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 |
|---|---|---|---|---|---|---|
| November 14, 2016 Filed Apr 28, 2017 22:04 UTC Amendment | Discover Financial Services DFS · Entity 13531 | OtherCommon Stock | 799 | $66.42 | $53,069.58 |
DisclosureSEC source: 0001123292-17-000878 · edgar.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 · 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 |
| November 01, 2016 Filed Nov 3, 2016 20:23 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 10,000 | $56.00 | $560,039.00 |
DisclosureSEC source: 0001209191-16-148176 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,772 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 $55.60 to $56.32, 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 |
| October 07, 2016 Filed Oct 11, 2016 14:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 19.1 | $52.26 | $998.17 |
DisclosureSEC source: 0001126328-16-000581 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,314.7 Underlying: Common Stock · 19.1 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 |
| October 03, 2016 Filed Oct 5, 2016 21:13 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 10,000 | $56.46 | $564,628.00 |
DisclosureSEC source: 0001209191-16-145063 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 835,772 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 $56.25 to $56.67, 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 |
| September 30, 2016 Filed Oct 4, 2016 20:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 33.4 | $51.51 | $1,720.43 |
DisclosureSEC source: 0001126328-16-000566 · edgar.xml · derivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,295.6 Underlying: Common Stock · 33.4 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 48 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000566 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,061 F1 · price: Grant of restricted stock units. Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 19:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 62 | $48.37 | $2,998.94 |
DisclosureSEC source: 0001126328-16-000551 · edgar.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,262.2 Underlying: Common Stock · 62 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, 2016 Filed Sep 6, 2016 20:51 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 400 | $60.25 | $24,101.00 |
DisclosureSEC source: 0001209191-16-140098 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 845,772 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 $60.20 to $60.28, 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 |
| September 01, 2016 Filed Sep 6, 2016 20:51 UTC | Discover Financial Services DFS · Entity 13531 | SaleCommon Stock | 9,600 | $59.67 | $572,820.48 |
DisclosureSEC source: 0001209191-16-140098 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 846,172 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 $59.20 to $60.19, 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 |
| August 15, 2016 Filed Apr 25, 2017 00:21 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 908 | $58.11 | $52,763.88 |
DisclosureSEC source: 0001209191-17-028027 · 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: 176,806 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 |
| August 15, 2016 Filed Apr 28, 2017 22:04 UTC Amendment | Discover Financial Services DFS · Entity 13531 | OtherCommon Stock | 908 | $58.11 | $52,763.88 |
DisclosureSEC source: 0001123292-17-000878 · edgar.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: 176,806 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 |
| May 19, 2016 Filed Apr 25, 2017 00:21 UTC | Discover Financial Services DFS · Entity 13531 | PurchaseCommon Stock | 898 | $54.57 | $49,003.86 |
DisclosureSEC source: 0001209191-17-028027 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 175,898 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 |
| May 19, 2016 Filed Apr 28, 2017 22:04 UTC Amendment | Discover Financial Services DFS · Entity 13531 | OtherCommon Stock | 898 | $54.57 | $49,003.86 |
DisclosureSEC source: 0001123292-17-000878 · edgar.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · President & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 175,898 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 |
| October 12, 2006 Filed Oct 12, 2006 22:06 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 19,954 | $75.15 | $1,499,543.10 |
DisclosureSEC source: 0001209191-06-054604 · doc4.xml · nonDerivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,432 Read SEC document |
| October 11, 2006 Filed Oct 12, 2006 22:06 UTC | MORGAN STANLEY MS · Entity 2815 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,246 | $0.00 Strike: $35.65 | $0.00 |
DisclosureSEC source: 0001209191-06-054604 · doc4.xml · derivative · entry 5 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,246 shares Expires 2008-11-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Initial vesting date of ratably vested stock options, all of which are presently exercisable. Read SEC document |
| October 11, 2006 Filed Oct 12, 2006 22:06 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 5,292 | $74.49 | $394,201.08 |
DisclosureSEC source: 0001209191-06-054604 · doc4.xml · nonDerivative · entry 2 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,386 Read SEC document |
| October 11, 2006 Filed Oct 12, 2006 22:06 UTC | MORGAN STANLEY MS · Entity 2815 | Exercise / conversionCommon Stock | 25,246 | $35.65 | $900,019.90 |
DisclosureSEC source: 0001209191-06-054604 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,678 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 02, 2006 Filed Oct 4, 2006 20:58 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 4,704 | $73.05 | $343,627.20 |
DisclosureSEC source: 0001209191-06-053529 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,432 Read SEC document |
| September 08, 2006 Filed Sep 12, 2006 21:49 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 3,456 | $66.03 | $228,199.68 |
DisclosureSEC source: 0001209191-06-049766 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,136 Read SEC document |
| December 13, 2005 Filed Dec 15, 2005 22:46 UTC | MORGAN STANLEY MWD · Entity 2815 | GrantCommon Stock | 58,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-05-063626 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,592 F1 · kind: Stock units that are convertible into shares of common stock at a ratio of 1 to 1. Read SEC document |
| December 14, 2004 Filed Dec 16, 2004 23:12 UTC | MORGAN STANLEY MWD · Entity 2815 | GrantCommon Stock | 46,376 | $0.00 | $0.00 |
DisclosureSEC source: 0001204892-04-000127 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Business Unit Head 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,037 F1 · security: Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| November 28, 2003 Filed Dec 2, 2003 19:26 UTC | MORGAN STANLEY MWD · Entity 2815 | GrantEmployee Stock Option (Right to Buy) · Derivative | 29,866 | $0.00 Strike: $55.45 | $0.00 |
DisclosureSEC source: 0001204892-03-000071 · doc4.xml · derivative · entry 3 HOCHSCHILD ROGER C · CIK 0001183833 · Chief Strategic/Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,866 Underlying: Common Stock · 29,866 shares Expires 2014-01-02 F2 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs as follows: 50% of the award vests on January 2, 2006 and the remaining 50 % vests on January 2, 2007. Read SEC document |
| November 28, 2003 Filed Dec 2, 2003 19:26 UTC | MORGAN STANLEY MWD · Entity 2815 | GrantCommon Stock | 13,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001204892-03-000071 · doc4.xml · nonDerivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Chief Strategic/Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,661 F1 · kind: Stock Units which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| November 20, 2003 Filed Nov 24, 2003 21:21 UTC | MORGAN STANLEY MWD · Entity 2815 | GrantEmployee Stock Option (Right to Buy) · Derivative | 130,148 | $0.00 Strike: $53.02 | $0.00 |
DisclosureSEC source: 0001204892-03-000049 · doc4.xml · derivative · entry 1 HOCHSCHILD ROGER C · CIK 0001183833 · Chief Strategic/Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,148 Underlying: Common Stock · 130,148 shares Expires 2014-01-02 F1 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs in five equal installments beginning on January 2, 2005. Shares received upon exercise of options generally may not be sold for five years from grant date and thereafter are subject to certain further restrictions based upon the age of the reporting person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.