Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Principal Real Asset FundNA · Entity 9033 | Director | June 25, 2019 | June 27, 2019 |
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.
Principal Real Asset Fund
Report date June 25, 2019 · Filed June 27, 2019
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PRINCIPAL FINANCIAL GROUP INC
Report date February 25, 2021 · Filed March 01, 2021
Section 16 reporting ended · disclosed 2021-03-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 58,584 |
Reported balance
After 2021-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-02-25 · Sale · Disposed 10,000 · Balance 58,584 F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.24 to $60.49, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F2: Includes 3,678 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 114 |
Reported balance
Holding disclosure · report date 2021-02-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 114 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.24 to $60.49, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
F2: Includes 3,678 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
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 |
|---|---|---|---|---|---|---|
| March 13, 2018 Filed Mar 14, 2018 19:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 136.4 | $62.68 | $8,549.55 |
DisclosureSEC source: 0001126328-18-000116 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,893.1 Underlying: Common Stock · 136.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 20:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 3.9 | $63.05 | $245.90 |
DisclosureSEC source: 0001126328-18-000115 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,756.7 Underlying: Common Stock · 3.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 40,340 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000101 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,340 Underlying: Common Stock · 40,340 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 6,841 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000101 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,614 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 3,863 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 23, 2018 Filed Feb 26, 2018 19:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 3.9 | $63.15 | $246.29 |
DisclosureSEC source: 0001126328-18-000099 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,752.8 Underlying: Common Stock · 3.9 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 09, 2018 Filed Feb 12, 2018 19:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 4 | $61.39 | $245.56 |
DisclosureSEC source: 0001126328-18-000075 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,748.9 Underlying: Common Stock · 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: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 19:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 3.2 | $75.04 | $240.13 |
DisclosureSEC source: 0001126328-18-000033 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,744.9 Underlying: Common Stock · 3.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 16:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 3.3 | $74.21 | $244.89 |
DisclosureSEC source: 0001126328-18-000030 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,741.7 Underlying: Common Stock · 3.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 7 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,685 Underlying: Common Stock · 10,000 shares Expires 2022-02-27 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,400 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 6 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,400 shares Expires 2020-02-23 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $70.29 | $702,900.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 4 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,436 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 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 $70.00 - $70.70, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., 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. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,000 | $27.46 | $274,600.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,436 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 6,400 | $70.14 | $448,896.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,436 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 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 $69.50 - $71.18, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., 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. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 6,400 | $22.21 | $142,144.00 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,836 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · balance_after: Includes 4,650 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. F3 · balance_after: Corrects previously reported inaccurate amount. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 12.1 | $70.56 | $853.78 |
DisclosureSEC source: 0001126328-18-000020 · edgar.xml · derivative · entry 5 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,738.4 Underlying: Common Stock · 12.1 shares Expires not disclosed F6 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F7 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F7 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 45.8 | $71.39 | $3,269.66 |
DisclosureSEC source: 0001126328-18-000011 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,726.3 Underlying: Common Stock · 45.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 21:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000312 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,280 F1 · balance_after: Includes 4,618 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6 | $70.52 | $423.12 |
DisclosureSEC source: 0001126328-17-000298 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,680.4 Underlying: Common Stock · 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: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| November 17, 2017 Filed Nov 20, 2017 22:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.2 | $68.64 | $425.57 |
DisclosureSEC source: 0001126328-17-000288 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,674.4 Underlying: Common Stock · 6.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| November 03, 2017 Filed Nov 6, 2017 21:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.2 | $68.32 | $423.58 |
DisclosureSEC source: 0001126328-17-000278 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,668.2 Underlying: Common Stock · 6.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| October 20, 2017 Filed Oct 23, 2017 17:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.3 | $67.75 | $426.83 |
DisclosureSEC source: 0001126328-17-000263 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,662 Underlying: Common Stock · 6.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| October 06, 2017 Filed Oct 10, 2017 13:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.4 | $66.65 | $426.56 |
DisclosureSEC source: 0001126328-17-000250 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,655.7 Underlying: Common Stock · 6.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 48.1 | $64.34 | $3,094.75 |
