person · Reporting owner
Houston Daniel Joseph
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADT Inc.ADT · Entity 3866 | Director | October 01, 2026 | October 05, 2026 |
| ARCH CAPITAL GROUP LTD.ACGL · Entity 3120 | Director | May 05, 2026 | May 07, 2026 |
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | Director · Executive Chairman | June 27, 2025 | July 01, 2025 |
| Principal Private Credit FundN/A · Entity 53435 | Director of PGI | April 16, 2024 | April 25, 2024 |
| Principal Real Asset FundNA · Entity 9033 | Director - PGI | June 25, 2019 | June 27, 2019 |
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.
ADT Inc.
Report date October 01, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,610.777 |
Reported balance
After 2026-10-01 transaction · row 1
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 234.513 · Balance 101,610.777 F1: Represents dividend equivalent units, which accrued in accordance with the terms of the restricted stock units based on the closing price per share of Common Stock as of October 1, 2026, and which vest on May 27, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents dividend equivalent units, which accrued in accordance with the terms of the restricted stock units based on the closing price per share of Common Stock as of October 1, 2026, and which vest on May 27, 2027.
ARCH CAPITAL GROUP LTD.
Report date May 05, 2026 · Filed May 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares, $.0011 par value per shareSEC Table I · non-derivative | Direct | 13,313 |
Ending reported balance
After 2026-05-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-05-05 · Grant · Acquired 2,071 · Balance 11,986 F1: Subject to the terms of the restricted share agreement, represents restricted shares that will become vested on the date that is the earlier of 1) one year following the grant date or 2) Arch Capital Group Ltd.'s next Annual General Meeting of Shareholders. Row 2 · 2026-05-05 · Grant · Acquired 1,327 · Balance 13,313 F2: Represents shares granted as part of the director-elected annual retainer for serving as a director of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the terms of the restricted share agreement, represents restricted shares that will become vested on the date that is the earlier of 1) one year following the grant date or 2) Arch Capital Group Ltd.'s next Annual General Meeting of Shareholders.
F2: Represents shares granted as part of the director-elected annual retainer for serving as a director of the Issuer.
PRINCIPAL FINANCIAL GROUP INC
Report date June 27, 2025 · Filed July 01, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 271,613 |
Reported balance
After 2025-06-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-06-27 · Grant · Acquired 859 · Balance 271,613 F1: Grant of restricted stock units. F2: Includes 915 shares acquired pursuant to and held within the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,909 |
Reported balance
After 2025-06-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-06-27 · Grant · Acquired 18 · Balance 1,909 F5: The units convert to common stock on a one-for-one basis. F6: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 45,823 |
Reported balance
Holding disclosure · report date 2025-06-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 45,823 F3: Joan M. Houston 2021 Trust |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 125,000 |
Reported balance
Holding disclosure · report date 2025-06-27 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 125,000 F4: Daniel J. Houston 2019 DGT Exempt Trust |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 4,117 |
Reported balance
Holding disclosure · report date 2025-06-27 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4,117 |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: Includes 915 shares acquired pursuant to and held within the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: Joan M. Houston 2021 Trust
F4: Daniel J. Houston 2019 DGT Exempt Trust
F5: The units convert to common stock on a one-for-one basis.
F6: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement.
Principal Private Credit Fund
Report date April 16, 2024 · Filed April 25, 2024
This filing explicitly reported no securities owned.
Principal Real Asset Fund
Report date June 25, 2019 · Filed June 27, 2019
This filing explicitly reported no securities owned.
