Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Principal Real Asset FundNA · Entity 9033 | Exec VP, Gen Cousnel, Dir -PGI | 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 June 26, 2020 · Filed June 30, 2020
Section 16 reporting ended · disclosed 2020-06-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 102,780 |
Reported balance
After 2020-06-26 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-06-26 · Grant · Acquired 203 · Balance 102,780 F1: Grant of restricted stock units. F2: Includes 10,519 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 2,801 |
Reported balance
Holding disclosure · report date 2020-06-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,801 |
| Common StockSEC Table I · non-derivative | IndirectBy Immediate Family Member's IRA | 500 |
Reported balance
Holding disclosure · report date 2020-06-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 500 |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: Includes 10,519 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 |
|---|---|---|---|---|---|---|
| June 26, 2020 Filed Jun 30, 2020 23:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 203 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000165 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,780 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,519 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 240 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000115 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,435 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,377 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 50,015 | $0.00 Strike: $51.73 | $0.00 |
DisclosureSEC source: 0001126328-20-000084 · edgar.xml · derivative · entry 4 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,015 Underlying: Common Stock · 50,015 shares Expires 2030-02-24 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 24, 2021. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 7,330 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000084 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,567 F1 · price: Settlement of performance-based restricted stock units granted February 27, 2017. F2 · balance_after: Includes 9,652 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 139 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000276 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,237 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 9,749 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 21:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 131 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000232 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,001 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 9,652 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 127 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000195 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,778 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 9,560 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 145 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000130 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,564 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 9,473 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 48,215 | $0.00 Strike: $53.09 | $0.00 |
DisclosureSEC source: 0001126328-19-000100 · edgar.xml · derivative · entry 4 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,215 Underlying: Common Stock · 48,215 shares Expires 2029-02-25 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 25, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 15,677 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000100 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,321 F1 · price: Settlement of performance-based restricted stock units granted February 22, 2016. F2 · balance_after: Includes 9,375 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000016 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,644 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 9,375 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 20:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 119 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000265 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,892 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,788 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 29, 2018 Filed Jul 3, 2018 20:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000207 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,694 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,709 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 21:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 108 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000136 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,481 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,624 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 32,465 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000108 · edgar.xml · derivative · entry 4 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,465 Underlying: Common Stock · 32,465 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 22:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 9,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000108 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,300 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 8,551 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 88 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000017 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,049 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,165 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 07, 2017 Filed Dec 8, 2017 20:56 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 3,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000306 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,905 F1 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 22:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 40,755 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-17-000299 · edgar.xml · derivative · entry 6 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,755 shares Expires 2023-02-25 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 1, 2017. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 22:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 9,806 | $69.51 | $681,615.06 |
DisclosureSEC source: 0001126328-17-000299 · edgar.xml · nonDerivative · entry 3 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,705 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.41 - $70.53, 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 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 22:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 40,755 | $69.51 | $2,832,880.05 |
DisclosureSEC source: 0001126328-17-000299 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,511 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 1, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.41 - $70.53, 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 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 22:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 40,755 | $30.70 | $1,251,178.50 |
DisclosureSEC source: 0001126328-17-000299 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,266 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 1, 2017. F2 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 02, 2017 Filed Nov 7, 2017 21:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 6,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000279 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,511 F1 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,588 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000262 · edgar.xml · derivative · entry 5 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,588 shares Expires 2021-02-28 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 May 9, 2017. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,588 | $68.01 | $720,089.88 |
DisclosureSEC source: 0001126328-17-000262 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,911 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.00 - $68.09, 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 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,588 | $34.26 | $362,744.88 |
DisclosureSEC source: 0001126328-17-000262 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,499 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 May 9, 2017. F2 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 18, 2017 Filed Oct 19, 2017 18:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 17,082 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000254 · edgar.xml · derivative · entry 5 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,588 Underlying: Common Stock · 17,082 shares Expires 2021-02-28 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 May 9, 2017. Read SEC document |
| October 18, 2017 Filed Oct 19, 2017 18:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 17,082 | $68.00 | $1,161,576.00 |
DisclosureSEC source: 0001126328-17-000254 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,911 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. F2 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 18, 2017 Filed Oct 19, 2017 18:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 17,082 | $34.26 | $585,229.32 |
DisclosureSEC source: 0001126328-17-000254 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,993 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 May 9, 2017. F2 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 93 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000243 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,911 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,109 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,500 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000192 · edgar.xml · derivative · entry 5 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,500 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 May 9, 2017. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 30,500 | $65.00 | $1,982,500.00 |
DisclosureSEC source: 0001126328-17-000192 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,760 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. F2 · balance_after: Includes 8,051 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 17:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 30,500 | $60.10 | $1,833,050.00 |
DisclosureSEC source: 0001126328-17-000192 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,260 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 May 9, 2017. F2 · balance_after: Includes 8,051 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 91 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000183 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,760 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,051 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 38,105 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-17-000159 · edgar.xml · derivative · entry 5 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,105 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 May 9, 2017. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 38,105 | $65.05 | $2,478,730.25 |
DisclosureSEC source: 0001126328-17-000159 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,612 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 9, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 - $65.31, 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 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 38,105 | $27.46 | $1,046,363.30 |
DisclosureSEC source: 0001126328-17-000159 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,717 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 May 9, 2017. F2 · balance_after: Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| May 15, 2017 Filed May 18, 2017 20:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000140 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,612 F1 · balance_after: Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 90 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000100 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,612 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,994 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:27 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 31,035 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000076 · edgar.xml · derivative · entry 4 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,035 Underlying: Common Stock · 31,035 shares Expires 2027-02-27 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 27, 2018. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:27 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 5,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000076 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,465 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 7,937 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 21:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 43,410 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-17-000041 · edgar.xml · derivative · entry 5 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,410 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 |
| February 09, 2017 Filed Feb 13, 2017 21:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 43,410 | $60.04 | $2,606,336.40 |
DisclosureSEC source: 0001126328-17-000041 · edgar.xml · nonDerivative · entry 2 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,928 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.00 - $60.12, 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 7,330 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 21:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 43,410 | $22.21 | $964,136.10 |
DisclosureSEC source: 0001126328-17-000041 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,338 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 7,330 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 91 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000653 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,928 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,330 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 22:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 701 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000605 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,783 F1 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 28, 2016 Filed Oct 28, 2016 21:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 12,832 | $55.00 | $705,760.00 |
DisclosureSEC source: 0001126328-16-000589 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,484 F1 · kind: Pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 3, 2016. F2 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 98 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000577 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,316 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,276 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| August 31, 2016 Filed Sep 13, 2016 17:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 1,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000554 · edgar.xml · nonDerivative · entry 1 SHAFF KAREN E · CIK 0001166872 · EVP, Gen'l Counsel, Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,161 F1 · balance_after: Includes 7,219 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. 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.