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 27, 2019 Filed Dec 31, 2019 20:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 108.9 | $54.76 | $5,963.36 |
DisclosureSEC source: 0001126328-19-000264 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,233 Underlying: Common Stock · 108.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 20:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000264 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,066 F1 · price: Grant of restricted stock units. Read SEC document |
| December 05, 2019 Filed Dec 6, 2019 21:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,278.7 | $52.79 | $67,502.57 |
DisclosureSEC source: 0001126328-19-000250 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,124.1 Underlying: Common Stock · 1,278.7 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| November 01, 2019 Filed Nov 6, 2019 01:04 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 14,056 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-055368 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793,354 Read SEC document |
| November 01, 2019 Filed Nov 13, 2019 22:06 UTC Amendment | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 14,056 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-056414 · doc4a.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 812,553 F1 · balance_after: This amended Form 4 is filed to correct the number of securities reported in Table I, which were previously incorrectly reported due to administrative error. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 19:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 103 | $57.37 | $5,909.11 |
DisclosureSEC source: 0001126328-19-000221 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,845.4 Underlying: Common Stock · 103 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 19:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000221 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,916 F1 · price: Grant of restricted stock units. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 90.3 | $57.92 | $5,230.18 |
DisclosureSEC source: 0001126328-19-000183 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,742.4 Underlying: Common Stock · 90.3 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 136 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000183 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,774 F1 · price: Grant of restricted stock units. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 18:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 969.6 | $51.57 | $50,002.27 |
DisclosureSEC source: 0001126328-19-000167 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,652.2 Underlying: Common Stock · 969.6 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| May 21, 2019 Filed May 23, 2019 19:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,982 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000161 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,638 F1 · price: Grant of restricted stock units. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 103.1 | $50.19 | $5,174.59 |
DisclosureSEC source: 0001126328-19-000117 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,682.6 Underlying: Common Stock · 103.1 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 29, 2019 Filed Apr 2, 2019 21:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 124 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000117 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,656 F1 · price: Grant of restricted stock units. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 21:09 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 19,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-19-000335 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,925 Read SEC document |
| February 01, 2019 Filed Feb 6, 2019 02:01 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 38,073 | $68.40 | $2,604,193.20 |
DisclosureSEC source: 0001209191-19-007599 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 796,726 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, 2019 Filed May 7, 2019 21:46 UTC Amendment | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 27,389 | $68.40 | $1,873,407.60 |
DisclosureSEC source: 0001209191-19-028032 · doc4a.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807,410 F1 · shares: This amended Form 4 is filed to correct the number of securities reported in Table I, which were previously incorrectly reported due to administrative error. F2 · 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 |
| January 28, 2019 Filed Jan 29, 2019 21:18 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 342 | $67.04 | $22,927.68 |
DisclosureSEC source: 0001209191-19-005749 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 834,799 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in two transactions, each rounding to $67.04. 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 sold at each separate price. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 21:18 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 29,658 | $66.67 | $1,977,298.86 |
DisclosureSEC source: 0001209191-19-005749 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 834,457 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.03 to $67.00, 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 sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 21, 2019 Filed Jan 23, 2019 23:05 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 49,788 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005037 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 804,799 F1 · shares: Represents a grant of non-derivative performance stock units, which are exempt from liability under Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(d). Performance stock units are convertible into shares of common stock at a ratio of 1:1. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 21:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 103.7 | $43.56 | $4,517.17 |
DisclosureSEC source: 0001126328-19-000006 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,579.5 Underlying: Common Stock · 103.7 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 21:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 141 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000006 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,532 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 19:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1,110.04 | $45.03 | $49,985.10 |
DisclosureSEC source: 0001126328-18-000301 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,475.8 Underlying: Common Stock · 1,110.4 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 will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| October 31, 2018 Filed Nov 8, 2018 23:01 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-057796 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 755,010 Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 20:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 75 | $58.59 | $4,394.25 |
DisclosureSEC source: 0001126328-18-000253 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,365.5 Underlying: Common Stock · 75 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 20:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 102 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000253 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,391 F1 · price: Grant of restricted stock units. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 71.7 | $52.95 | $3,796.52 |
DisclosureSEC source: 0001126328-18-000196 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,290.5 Underlying: Common Stock · 71.7 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 110 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000196 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,289 F1 · price: Grant of restricted stock units. Read SEC document |
| June 19, 2018 Filed Jun 22, 2018 22:22 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 29,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-039303 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By Hochschild Remainder Trust Disclosed balance after: 29,111 F3 · ownership.nature: 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. Read SEC document |
