Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | President - Global Asset Mgmt. | September 04, 2018 | September 05, 2018 |
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 FINANCIAL GROUP INC
Report date September 04, 2018 · Filed September 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 149,329 |
Last balance in matching sequence
After 2018-09-04 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-09-04 · Exercise / conversion · Acquired 10,000 · Balance 169,329 F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F2: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Row 2 · 2018-09-04 · Sale · Disposed 10,000 · Balance 159,329 F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.82 - $55.73, 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: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Row 3 · 2018-09-04 · Sale · Disposed 10,000 · Balance 149,329 F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.82 - $55.73, 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: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.70 · Expires 2023-02-25 | Direct | 43,630 |
Reported balance
After 2018-09-04 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-09-04 · Exercise / conversion · Disposed 10,000 · Balance 43,630 F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018.
F2: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.82 - $55.73, 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.
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 |
|---|---|---|---|---|---|---|
| September 04, 2018 Filed Sep 5, 2018 15:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000236 · edgar.xml · derivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,630 Underlying: Common Stock · 10,000 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 May 3, 2018. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 15:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $55.42 | $554,200.00 |
DisclosureSEC source: 0001126328-18-000236 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.82 - $55.73, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 15:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $55.42 | $554,200.00 |
DisclosureSEC source: 0001126328-18-000236 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.82 - $55.73, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 15:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,000 | $30.70 | $307,000.00 |
DisclosureSEC source: 0001126328-18-000236 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,329 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 3, 2018. F2 · balance_after: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000224 · edgar.xml · derivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,630 Underlying: Common Stock · 10,000 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 May 3, 2018. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $55.44 | $554,400.00 |
DisclosureSEC source: 0001126328-18-000224 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.97 - $55.76, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $55.44 | $554,400.00 |
DisclosureSEC source: 0001126328-18-000224 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.97 - $55.76, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 19:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,000 | $30.70 | $307,000.00 |
DisclosureSEC source: 0001126328-18-000224 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,329 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 3, 2018. F2 · balance_after: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 02, 2018 Filed Jul 6, 2018 15:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000209 · edgar.xml · derivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,630 Underlying: Common Stock · 10,000 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 May 3, 2018. Read SEC document |
| July 02, 2018 Filed Jul 6, 2018 15:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $52.72 | $527,200.00 |
DisclosureSEC source: 0001126328-18-000209 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.46 - $53.05, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 02, 2018 Filed Jul 6, 2018 15:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $52.72 | $527,200.00 |
DisclosureSEC source: 0001126328-18-000209 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,329 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.46 - $53.05, 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 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 02, 2018 Filed Jul 6, 2018 15:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,000 | $30.70 | $307,000.00 |
DisclosureSEC source: 0001126328-18-000209 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,329 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 3, 2018. F2 · balance_after: Includes 11,089 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 29, 2018 Filed Jul 6, 2018 15:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 202 | $52.95 | $10,695.90 |
DisclosureSEC source: 0001126328-18-000209 · edgar.xml · derivative · entry 5 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,770.2 Underlying: Common Stock · 202 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 |
| June 04, 2018 Filed Jun 5, 2018 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000176 · edgar.xml · derivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,630 Underlying: Common Stock · 10,000 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 May 3, 2018. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $56.31 | $563,100.00 |
DisclosureSEC source: 0001126328-18-000176 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,960 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F2 · balance_after: Includes 10,720 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $56.31 | $563,100.00 |
DisclosureSEC source: 0001126328-18-000176 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,960 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 2018. F2 · balance_after: Includes 10,720 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 04, 2018 Filed Jun 5, 2018 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,000 | $30.70 | $307,000.00 |
DisclosureSEC source: 0001126328-18-000176 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,960 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 3, 2018. F2 · balance_after: Includes 10,720 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhanton Stock Units · Derivative | 170.8 | $60.91 | $10,403.43 |
DisclosureSEC source: 0001126328-18-000134 · edgar.xml · derivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,568.2 Underlying: Common Stock · 170.8 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 |
| February 26, 2018 Filed Feb 28, 2018 22:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 81,665 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000106 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,665 Underlying: Common Stock · 81,665 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 22:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 15,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000106 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,951 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 10,719 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2017 Filed Jan 2, 2018 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhanton Stock Units · Derivative | 139 | $71.39 | $9,923.21 |
