock · 210.1 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 27, 2020 Filed Mar 31, 2020 19:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 259 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000102 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,325 F1 · price: Grant of restricted stock units. Read SEC document |
| February 01, 2020 Filed Feb 5, 2020 01:52 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 20,952 | $75.13 | $1,574,123.76 |
DisclosureSEC source: 0001209191-20-006731 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864,958 F1 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously-granted (i) performance stock units, and (ii) restricted stock units. Read SEC document |
| February 01, 2020 Filed Feb 5, 2020 01:52 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 36,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006731 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,910 Read SEC document |
| January 27, 2020 Filed Jan 27, 2020 21:44 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 15,000 | $74.12 | $1,111,821.00 |
DisclosureSEC source: 0001209191-20-005009 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,085 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $74.05 to $74.20, inclusive. The reporting person undertakes to provide to Discover Financial Services, any security holder of Discover Financial Services, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:54 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 21,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004874 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 834,085 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.