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 06, 2017 Filed Dec 7, 2017 21:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 748.4 | $70.82 | $53,001.69 |
DisclosureSEC source: 0001126328-17-000303 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,191.5 Underlying: Common Stock · 748.4 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 |
| December 01, 2017 Filed Dec 5, 2017 21:17 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 2,988 | $71.06 | $212,327.28 |
DisclosureSEC source: 0001209191-17-063903 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,924 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 $71.01 to $71.15, inclusive. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:17 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 9,770 | $70.61 | $689,859.70 |
DisclosureSEC source: 0001209191-17-063903 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 741,912 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 $70.01 to $71.00, inclusive. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:17 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 2,500 | $69.66 | $174,150.00 |
DisclosureSEC source: 0001209191-17-063903 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 751,682 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 $68.99 to $69.97, 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 |
| November 17, 2017 Filed Nov 20, 2017 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 29.1 | $68.64 | $1,997.42 |
DisclosureSEC source: 0001126328-17-000285 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,443.1 Underlying: Common Stock · 29.1 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 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, 2017 Filed Nov 3, 2017 21:13 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $66.79 | $1,019,081.82 |
DisclosureSEC source: 0001209191-17-059251 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,182 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 $66.33 to $67.12, 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 |
| October 26, 2017 Filed Nov 3, 2017 21:13 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 15,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-059251 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 769,440 Read SEC document |
| October 06, 2017 Filed Oct 10, 2017 13:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 45 | $66.65 | $2,999.25 |
DisclosureSEC source: 0001126328-17-000247 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,414 Underlying: Common Stock · 45 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 02, 2017 Filed Oct 4, 2017 21:35 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $64.87 | $989,786.46 |
DisclosureSEC source: 0001209191-17-055943 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 784,483 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 $64.28 to $65.19, 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 |
| September 29, 2017 Filed Oct 3, 2017 19:33 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 46.1 | $64.34 | $2,966.07 |
DisclosureSEC source: 0001126328-17-000231 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,369 Underlying: Common Stock · 46.1 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 |
| September 29, 2017 Filed Oct 3, 2017 19:33 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 60 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000231 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,300 F1 · price: Grant of restricted stock units. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 15:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15.8 | $63.12 | $997.30 |
DisclosureSEC source: 0001126328-17-000222 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,322.9 Underlying: Common Stock · 15.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 01, 2017 Filed Sep 5, 2017 21:12 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $59.64 | $909,987.12 |
DisclosureSEC source: 0001209191-17-051416 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 799,741 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 $58.92 to $59.82, 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 |
| August 04, 2017 Filed Aug 8, 2017 13:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 29.8 | $67.04 | $1,997.79 |
DisclosureSEC source: 0001126328-17-000202 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,307 Underlying: Common Stock · 29.8 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 |
| August 01, 2017 Filed Aug 2, 2017 20:22 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $61.04 | $931,348.32 |
DisclosureSEC source: 0001209191-17-047108 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814,999 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 $60.60 to $61.45, 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 |
| July 03, 2017 Filed Jul 5, 2017 21:57 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $62.48 | $953,319.84 |
DisclosureSEC source: 0001209191-17-043496 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 830,257 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 $62.19 to $62.94, 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 |
| June 30, 2017 Filed Jul 5, 2017 20:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 39.1 | $64.07 | $2,505.14 |
DisclosureSEC source: 0001126328-17-000177 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,277.2 Underlying: Common Stock · 39.1 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 |
| June 30, 2017 Filed Jul 5, 2017 20:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 59 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000177 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,240 F1 · price: Grant of restricted stock units. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 18:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 789.6 | $63.96 | $50,502.82 |
DisclosureSEC source: 0001126328-17-000155 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,238.1 Underlying: Common Stock · 789.6 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 |
| June 01, 2017 Filed Jun 5, 2017 21:51 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $58.96 | $899,611.68 |
DisclosureSEC source: 0001209191-17-037892 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,515 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 $58.62 to $59.39, 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 this footnote. Read SEC document |
| May 19, 2017 Filed May 22, 2017 21:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 49.3 | $60.83 | $2,998.92 |
DisclosureSEC source: 0001126328-17-000147 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,448.5 Underlying: Common Stock · 49.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| May 16, 2017 Filed May 18, 2017 14:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000136 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,181 F1 · price: Grant of restricted stock units. Read SEC document |
| May 01, 2017 Filed May 3, 2017 22:51 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 15,258 | $62.28 | $950,268.24 |
DisclosureSEC source: 0001209191-17-029810 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,773 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 $62.01 to $62.53, 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 this footnote. F3 · balance_after: Includes 79,000 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 1, 2017. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 23:38 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 1,300 | $68.32 | $88,816.00 |
DisclosureSEC source: 0001209191-17-025364 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 797,031 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.22 to $68.46, 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 this footnote. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 23:38 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 8,700 | $67.64 | $588,468.00 |
DisclosureSEC source: 0001209191-17-025364 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 798,331 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.20 to $68.19, 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 this footnote. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 37.9 | $63.11 | $2,391.87 |
DisclosureSEC source: 0001126328-17-000091 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,399.2 Underlying: Common Stock · 37.9 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000091 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,149 F1 · price: Grant of restricted stock units. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 19:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 47.2 | $63.54 | $2,999.09 |
