person · Reporting owner
LITTLEFIELD CHRISTOPHER J
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FGL HoldingsFG · Entity 15814 | Director · President and CEO | September 14, 2018 | September 17, 2018 |
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | President - RIS | September 25, 2026 | September 29, 2026 |
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.
FGL Holdings
Report date September 14, 2018 · Filed September 17, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
After 2018-09-14 transaction · row 1
1 source rowRow 1 · 2018-09-14 · Purchase · Acquired 30,000 · Balance 30,000 F1: The transaction was executed in multiple trades at prices ranging from $8.70 to $8.78. The price represents the weighted average sales price of the shares. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2025-05-15 | Direct | 1,211,387 |
Reported balance
Holding disclosure · report date 2018-09-14 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 1,211,387 F2: Stock option granted pursuant to the Issuer's 2017 Omnibus Incentive Plan (the "Plan"), which vests in five equal annual installments beginning on March 15, 2019. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2025-05-15 | Direct | 1,211,386 |
Reported balance
Holding disclosure · report date 2018-09-14 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,211,386 F3: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal installments upon the later of (a) the average daily closing price of the Issuer's ordinary shares during any 20 consecutive trading days meeting or exceeding five specified price hurdles of $11, $12.75, $14.75, $17 and $20, respectively, and (b) the end of five one year periods ending March 15, 2019, 2020, 2021, 2022 and 2023, respectively. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2025-05-15 | Direct | 306,738 |
Reported balance
Holding disclosure · report date 2018-09-14 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 306,738 F4: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal annual installments if the average daily closing price of the Issuer's ordinary shares for 20 consecutive trading days meets or exceeds specified annual price hurdles of $12 for the one year period ending March 15, 2019, $14.50 for the one year period ending March 15, 2020, $17 for the one year period ending March 15, 2021, $21 for the one year period ending March 15, 2022 and $25 for the one year period ending March 15, 2023, respectively. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $8.70 to $8.78. The price represents the weighted average sales price of the shares. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price.
F2: Stock option granted pursuant to the Issuer's 2017 Omnibus Incentive Plan (the "Plan"), which vests in five equal annual installments beginning on March 15, 2019.
F3: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal installments upon the later of (a) the average daily closing price of the Issuer's ordinary shares during any 20 consecutive trading days meeting or exceeding five specified price hurdles of $11, $12.75, $14.75, $17 and $20, respectively, and (b) the end of five one year periods ending March 15, 2019, 2020, 2021, 2022 and 2023, respectively.
F4: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal annual installments if the average daily closing price of the Issuer's ordinary shares for 20 consecutive trading days meets or exceeds specified annual price hurdles of $12 for the one year period ending March 15, 2019, $14.50 for the one year period ending March 15, 2020, $17 for the one year period ending March 15, 2021, $21 for the one year period ending March 15, 2022 and $25 for the one year period ending March 15, 2023, respectively.
PRINCIPAL FINANCIAL GROUP INC
Report date September 25, 2026 · Filed September 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,279 |
Reported balance
After 2026-09-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-25 · Grant · Acquired 538 · Balance 77,279 F1: Grant of restricted stock units. F2: Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 11 |
Reported balance
Holding disclosure · report date 2026-09-25 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 11 F3: Held in revocable trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
F3: Held in revocable trust.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Fidelity & Guaranty Life
Report date November 30, 2017 · Filed December 01, 2017
Section 16 reporting ended · disclosed 2017-12-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-11-30 transaction · row 1
1 source rowRow 1 · 2017-11-30 · Disposition to issuer · Disposed 91,741 · Balance 0 F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F2: Includes restricted stock rights (each, an RSR) that were outstanding immediately prior to the Merger. F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each issued and outstanding share of common stock, par value $0.01, of the Company (Company Common Stock) was canceled and converted automatically into the right to receive $31.10 in cash, without interest. Each RSR that was outstanding immediately prior to the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the number of shares of Company Common Stock subject to such RSR multiplied by (ii) $31.10, without interest and less applicable taxes. |
| FGL Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $24.87 · Expires 2021-12-01 | Direct | 0 |
Reported balance
After 2017-11-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-11-30 · Disposition to issuer · Disposed 8,823 · Balance 0 F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. |
| FGL Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $20.88 · Expires 2022-05-11 | Direct | 0 |
Reported balance
After 2017-11-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-11-30 · Disposition to issuer · Disposed 24,084 · Balance 0 F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F5: This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.5.This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date. |
| FGL Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $25.75 · Expires 2022-12-01 | Direct | 0 |
Reported balance
After 2017-11-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-11-30 · Disposition to issuer · Disposed 118,809 · Balance 0 F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F6: This stock option vests in three equal installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date. |
| FGL Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $23.35 · Expires 2023-12-01 | Direct | 0 |
Reported balance
After 2017-11-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-11-30 · Disposition to issuer · Disposed 46,692 · Balance 0 F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F6: This stock option vests in three equal installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger).
