Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | SVP & Chief Risk Officer | December 28, 2017 | January 02, 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 December 28, 2017 · Filed January 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,843 |
Reported balance
After 2017-12-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-12-28 · Grant · Acquired 25 · Balance 20,843 F1: Grant of restricted stock units. F2: Includes 1,681 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: Includes 1,681 shares held in 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 |
|---|---|---|---|---|---|---|
| December 28, 2017 Filed Jan 2, 2018 22:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000012 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,843 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,681 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000237 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,806 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,669 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000188 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,768 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,657 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 4,230 | $0.00 Strike: $37.38 | $0.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 10 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,460 Underlying: Common Stock · 4,230 shares Expires 2026-02-22 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 22, 2017. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 5,835 | $0.00 Strike: $44.88 | $0.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 9 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,835 shares Expires 2024-02-24 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 22, 2017. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 5,975 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · derivative · entry 8 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,975 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 22, 2017. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 14,667 | $64.20 | $941,621.40 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 7 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,731 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 4,230 | $64.20 | $271,566.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 6 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,398 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 4,230 | $37.38 | $158,117.40 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 5 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,628 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 22, 2017. F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,835 | $64.20 | $374,607.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 4 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,398 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 5,835 | $44.88 | $261,874.80 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 3 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,233 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 22, 2017. F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 5,975 | $64.20 | $383,595.00 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 2 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,398 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 22, 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 $63.80 - $64.97, 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 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 5,975 | $34.26 | $204,703.50 |
DisclosureSEC source: 0001126328-17-000163 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,373 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 22, 2017. F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:31 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000096 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,398 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,646 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000070 · edgar.xml · derivative · entry 3 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 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 22:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 3,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000070 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,361 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 1,634 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 14:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,600 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000058 · edgar.xml · derivative · entry 4 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,600 shares Expires 2018-02-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2016. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 14:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 12,600 | $62.00 | $781,200.00 |
DisclosureSEC source: 0001126328-17-000058 · edgar.xml · nonDerivative · entry 2 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,168 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2016. F2 · balance_after: Includes 1,634 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 14:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 12,600 | $60.10 | $757,260.00 |
DisclosureSEC source: 0001126328-17-000058 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,768 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 9, 2016. F2 · balance_after: Includes 1,634 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 16 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000647 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,168 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,634 shares held in Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 18 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000571 · edgar.xml · nonDerivative · entry 1 Elming Gregory Bernard · CIK 0001516394 · SVP & Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,140 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,622 shares held in 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.