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 |
|---|---|---|---|---|---|---|
| April 06, 2017 Filed Apr 6, 2017 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,000 | $62.65 | $313,250.00 |
DisclosureSEC source: 0001126328-17-000105 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,527 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.92 - $63.15, 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 |
| March 31, 2017 Filed Apr 4, 2017 21:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 141.4 | $63.11 | $8,923.75 |
DisclosureSEC source: 0001126328-17-000103 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,968.1 Underlying: Common Stock · 141.4 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 284 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000103 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,527 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,273 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 17:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,000 | $63.18 | $315,900.00 |
DisclosureSEC source: 0001126328-17-000077 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,238 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.03 - $63.39, 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 10,268 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 77,670 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000074 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,670 Underlying: Common Stock · 77,670 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 22:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 13,083 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000074 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,238 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 10,268 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 144.1 | $58.73 | $8,462.99 |
DisclosureSEC source: 0001126328-16-000651 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,826.7 Underlying: Common Stock · 144.1 shares Expires not disclosed F3 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F4 · derivative.exercise_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. F4 · derivative.expiration_date: Acquired pursuant to the Principal Financial Group, Inc. Select Savings Excess Plan and may be transferred at any time into another investment alternative under that plan. Interests under the plan will be settled upon the reporting person's retirement or other termination of service. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 290 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000651 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,155 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,268 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 155.4 | $51.51 | $8,004.65 |
DisclosureSEC source: 0001126328-16-000575 · edgar.xml · derivative · entry 2 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,682.6 Underlying: Common Stock · 155.4 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 20:54 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 312 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000575 · edgar.xml · nonDerivative · entry 1 MCCAUGHAN JAMES P · CIK 0001196954 · President - Global Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,861 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 10,264 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.