F2: Includes restricted stock rights (each, an RSR) that were outstanding immediately prior to the Merger.
F3: Pursuant to the Merger Agreement, at the effective time of the Merger, each issued and outstanding share of common stock, par value $0.01, of the Company (Company Common Stock) was canceled and converted automatically into the right to receive $31.10 in cash, without interest. Each RSR that was outstanding immediately prior to the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the number of shares of Company Common Stock subject to such RSR multiplied by (ii) $31.10, without interest and less applicable taxes.
F4: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes.
F5: This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.5.This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.
F6: This stock option vests in three equal installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date.
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 |
|---|---|---|---|---|---|---|
| September 25, 2026 Filed Sep 29, 2026 20:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 538 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000200 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,279 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 26, 2026 Filed Jun 30, 2026 17:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 559 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000153 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,741 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 27, 2026 Filed Mar 31, 2026 20:10 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 660 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000071 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,880 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,984 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2026 Filed Mar 3, 2026 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Tax withholdingCommon Stock | 3,693 | $95.42 | $352,386.06 |
DisclosureSEC source: 0001126328-26-000049 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,193 F1 · balance_after: Includes 2957 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 17:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 9,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000025 · form4.xml · nonDerivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 78,912 F3 · price: Settlement of performance-based restricted stock units granted 2/27/2023. F2 · balance_after: Includes 2957 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 23, 2026 Filed Feb 25, 2026 17:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 7,975 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-26-000025 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,537 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 2957 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 19, 2025 Filed Dec 23, 2025 23:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 520 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-25-000116 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,588 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,983 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 26, 2025 Filed Sep 30, 2025 20:40 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 548 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-25-000035 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,016 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2931 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 27, 2025 Filed Jul 1, 2025 22:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 550 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-012388 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,441 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2904 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 28, 2025 Filed Apr 1, 2025 23:25 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 510 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-006735 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,567 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2580 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 28, 2025 Filed Mar 4, 2025 23:28 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Tax withholdingCommon Stock | 3,812 | $89.04 | $339,420.48 |
DisclosureSEC source: 0001062993-25-004425 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,034 F1 · balance_after: Includes an accumulative total of 2557 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 24, 2025 Filed Feb 26, 2025 21:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 13,034 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-003631 · form4.xml · nonDerivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,846 F3 · price: Settlement of performance-based restricted stock units granted 3/7/2022. F2 · balance_after: Includes an accumulative total of 2557 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 24, 2025 Filed Feb 26, 2025 21:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 8,432 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-003631 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,812 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2557 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 18, 2024 Filed Dec 20, 2024 20:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 378 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-021049 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,380 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2557 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 27, 2024 Filed Oct 1, 2024 20:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 322 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-017143 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,978 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2533 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 28, 2024 Filed Jul 1, 2024 21:28 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-013227 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,634 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2511 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 28, 2024 Filed Apr 2, 2024 00:11 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 303 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-007653 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,982 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,200 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 22:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 5,773 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-004825 · form4.xml · nonDerivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,661 F3 · price: Settlement of performance-based restricted stock units granted 03/05/2021. F2 · balance_after: Includes an accumulative total of 2,182 