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 11, 2022 Filed Aug 15, 2022 15:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 84,843 | $78.09 | $6,625,389.87 |
DisclosureSEC source: 0001062993-22-017929 · form4.xml · nonDerivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,284 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/13/2022 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $78.00 to $78.24, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 15:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 42,457 | $62.78 | $2,665,450.46 |
DisclosureSEC source: 0001062993-22-017929 · form4.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,127 Read SEC document |
| August 11, 2022 Filed Aug 15, 2022 15:59 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 42,386 | $44.88 | $1,902,283.68 |
DisclosureSEC source: 0001062993-22-017929 · form4.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,670 Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 16 | $68.55 | $1,096.80 |
DisclosureSEC source: 0001062993-22-015538 · form4.xml · derivative · entry 5 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,720 Underlying: Common Stock · 16 shares Expires not disclosed F5 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F6 · 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. F6 · 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 24, 2022 Filed Jun 28, 2022 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 336 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-015538 · form4.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,284 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 6,021 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 21:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15 | $73.60 | $1,104.00 |
DisclosureSEC source: 0001062993-22-008882 · form4.xml · derivative · entry 5 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,704 Underlying: Common Stock · 15 shares Expires not disclosed F5 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F6 · 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. F6 · 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 25, 2022 Filed Mar 29, 2022 21:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 606 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-008882 · form4.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,948 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 6,021 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 35,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006690 · form4.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,559 F2 · price: Grant of restricted stock units. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006690 · form4.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,879 F1 · price: Settlement of performance based restricted stock units granted February 25, 2019. F3 · balance_after: Includes 5,238 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 21, 2021 Filed Dec 23, 2021 19:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15 | $70.33 | $1,054.95 |
DisclosureSEC source: 0001126328-21-000241 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,689 Underlying: Common Stock · 15 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 01, 2021 Filed Feb 10, 2022 19:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 45,823 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-003492 · form5.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,136 F1 · shares: On November 1, 2021, the reporting person transferred 45,823 shares of Principal Financial Group, Inc. common stock to a family trust of which the reporting person is trustee. The reporting person and members of his immediate family are the sole beneficiaries of the trust. F2 · balance_after: Includes 5,238 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 21:05 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 16 | $64.45 | $1,031.20 |
DisclosureSEC source: 0001126328-21-000204 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,674 Underlying: Common Stock · 16 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 |
| June 25, 2021 Filed Jun 29, 2021 19:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 16 | $64.36 | $1,029.76 |
DisclosureSEC source: 0001126328-21-000171 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,658 Underlying: Common Stock · 16 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 |
| March 26, 2021 Filed Mar 30, 2021 20:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15 | $60.63 | $909.45 |
DisclosureSEC source: 0001126328-21-000129 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,642 Underlying: Common Stock · 15 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 05, 2021 Filed Mar 9, 2021 23:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 271,220 | $0.00 Strike: $58.68 | $0.00 |
DisclosureSEC source: 0001126328-21-000107 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,220 Underlying: Common Stock · 271,220 shares Expires 2031-03-05 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning March 5, 2022. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 17,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000096 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,959 F1 · price: Settlement of performance-based restricted stock units granted February 26, 2018. F2 · balance_after: Includes 5,238 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 29, 2020 Filed Feb 8, 2021 20:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000009 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,898 F1 · shares: On December 29, 2020, the reporting person transferred 125,000 shares of Principal Financial Group, Inc. common stock to a family trust of which the reporting person is trustee. The reporting person and members of his immediate family are the sole beneficiaries of the trust. F2 · balance_after: Includes 5,238 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 20:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 19 | $47.50 | $902.50 |
DisclosureSEC source: 0001126328-20-000238 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,627 Underlying: Common Stock · 19 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 |
| September 25, 2020 Filed Sep 29, 2020 20:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 23 | $38.63 | $888.49 |
DisclosureSEC source: 0001126328-20-000195 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,608 Underlying: Common Stock · 23 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 |
| June 26, 2020 Filed Jun 30, 2020 23:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 22.4 | $39.14 | $876.74 |
DisclosureSEC source: 0001126328-20-000156 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,585 Underlying: Common Stock · 22.4 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 |
| March 27, 2020 Filed Mar 31, 2020 21:46 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 26.4 | $32.60 | $860.64 |
DisclosureSEC source: 0001126328-20-000111 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,563 Underlying: Common Stock · 26.4 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 24, 2020 Filed Feb 26, 2020 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 401,970 | $0.00 Strike: $51.73 | $0.00 |
DisclosureSEC source: 0001126328-20-000079 · edgar.xml · derivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,970 Underlying: Common Stock · 401,970 shares Expires 2030-02-24 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 24, 2021. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 23,777 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000079 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,125 F1 · price: Settlement of performance-based restricted stock units granted February 27, 2017. F2 · balance_after: Includes 4,465 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15.3 | $54.76 | $837.83 |
DisclosureSEC source: 0001126328-19-000272 · edgar.xml · derivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,536.6 Underlying: Common Stock · 15.3 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · 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. F3 · 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 13, 2019 Filed Dec 31, 2019 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 47,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000272 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,348 F1 · balance_after: Includes 4,510 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 21:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14.4 | $57.37 | $826.13 |