DisclosureSEC source: 0001126328-17-000236 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,649.3 Underlying: Common Stock · 48.1 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 129 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000236 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,280 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,618 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 15:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.8 | $63.12 | $429.22 |
DisclosureSEC source: 0001126328-17-000224 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,601.3 Underlying: Common Stock · 6.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 13:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.8 | $60.67 | $351.89 |
DisclosureSEC source: 0001126328-17-000216 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,594.5 Underlying: Common Stock · 5.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| August 25, 2017 Filed Aug 28, 2017 20:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.6 | $63.33 | $354.65 |
DisclosureSEC source: 0001126328-17-000213 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,588.7 Underlying: Common Stock · 5.6 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| August 11, 2017 Filed Aug 15, 2017 17:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.5 | $64.32 | $353.76 |
DisclosureSEC source: 0001126328-17-000212 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,583.1 Underlying: Common Stock · 5.5 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| July 28, 2017 Filed Jul 31, 2017 20:56 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.2 | $67.37 | $350.32 |
DisclosureSEC source: 0001126328-17-000200 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,577.6 Underlying: Common Stock · 5.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| July 14, 2017 Filed Jul 17, 2017 17:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.3 | $66.10 | $350.33 |
DisclosureSEC source: 0001126328-17-000193 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,572.3 Underlying: Common Stock · 5.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 52.2 | $64.07 | $3,344.45 |
DisclosureSEC source: 0001126328-17-000187 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,567 Underlying: Common Stock · 52.2 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000187 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,691 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,158 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 19:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.4 | $65.35 | $352.89 |
DisclosureSEC source: 0001126328-17-000162 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,514.8 Underlying: Common Stock · 5.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| May 19, 2017 Filed May 22, 2017 20:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.8 | $60.83 | $352.81 |
DisclosureSEC source: 0001126328-17-000145 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,503.9 Underlying: Common Stock · 5.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| May 19, 2017 Filed Jun 5, 2017 19:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.8 | $60.83 | $352.81 |
DisclosureSEC source: 0001126328-17-000152 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,503.9 Underlying: Common Stock · 5.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| May 05, 2017 Filed May 8, 2017 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.5 | $64.34 | $353.87 |
DisclosureSEC source: 0001126328-17-000118 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,498.1 Underlying: Common Stock · 5.5 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · derivative · entry 7 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,400 Underlying: Common Stock · 5,000 shares Expires 2020-02-23 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 19,905 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · derivative · entry 6 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,905 shares Expires 2018-02-26 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,000 | $65.00 | $325,000.00 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · nonDerivative · entry 4 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,537 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. F2 · balance_after: Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 5,000 | $22.21 | $111,050.00 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · nonDerivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,537 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. F2 · balance_after: Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 19,905 | $65.00 | $1,293,825.00 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · nonDerivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,537 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. F2 · balance_after: Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 27, 2017 Filed May 1, 2017 19:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 19,905 | $60.10 | $1,196,290.50 |
DisclosureSEC source: 0001126328-17-000116 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,442 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 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. F2 · balance_after: Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 21, 2017 Filed Apr 24, 2017 19:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.6 | $62.81 | $351.74 |
DisclosureSEC source: 0001126328-17-000112 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,492.6 Underlying: Common Stock · 5.6 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| April 07, 2017 Filed Apr 10, 2017 20:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14.7 | $62.57 | $919.78 |
DisclosureSEC source: 0001126328-17-000106 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,487 Underlying: Common Stock · 14.7 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 44.3 | $63.11 | $2,795.77 |
DisclosureSEC source: 0001126328-17-000095 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,472.3 Underlying: Common Stock · 44.3 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 126 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000095 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,537 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,129 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 20:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.7 | $62.17 | $354.37 |
DisclosureSEC source: 0001126328-17-000084 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,428.1 Underlying: Common Stock · 5.7 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 21:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 210.1 | $63.58 | $13,358.16 |
DisclosureSEC source: 0001126328-17-000083 · edgar.xml · derivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,422.4 Underlying: Common Stock · 210.1 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 10, 2017 Filed Mar 14, 2017 21:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.4 | $63.54 | $343.12 |
DisclosureSEC source: 0001126328-17-000083 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,212.3 Underlying: Common Stock · 5.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 41,395 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000069 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,395 Underlying: Common Stock · 41,395 shares Expires 2027-02-27 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 27, 2018. 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.