Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CITIZENS FINANCIAL GROUP INC/RICFG · Entity 1913 | Director | August 13, 2026 | August 17, 2026 |
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | EVP | March 31, 2017 | April 04, 2017 |
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.
CITIZENS FINANCIAL GROUP INC/RI
Report date August 13, 2026 · Filed August 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 39,908.537 |
Reported balance
After 2026-08-13 transaction · row 1
1 source rowRow 1 · 2026-08-13 · Grant · Acquired 246.184 · Balance 39,908.537 F1: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. |
| Common StockSEC Table I · non-derivative | IndirectHeld by spouse in revocable trust | 4,000 |
Reported balance
Holding disclosure · report date 2026-08-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan.
PRINCIPAL FINANCIAL GROUP INC
Report date March 31, 2017 · Filed April 04, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 99,715 |
Reported balance
After 2017-03-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-03-31 · Grant · Acquired 6 · Balance 99,715 F1: Grant of restricted stock units. F2: Includes 11,357 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 165.2 |
Reported balance
After 2017-03-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-03-31 · Grant · Acquired 1.2 · Balance 165.2 F3: The units convert to common stock on a one-for-one basis. F4: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 44 |
Reported balance
Holding disclosure · report date 2017-03-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 44 |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: Includes 11,357 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: The units convert to common stock on a one-for-one basis.
F4: 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.
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 |
|---|---|---|---|---|---|---|
| August 13, 2026 Filed Aug 17, 2026 20:27 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 246.184 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-26-000171 · wk-form4_1786998463.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,908.537 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 14, 2026 Filed May 15, 2026 20:35 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 295.988 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-26-000122 · wk-form4_1778877326.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,662.353 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 23, 2026 Filed Apr 24, 2026 20:32 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 2,608 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-26-000095 · wk-form4_1777062729.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,366.365 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan Read SEC document |
| February 18, 2026 Filed Feb 19, 2026 21:37 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 258.151 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-26-000045 · wk-form4_1771537056.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,758.365 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 12, 2025 Filed Nov 13, 2025 21:14 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 316.078 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-25-000166 · wk-form4_1763068464.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,500.214 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan Read SEC document |
| August 14, 2025 Filed Aug 15, 2025 20:55 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 306.212 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-25-000117 · wk-form4_1755291301.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,184.136 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 14, 2025 Filed May 15, 2025 22:24 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 358.694 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-25-000085 · wk-form4_1747347863.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,877.924 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 24, 2025 Filed Apr 25, 2025 20:33 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 4,273 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-25-000055 · wk-form4_1745613201.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,519.23 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan Read SEC document |
| February 14, 2025 Filed Feb 18, 2025 21:30 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 280.594 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-25-000025 · wk-form4_1739914208.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,246.23 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 13, 2024 Filed Nov 15, 2024 21:39 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 277.66 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-24-000189 · wk-form4_1731706770.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,965.636 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 14, 2024 Filed Aug 15, 2024 20:53 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 318.01 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-24-000162 · wk-form4_1723755209.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,687.976 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 15, 2024 Filed May 16, 2024 21:09 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 342.334 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-24-000102 · wk-form4_1715893766.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,369.966 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 25, 2024 Filed Apr 26, 2024 20:57 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 4,428 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-24-000072 · wk-form4_1714165031.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,027.632 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan Read SEC document |
| February 14, 2024 Filed Feb 16, 2024 00:30 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 338.855 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-24-000031 · wk-form4_1708043404.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,599.632 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 23:32 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 382.463 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-23-000154 · wk-form4_1700177526.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,260.777 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| October 27, 2023 Filed Oct 31, 2023 20:55 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | PurchaseCommon Stock | 1,000 | $22.87 | $22,865.00 |
DisclosureSEC source: 0000759944-23-000144 · wk-form4_1698785744.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by spouse in revocable trust Disclosed balance after: 4,000 Read SEC document |
| August 16, 2023 Filed Aug 17, 2023 21:29 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 366.371 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-23-000136 · wk-form4_1692307770.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,878.314 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 17, 2023 Filed May 18, 2023 22:14 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | PurchaseCommon Stock | 1,000 | $26.39 | $26,390.00 |
DisclosureSEC source: 0000759944-23-000099 · wk-form4_1684448023.xml · nonDerivative · entry 2 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by spouse in revocable trust Disclosed balance after: 3,000 Read SEC document |
| May 17, 2023 Filed May 18, 2023 22:14 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 384.142 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-23-000099 · wk-form4_1684448023.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,511.943 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 27, 2023 Filed Apr 28, 2023 21:06 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 4,818 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-23-000069 · wf-form4_168271594440548.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,127.801 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan Read SEC document |
