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 |
|---|---|---|---|---|---|---|
| December 27, 2016 Filed Dec 29, 2016 22:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1.2 | $58.73 | $70.48 |
DisclosureSEC source: 0001126328-16-000650 · edgar.xml · derivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164 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 |
| December 27, 2016 Filed Dec 29, 2016 22:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 158 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000650 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,923 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,352 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,505 | $0.00 Strike: $56.52 | $0.00 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · derivative · entry 8 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,505 shares Expires 2018-05-19 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 |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,655 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · derivative · entry 7 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,655 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 November 8, 2016. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $60.82 | $608,200.00 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · nonDerivative · entry 5 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,761 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2016. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.54 - $61.04, 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 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 13,505 | $61.00 | $823,805.00 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · nonDerivative · entry 4 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,761 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2016. F2 · balance_after: Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 13,505 | $56.52 | $763,302.60 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · nonDerivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,266 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2016. F2 · balance_after: Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 25,655 | $60.83 | $1,560,593.65 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · nonDerivative · entry 2 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,761 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 $60.23 - $61.36, 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 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 22:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 25,655 | $34.26 | $878,940.30 |
DisclosureSEC source: 0001126328-16-000625 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,416 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 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 04, 2016 Filed Nov 4, 2016 20:44 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 800 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000591 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,761 F1 · balance_after: Includes 11,348 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 1.3 | $51.51 | $66.96 |
DisclosureSEC source: 0001126328-16-000574 · edgar.xml · derivative · entry 3 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162.8 Underlying: Commom Stock · 1.3 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 20:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 170 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000574 · edgar.xml · nonDerivative · entry 1 Lillis Terrance J. · CIK 0001443238 · EVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,561 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 11,348 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.