DisclosureSEC source: 0001126328-19-000228 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,521.3 Underlying: Common Stock · 14.4 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 |
| June 28, 2019 Filed Jul 2, 2019 22:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 13.9 | $57.92 | $805.09 |
DisclosureSEC source: 0001126328-19-000191 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,506.8 Underlying: Common Stock · 13.9 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 |
| March 29, 2019 Filed Apr 2, 2019 21:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 15.9 | $50.19 | $798.02 |
DisclosureSEC source: 0001126328-19-000126 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,492.9 Underlying: Common Stock · 15.9 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 25, 2019 Filed Feb 27, 2019 22:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 348,750 | $0.00 Strike: $53.09 | $0.00 |
DisclosureSEC source: 0001126328-19-000097 · edgar.xml · derivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 348,750 Underlying: Common Stock · 348,750 shares Expires 2029-02-25 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 25, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:17 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 39,438 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000097 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,367 F1 · price: Settlement of performance-based restricted stock units granted February 22, 2016. F2 · balance_after: Includes 3,779 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 18.1 | $43.56 | $788.44 |
DisclosureSEC source: 0001126328-19-000019 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,477 Underlying: Common Stock · 18.1 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 |
| September 28, 2018 Filed Oct 2, 2018 20:28 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 13.1 | $58.59 | $767.53 |
DisclosureSEC source: 0001126328-18-000262 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,458.9 Underlying: Common Stock · 13.1 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 |
| June 29, 2018 Filed Jul 3, 2018 20:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14.1 | $52.95 | $746.60 |
DisclosureSEC source: 0001126328-18-000204 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,445.8 Underlying: Common Stock · 14.1 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 |
| March 29, 2018 Filed Apr 2, 2018 21:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 11.9 | $60.91 | $724.83 |
DisclosureSEC source: 0001126328-18-000132 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,431.8 Underlying: Common Stock · 11.9 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 22:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 227,275 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000104 · edgar.xml · derivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,275 Underlying: Common Stock · 227,275 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 22:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 16,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000104 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,430 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 19,856 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,856 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 November 13, 2017. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 19,856 | $72.02 | $1,430,029.12 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,662 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 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 $72.00 - $72.06, 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 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 08, 2018 Filed Jan 9, 2018 22:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 19,856 | $30.70 | $609,579.20 |
DisclosureSEC source: 0001126328-18-000024 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,518 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 13, 2017. F2 · balance_after: Includes 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 69,894 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,856 Underlying: Common Stock · 69,894 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 November 13, 2017. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 69,894 | $72.01 | $5,033,066.94 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,662 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 13, 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 $72.00 - $72.03, 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 3,280 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| January 05, 2018 Filed Jan 8, 2018 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 69,894 | $30.70 | $2,145,745.80 |
DisclosureSEC source: 0001126328-18-000021 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,556 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 13, 2017. F2 · balance_after: Includes 3,280 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 | GrantPhantom Stock Units · Derivative | 9.7 | $71.39 | $692.48 |
DisclosureSEC source: 0001126328-18-000014 · edgar.xml · derivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,419.9 Underlying: Common Stock · 9.7 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 28, 2017 Filed Nov 29, 2017 14:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 37,080 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000292 · edgar.xml · derivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,080 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 13, 2015. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 14:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 37,080 | $70.05 | $2,597,454.00 |
DisclosureSEC source: 0001126328-17-000292 · edgar.xml · nonDerivative · entry 2 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,640 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2015. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.00 - $70.26, 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 3,258 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 14:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 37,080 | $60.10 | $2,228,508.00 |
DisclosureSEC source: 0001126328-17-000292 · edgar.xml · nonDerivative · entry 1 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,720 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 13, 2015. F2 · balance_after: Includes 3,258 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 81,865 | $0.00 Strike: $27.46 | $0.00 |
DisclosureSEC source: 0001126328-17-000260 · edgar.xml · derivative · entry 7 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 81,865 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 3, 2017. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,103 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-17-000260 · edgar.xml · derivative · entry 6 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,103 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 3, 2017. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 81,865 | $68.04 | $5,570,094.60 |
DisclosureSEC source: 0001126328-17-000260 · edgar.xml · nonDerivative · entry 4 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,640 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 3, 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 $68.00 - $68.14, 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 3,258 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 21:19 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 81,865 | $27.46 | $2,248,012.90 |
DisclosureSEC source: 0001126328-17-000260 · edgar.xml · nonDerivative · entry 3 Houston Daniel Joseph · CIK 0001326278 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,505 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, 2017. F2 · balance_after: Includes 3,258 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.