| February 14, 2023 Filed Feb 16, 2023 21:51 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 185.247 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-23-000020 · wf-form4_167658430023741.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,309.801 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 16, 2022 Filed Nov 17, 2022 22:23 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 200.157 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-22-000149 · wf-form4_166872381360215.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,124.554 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 22:25 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 196.204 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-22-000128 · wf-form4_166086149033350.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,924.397 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 17, 2022 Filed May 18, 2022 21:28 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 183.518 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-22-000100 · wf-form4_165290906759748.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,728.193 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 28, 2022 Filed May 2, 2022 21:00 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 3,349 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-22-000079 · wf-form4_165152523828792.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,544.675 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 26, 2022 Filed Apr 28, 2022 22:34 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | PurchaseCommon Stock | 1,000 | $41.31 | $41,310.00 |
DisclosureSEC source: 0000759944-22-000071 · wf-form4_165118517198178.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by spouse in revocable trust Disclosed balance after: 2,000 F1 · balance_after: Includes 1000 shares previously reported as directly owned which were transferred into spouse's irrevocable trust. Read SEC document |
| February 11, 2022 Filed Feb 14, 2022 21:37 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 108.027 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-22-000014 · wf-form4_164487461016814.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,195.675 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 00:04 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 118.276 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-21-000157 · wf-form4_163702101980991.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,087.648 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 13, 2021 Filed Aug 16, 2021 21:33 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 129.275 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-21-000118 · wf-form4_162914958847808.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,969.372 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 13, 2021 Filed May 14, 2021 20:34 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 116.054 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-21-000079 · wf-form4_162102447798799.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,840.097 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 22, 2021 Filed Apr 23, 2021 20:27 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 3,010 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-21-000060 · wf-form4_161920961763671.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,724.043 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| February 17, 2021 Filed Feb 18, 2021 21:37 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 108.206 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-21-000016 · wf-form4_161368418593947.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,714.043 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 12, 2020 Filed Nov 13, 2020 21:49 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 145.679 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000111 · wf-form4_160530414086357.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,605.837 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 12, 2020 Filed Aug 13, 2020 16:09 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 166.275 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000085 · wf-form4_159733496071627.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,460.158 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 13, 2020 Filed May 14, 2020 20:22 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 223.358 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000074 · wf-form4_158948774526972.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,293.883 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 23, 2020 Filed Apr 24, 2020 20:21 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 6,419 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000058 · wf-form4_158775968595567.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,070.525 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 20:37 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | PurchaseCommon Stock | 1,000 | $24.46 | $24,460.00 |
DisclosureSEC source: 0000759944-20-000043 · wf-form4_158404544128224.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,651.525 Read SEC document |
| February 12, 2020 Filed Feb 13, 2020 21:08 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 46.195 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000008 · wf-form4_158162807667996.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,651.525 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 13, 2019 Filed Nov 14, 2019 22:36 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 43.333 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000092 · wf-form4_157377097455302.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,605.33 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 14, 2019 Filed Aug 15, 2019 20:16 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 51.194 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000078 · wf-form4_156590019063263.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,561.997 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 15, 2019 Filed May 16, 2019 15:44 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 41.803 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000053 · wf-form4_155802143082248.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,510.803 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 20:52 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 3,639 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000041 · wf-form4_155631195771062.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,469 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 22:19 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 830 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000003 · wf-form4_154940514764843.xml · nonDerivative · entry 1 Lillis Terrance · CIK 0001443238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 830 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1.2 | $63.11 | $75.73 |
DisclosureSEC source: 0001126328-17-000102 · edgar.xml · derivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165.2 Underlying: Common Stock · 1.2 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 21:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000102 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,715 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,357 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 | 50,970 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000073 · edgar.xml · derivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,970 Underlying: Common Stock · 50,970 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 | 9,781 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000073 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,704 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 11,352 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 20:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 7,380 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000059 · edgar.xml · derivative · entry 4 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,380 shares Expires 2018-02-27 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 November 8, 2016. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 20:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 7,380 | $62.50 | $461,250.00 |
DisclosureSEC source: 0001126328-17-000059 · edgar.xml · nonDerivative · entry 2 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,923 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 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 $62.50 - $62.52 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 11,352 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 20:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 7,380 | $60.10 | $443,538.00 |
DisclosureSEC source: 0001126328-17-000059 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,303 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 8, 2016. F2 · balance_after: Includes 11,352 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.