DisclosureSEC source: 0001126328-17-000080 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,361.3 Underlying: Common Stock · 47.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 22:41 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 10,000 | $72.54 | $725,400.00 |
DisclosureSEC source: 0001209191-17-017850 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807,031 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.33 to $72.87, 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 this footnote. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 22:54 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 13,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-014480 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 817,031 F1 · acquired: Restricted stock units are convertible into shares of common stock at a ratio of 1:1. Read SEC document |
| February 17, 2017 Filed Apr 25, 2017 00:21 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 757 | $70.39 | $53,285.23 |
DisclosureSEC source: 0001209191-17-028027 · doc4.xml · nonDerivative · entry 4 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 178,362 F1 · security: Represents transactions in which the reporting person received shares of the issuer's common stock pursuant to a dividend reinvestment arrangement with a broker. Such transactions are being reported late due to an inadvertent administrative error. Read SEC document |
| February 17, 2017 Filed Apr 28, 2017 22:04 UTC Amendment | Discover Financial Services DFS · Entity 13531 | OtherCommon Stock | 757 | $70.39 | $53,285.23 |
DisclosureSEC source: 0001123292-17-000878 · edgar.xml · nonDerivative · entry 4 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 178,362 F1 · kind: Represents transaction in which the reporting person acquired shares of the issuer's common stock pursuant to a broker-administered dividend reinvestment arrangement. This acquisition is exempt from Section 16 under Rule 16a-11. This amendment is being filed to correct the transaction code and to clarify that the Form 4 filing for this transaction is voluntary. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 22:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 65.7 | $60.86 | $3,998.50 |
DisclosureSEC source: 0001126328-17-000045 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,314.1 Underlying: Common Stock · 65.7 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 |
| February 01, 2017 Filed Feb 2, 2017 23:10 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 1,527 | $69.80 | $106,584.60 |
DisclosureSEC source: 0001209191-17-007259 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 782,127 F2 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.70 to $70.10, 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 this footnote. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 23:10 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 8,473 | $69.11 | $585,569.03 |
DisclosureSEC source: 0001209191-17-007259 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,654 F2 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.70 to $69.69, 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 this footnote. Read SEC document |
| February 01, 2017 Filed Feb 4, 2017 00:09 UTC | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 30,244 | $68.77 | $2,079,879.88 |
DisclosureSEC source: 0001209191-17-007869 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 781,563 F2 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously granted restricted stock units and performance stock units. Read SEC document |
| February 01, 2017 Filed Feb 4, 2017 00:09 UTC | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 29,680 | $68.77 | $2,041,093.60 |
DisclosureSEC source: 0001209191-17-007869 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 811,807 F1 · shares: Shares earned upon vesting 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 |
| February 01, 2017 Filed Feb 24, 2017 22:31 UTC Amendment | Discover Financial Services DFS · Entity 13531 | Tax withholdingCommon Stock | 30,244 | $68.77 | $2,079,879.88 |
DisclosureSEC source: 0001209191-17-014445 · doc4a.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 803,542 F3 · shares: Number of shares withheld to pay the tax withholding obligation incurred in connection with the vesting of previously granted restricted stock units and performance stock units. Read SEC document |
| February 01, 2017 Filed Feb 24, 2017 22:31 UTC Amendment | Discover Financial Services DFS · Entity 13531 | GrantCommon Stock | 51,659 | $68.77 | $3,552,589.43 |
DisclosureSEC source: 0001209191-17-014445 · doc4a.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 833,786 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: Shares earned upon vesting 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 31, 2017 Filed Feb 2, 2017 23:10 UTC | Discover Financial Services DFS · Entity 13531 | GiftCommon Stock | 13,645 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-007259 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 792,127 F1 · kind: The transaction reported on this line is a bona fide gift by the Reporting Person to the Fidelity Charitable Gift Fund. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:46 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 900 | $73.14 | $65,826.00 |
DisclosureSEC source: 0001209191-17-002146 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 805,772 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.09 to $73.17, 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 this footnote. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:46 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 9,100 | $72.56 | $660,296.00 |
DisclosureSEC source: 0001209191-17-002146 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 806,672 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.04 to $73.00, 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 ranges set forth in this footnote. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 19:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 17.3 | $57.86 | $1,000.98 |
DisclosureSEC source: 0001126328-17-000002 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,248.4 Underlying: Common Stock · 17.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 31.8 | $58.73 | $1,867.61 |
DisclosureSEC source: 0001126328-16-000642 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,231.1 Underlying: Common Stock · 31.8 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 44 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000642 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,105 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 22:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 849.9 | $59.42 | $50,501.06 |
DisclosureSEC source: 0001126328-16-000621 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,199.3 Underlying: Common Stock · 849.9 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 |
| December 01, 2016 Filed Dec 5, 2016 21:07 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 100 | $68.87 | $6,887.00 |
DisclosureSEC source: 0001209191-16-153320 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,772 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 21:07 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 9,900 | $68.16 | $674,736.48 |
DisclosureSEC source: 0001209191-16-153320 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,872 F1 · shares: Sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.81 to $68.79, 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 this footnote. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 22:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 34.7 | $57.66 | $2,000.80 |
DisclosureSEC source: 0001126328-16-000609 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,349.4 Underlying: Common Stock · 34.7 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 14, 2016 Filed Apr 25, 2017 00:21 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 799 | $66.42 | $53,069.58 |
DisclosureSEC source: 0001209191-17-028027 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 177,605 F1 · security: Represents transactions in which the reporting person received shares of the issuer's common stock pursuant to a dividend reinvestment arrangement with a broker. Such transactions are being reported late due to an inadvertent administrative error. 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.