DisclosureSEC source: 0001126328-18-000015 · edgar.xml · derivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,397.4 Underlying: Common Stock · 139 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 24, 2017 Filed Nov 28, 2017 19:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Tax withholdingCommon Stock | 22,725 | $68.65 | $1,560,071.25 |
DisclosureSEC source: 0001126328-17-000291 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,823 F1 · balance_after: Includes 10,711 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhanton Stock Units · Derivative | 146.9 | $64.34 | $9,451.55 |
DisclosureSEC source: 0001126328-17-000241 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,258.4 Underlying: Common Stock · 146.9 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 29, 2017 Filed Oct 3, 2017 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 295 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000241 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,548 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,711 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 12, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,093 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · derivative · entry 6 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,093 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 5, 2017. Read SEC document |
| September 12, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 6,093 | $62.34 | $379,837.62 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $62.14 - $62.53, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 12, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 6,093 | $60.10 | $366,189.30 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,912 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 11, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 100 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · derivative · entry 5 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,093 Underlying: Common Stock · 100 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 5, 2017. F4 · balance_after: Corrects previously inaccurate remaining amount. Read SEC document |
| September 11, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 100 | $62.00 | $6,200.00 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 11, 2017 Filed Sep 12, 2017 20:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 100 | $60.10 | $6,010.00 |
DisclosureSEC source: 0001126328-17-000217 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,919 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 19:34 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,914 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000215 · edgar.xml · derivative · entry 6 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,139 Underlying: Common Stock · 2,914 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 5, 2017. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 19:34 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 2,914 | $62.15 | $181,105.10 |
DisclosureSEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $62.00 - $62.31, 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. F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 19:34 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 2,914 | $60.10 | $175,131.40 |
DisclosureSEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,733 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 5, 2017. F3 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 19,350 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 15 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,350 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 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,589 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 14 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,589 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 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 9,841 | $0.00 Strike: $22.21 | $0.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 13 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,841 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 May 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,888 | $0.00 Strike: $11.07 | $0.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 12 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,888 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 May 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 15,146 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · derivative · entry 11 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,146 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 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 19,350 | $62.10 | $1,201,635.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 10 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 19,350 | $27.46 | $531,351.00 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 9 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,169 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 12,589 | $62.10 | $781,776.90 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 8 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 12,589 | $34.26 | $431,299.14 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 7 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,407 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 9,841 | $62.10 | $611,126.10 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 6 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 9,841 | $22.21 | $218,568.61 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 5 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,660 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 3,888 | $62.10 | $241,444.80 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 4 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 3,888 | $11.07 | $43,040.16 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 3 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,707 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 15,146 | $62.10 | $940,566.60 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 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 $61.58 - $62.89, 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 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 6, 2017 15:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 15,146 | $60.10 | $910,274.60 |
DisclosureSEC source: 0001126328-17-000214 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,965 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 5, 2017. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 05, 2017 Filed Sep 8, 2017 19:34 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,039 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000215 · edgar.xml · derivative · entry 5 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,107 Underlying: Common Stock · 6,039 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 5, 2017. Read SEC document |
| September 05, 2017 Filed Sep 8, 2017 19:34 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 6,039 | $62.10 | $375,021.90 |
DisclosureSEC source: 0001126328-17-000215 · edgar.xml · nonDerivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,819 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 5, 2017. F2 · shares: Corrects prior number of options and underlying shares reported. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.58 - $62.89, 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. F3 · balance_after: Includes 10,273 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.