| June 19, 2018 Filed Jun 22, 2018 22:22 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 29,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-039303 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 0 F2 · ownership.nature: On May 3, 2016, the reporting person contributed 175,000 shares of Discover Financial Services (DFS) common stock to a grantor retained annuity trust for the benefit of himself, his spouse, and his three minor children. Thereafter, as previously reported, dividends were paid and reinvested on the contributed shares from May 2016 thru February 2017, in the amount of 3,361 shares of DFS common stock. Upon termination of the trust on May 2, 2018, 29,111 of the shares were transferred to a Remainder Trust for the benefit of the reporting person's spouse and children. Those shares continue to be reported in this Form 4 as indirectly owned by the reporting person. The remaining 149,250 shares were previously distributed to the reporting person and continue to be reported in this Form 4 as directly owned. Read SEC document |
| June 06, 2018 Filed Jun 7, 2018 20:32 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 922.5 | $56.91 | $52,499.48 |
DisclosureSEC source: 0001126328-18-000177 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,218.8 Underlying: Common Stock · 922.5 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| May 22, 2018 Filed May 23, 2018 20:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,752 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000165 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,179 F1 · price: Grant of restricted stock units. Read SEC document |
| May 02, 2018 Filed Jun 22, 2018 22:22 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 14,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-039303 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 767,010 F1 · balance_after: Includes 70,250 shares previously owned indirectly by the reporting person in a grantor retained annuity trust that were distributed to the grantor/reporting person in an exempt transaction on May 2, 2018. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 21:06 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 2,700 | $70.93 | $191,511.00 |
DisclosureSEC source: 0001209191-18-023767 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 710,760 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.63 to $71.30, inclusive. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 21:06 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 3,700 | $69.99 | $258,963.00 |
DisclosureSEC source: 0001209191-18-023767 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,460 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 to $70.58, inclusive. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 21:06 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 8,859 | $69.21 | $613,131.39 |
DisclosureSEC source: 0001209191-18-023767 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 717,160 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.62 to $69.61, 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 sold at each separate price within the ranges set forth in footnotes (2), (3) and (4) to this Form 4. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:39 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 60.6 | $60.91 | $3,691.15 |
DisclosureSEC source: 0001126328-18-000124 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,296.3 Underlying: Common Stock · 60.6 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:39 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000124 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,427 F1 · price: Grant of restricted stock units. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 22:15 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 1,800 | $79.03 | $142,254.00 |
DisclosureSEC source: 0001209191-18-016649 · doc4.xml · nonDerivative · entry 5 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 726,019 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.97 to $79.16, inclusive. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 22:15 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 3,200 | $78.59 | $251,488.00 |
DisclosureSEC source: 0001209191-18-016649 · doc4.xml · nonDerivative · entry 4 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,819 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.95 to $78.91, inclusive. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 22:15 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 2,392 | $77.36 | $185,045.12 |
DisclosureSEC source: 0001209191-18-016649 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 731,019 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.90 to $77.88, inclusive. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 22:15 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 1,467 | $76.19 | $111,770.73 |
DisclosureSEC source: 0001209191-18-016649 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 733,411 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.86 to $76.78, inclusive. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 22:15 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 6,400 | $75.27 | $481,728.00 |
DisclosureSEC source: 0001209191-18-016649 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 734,878 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.69 to $75.64, 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 sold at each separate price within the ranges set forth in footnotes (2), (3), (4), (5) and (6) to this Form 4. Read SEC document |
| February 22, 2018 Filed Feb 27, 2018 01:36 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 13,775 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013670 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 741,278 Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 00:37 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 10,238 | $80.53 | $824,466.14 |
DisclosureSEC source: 0001209191-18-007689 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,503 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.32 to $80.75, inclusive. Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 00:37 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 5,020 | $79.77 | $400,445.40 |
DisclosureSEC source: 0001209191-18-007689 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 737,741 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.31 to $80.29, 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 sold at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4. Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 00:37 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 25,601 | $80.62 | $2,063,952.62 |
DisclosureSEC source: 0001209191-18-007689 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 742,761 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 |
| January 25, 2018 Filed Jan 29, 2018 21:35 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 44,696 | $0.00 | $0.00 |
DisclosureSEC source: 0001123292-18-000204 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 768,362 F1 · shares: Represents a grant of non-derivative performance stock units, which are exempt from liability under Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(d). Performance stock units are convertible into shares of common stock at a ratio of 1:1. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:50 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $76.78 | $1,171,509.24 |
DisclosureSEC source: 0001209191-18-001983 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 723,666 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.41 to $77.21, 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 sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 44.2 | $71.39 | $3,155.44 |
DisclosureSEC source: 0001126328-18-000006 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,235.7 Underlying: Common Stock · 44.2 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 57 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000006 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 F1 · price: Grant of restricted stock units. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.