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 |
|---|---|---|---|---|---|---|
| February 27, 2017 Filed Mar 1, 2017 22:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 6,038 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000069 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,381 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 4,099 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 24, 2017 Filed Feb 27, 2017 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.4 | $62.75 | $338.85 |
DisclosureSEC source: 0001126328-17-000065 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,207 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 10, 2017 Filed Feb 13, 2017 22:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.6 | $60.86 | $340.82 |
DisclosureSEC source: 0001126328-17-000043 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,201.6 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 |
| January 27, 2017 Filed Jan 30, 2017 20:39 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.9 | $58.00 | $342.20 |
DisclosureSEC source: 0001126328-17-000008 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,196 Underlying: Common Stock · 5.9 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 |
| January 13, 2017 Filed Jan 17, 2017 21:25 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 5.8 | $59.03 | $342.37 |
DisclosureSEC source: 0001126328-17-000005 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,190.1 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 |
| January 03, 2017 Filed Jan 4, 2017 22:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 8.8 | $57.86 | $509.17 |
DisclosureSEC source: 0001126328-17-000004 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,184.3 Underlying: Common Stock · 8.8 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 30, 2016 Filed Jan 3, 2017 19:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.2 | $57.86 | $416.59 |
DisclosureSEC source: 0001126328-17-000003 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,175.5 Underlying: Common Stock · 7.2 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 |
| December 27, 2016 Filed Dec 29, 2016 22:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 44.7 | $58.73 | $2,625.23 |
DisclosureSEC source: 0001126328-16-000646 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,168.3 Underlying: Common Stock · 44.7 shares Expires not disclosed F4 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F5 · 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. F5 · 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 27, 2016 Filed Dec 29, 2016 22:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000646 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,343 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,099 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. F3 · balance_after: Corrects inadvertent mathematical error from report filed October 28, 2016. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 15:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.2 | $57.80 | $416.16 |
DisclosureSEC source: 0001126328-16-000634 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,123.7 Underlying: Common Stock · 7.2 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 |
| December 02, 2016 Filed Dec 5, 2016 22:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.2 | $57.78 | $416.02 |
DisclosureSEC source: 0001126328-16-000614 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,116.5 Underlying: Common Stock · 7.2 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 18, 2016 Filed Nov 21, 2016 22:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.2 | $57.66 | $415.15 |
DisclosureSEC source: 0001126328-16-000611 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,109.3 Underlying: Common Stock · 7.2 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 16, 2016 Filed Dec 13, 2016 20:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000629 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,185 F1 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,704 | $0.00 Strike: $11.07 | $0.00 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · derivative · entry 4 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,704 shares Expires 2019-02-24 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 23, 2015. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 6,704 | $55.00 | $368,720.00 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · nonDerivative · entry 2 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,185 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 16:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 6,704 | $11.07 | $74,213.28 |
DisclosureSEC source: 0001126328-16-000590 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,889 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 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 19:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.9 | $52.62 | $415.70 |
DisclosureSEC source: 0001126328-16-000586 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,094.3 Underlying: Common Stock · 7.9 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 |
| October 21, 2016 Filed Nov 8, 2016 17:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.9 | $52.62 | $415.70 |
DisclosureSEC source: 0001126328-16-000592 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,094.3 Underlying: Common Stock · 7.9 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 |
| October 07, 2016 Filed Oct 11, 2016 14:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.9 | $52.26 | $412.85 |
DisclosureSEC source: 0001126328-16-000583 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,086.4 Underlying: Common Stock · 7.9 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 |
| October 05, 2016 Filed Oct 6, 2016 14:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,000 | $52.00 | $260,000.00 |
DisclosureSEC source: 0001126328-16-000580 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,185 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2015. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 47.9 | $51.51 | $2,467.33 |
DisclosureSEC source: 0001126328-16-000570 · edgar.xml · derivative · entry 3 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,078.5 Underlying: Common Stock · 47.9 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 30, 2016 Filed Oct 4, 2016 20:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 153 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000570 · edgar.xml · nonDerivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,185 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 4,069 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 19:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 6.9 | $49.80 | $343.62 |
DisclosureSEC source: 0001126328-16-000559 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,030.6 Underlying: Common Stock · 6.9 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 |
| September 09, 2016 Filed Sep 12, 2016 19:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 7.1 | $48.37 | $343.43 |
DisclosureSEC source: 0001126328-16-000553 · edgar.xml · derivative · entry 1 Dunbar Timothy Mark · CIK 0001565742 · EVP & Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,023.7 Underlying: Common Stock · 7.1 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.