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 22:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 8,782 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-004825 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,888 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,182 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 20, 2023 Filed Dec 22, 2023 22:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 197 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-023136 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,106 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,182 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2023 Filed Oct 3, 2023 20:55 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 207 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-018879 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,891 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,164 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 30, 2023 Filed Jul 6, 2023 01:29 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 191 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-014580 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,664 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes an accumulative total of 2,144 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2023 Filed Apr 4, 2023 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 194 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-008678 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,157 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,828 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 23:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 6,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005421 · form4.xml · nonDerivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,947 F3 · price: Settlement of performance-based restricted stock units granted February 24, 2020. F2 · balance_after: Includes 1,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 23:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 7,696 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005421 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,392 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 19, 2022 Filed Dec 21, 2022 23:16 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 62 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-024344 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,696 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,812 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 30, 2022 Filed Oct 4, 2022 22:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 72 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-020416 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,620 F1 · price: Grant of restricted stock units. F2 · balance_after: Held in revocable trust. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 19:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 75 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-015547 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · President - RIS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,533 F1 · price: Grant of restricted stock units. F2 · balance_after: Held in revocable trust. Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 21:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 69 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-008886 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,458 F1 · price: Grant of restricted stock units. F2 · balance_after: Held in revocable trust. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:18 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 7,963 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006435 · form4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,963 F1 · price: Grant of restricted stock units. Read SEC document |
| March 05, 2021 Filed Mar 10, 2021 19:27 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Options (Right to Buy) · Derivative | 31,550 | $0.00 Strike: $58.68 | $0.00 |
DisclosureSEC source: 0001126328-21-000116 · edgar.xml · derivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,550 Underlying: Common Stock · 31,550 shares Expires 2031-03-05 F2 · date: This footnote corrects erroneous inforrmation from the previous filing. F3 · derivative.exercise_date: The option vests in three equal annual installments beginning March 5, 2022. Read SEC document |
| December 21, 2020 Filed Mar 9, 2021 23:30 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Options (Right to Buy) · Derivative | 31,550 | $0.00 Strike: $58.68 | $0.00 |
DisclosureSEC source: 0001126328-21-000109 · edgar.xml · derivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,550 Underlying: Common Stock · 31,550 shares Expires 2031-03-05 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 5, 2022. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Options (Right to Buy) · Derivative | 51,285 | $0.00 Strike: $51.73 | $0.00 |
DisclosureSEC source: 0001126328-20-000081 · edgar.xml · derivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · EVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,285 Underlying: Common Stock · 51,285 shares Expires 2030-02-24 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning February 24, 2021. Read SEC document |
| September 14, 2018 Filed Sep 17, 2018 20:22 UTC | FGL Holdings FG · Entity 15814 | PurchaseOrdinary Shares | 30,000 | $8.74 | $262,200.00 |
DisclosureSEC source: 0001668428-18-000104 · wf-form4_153721573580586.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · price: The transaction was executed in multiple trades at prices ranging from $8.70 to $8.78. The price represents the weighted average sales price of the shares. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares sold at each separate price. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:19 UTC | FGL Holdings FG · Entity 15814 | GrantEmployee Stock Option (right to buy) · Derivative | 306,738 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031066 · doc4.xml · derivative · entry 3 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,738 Underlying: Ordinary Share · 306,738 shares Expires 2025-05-15 F3 · derivative.exercise_date: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal annual installments if the average daily closing price of the Issuer's ordinary shares for 20 consecutive trading days meets or exceeds specified annual price hurdles of $12 for the one year period ending March 15, 2019, $14.50 for the one year period ending March 15, 2020, $17 for the one year period ending March 15, 2021, $21 for the one year period ending March 15, 2022 and $25 for the one year period ending March 15, 2023, respectively. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:19 UTC | FGL Holdings FG · Entity 15814 | GrantEmployee Stock Option (right to buy) · Derivative | 1,211,386 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031066 · doc4.xml · derivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,211,386 Underlying: Ordinary Share · 1,211,386 shares Expires 2025-05-15 F2 · derivative.exercise_date: Stock option granted pursuant to the Plan, which becomes exercisable, if at all, in five equal installments upon the later of (a) the average daily closing price of the Issuer's ordinary shares during any 20 consecutive trading days meeting or exceeding five specified price hurdles of $11, $12.75, $14.75, $17 and $20, respectively, and (b) the end of five one year periods ending March 15, 2019, 2020, 2021, 2022 and 2023, respectively. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:19 UTC | FGL Holdings FG · Entity 15814 | GrantEmployee Stock Option (right to buy) · Derivative | 1,211,387 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031066 · doc4.xml · derivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,211,387 Underlying: Ordinary Share · 1,211,387 shares Expires 2025-05-15 F1 · derivative.exercise_date: Stock option granted pursuant to the Issuer's 2017 Omnibus Incentive Plan (the "Plan"), which vests in five equal annual installments beginning on March 15, 2019. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:40 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Disposition to issuerFGL Stock Option · Derivative | 46,692 | Not disclosed Strike: $23.35 | Not disclosed |
DisclosureSEC source: 0001585064-17-000089 · wf-form4_151216442834413.xml · derivative · entry 5 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 46,692 shares Expires 2023-12-01 F1 · date: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4 · price: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F6 · derivative.exercise_date: This stock option vests in three equal installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:40 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Disposition to issuerFGL Stock Option · Derivative | 118,809 | Not disclosed Strike: $25.75 | Not disclosed |
DisclosureSEC source: 0001585064-17-000089 · wf-form4_151216442834413.xml · derivative · entry 4 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 118,809 shares Expires 2022-12-01 F1 · date: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4 · price: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F6 · derivative.exercise_date: This stock option vests in three equal installments on December 1, 2015, 2016 and 2017, subject to continued employment through such date. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:40 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Disposition to issuerFGL Stock Option · Derivative | 24,084 | Not disclosed Strike: $20.88 | Not disclosed |
DisclosureSEC source: 0001585064-17-000089 · wf-form4_151216442834413.xml · derivative · entry 3 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,084 shares Expires 2022-05-11 F1 · date: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4 · price: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. F5 · derivative.exercise_date: This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date.5.This stock option vests in three equal annual installments on February 1, 2016, 2017 and 2018, subject to the continuous existence of a Service Relationship through such date. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:40 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Disposition to issuerFGL Stock Option · Derivative | 8,823 | Not disclosed Strike: $24.87 | Not disclosed |
DisclosureSEC source: 0001585064-17-000089 · wf-form4_151216442834413.xml · derivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,823 shares Expires 2021-12-01 F1 · date: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F4 · price: Each Company stock option (FGL Stock Option) that was outstanding and unexercised immediately prior to the effective time of the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the total number of shares of Company Common Stock underlying such FGL Stock Option multiplied by (ii) the excess, if any, of $31.10 over the exercise price per share of such FGL Stock Option, without interest and less applicable taxes. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:40 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Disposition to issuerCommon Stock | 91,741 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001585064-17-000089 · wf-form4_151216442834413.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On November 30, 2017, pursuant to that certain Agreement and Plan of Merger, dated as of May 24, 2017 (the Merger Agreement), as amended, by and among Fidelity & Guaranty Life (the Company), CF Corporation (CF Corp), FGL US Holdings Inc., an indirect wholly owned subsidiary of CF Corp (Parent), and FGL Merger Sub Inc., a direct wholly owned subsidiary of Parent (Merger Sub), Merger Sub merged with and into the Company, with the Company continuing as the surviving entity, which became an indirect, wholly owned subsidiary of CF Corp (the Merger). F2 · shares: Includes restricted stock rights (each, an RSR) that were outstanding immediately prior to the Merger. F3 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each issued and outstanding share of common stock, par value $0.01, of the Company (Company Common Stock) was canceled and converted automatically into the right to receive $31.10 in cash, without interest. Each RSR that was outstanding immediately prior to the Merger (whether vested or unvested) fully vested and was canceled in exchange for an amount in cash equal to the product of (i) the number of shares of Company Common Stock subject to such RSR multiplied by (ii) $31.10, without interest and less applicable taxes. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 22:43 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Tax withholdingCommon Stock | 3,124 | $23.65 | $73,882.60 |
DisclosureSEC source: 0001209191-17-007222 · doc4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,741 F1 · kind: Represents the withholding by the Issuer of restricted stock to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock, which has been approved pursuant to the requirements of Rule 16b-3. F2 · balance_after: Includes restricted stock. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 22:39 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | GrantStock Option (right to buy) · Derivative | 46,692 | $0.00 Strike: $23.35 | $0.00 |
DisclosureSEC source: 0001209191-16-153459 · doc4.xml · derivative · entry 3 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,692 Underlying: Common Stock · 46,692 shares Expires 2023-12-01 F4 · security: Stock option granted pursuant to the Issuer's 2013 Stock Incentive Plan, which meets the requirements of Rule 16b-3. F5 · derivative.exercise_date: The option vests in three equal annual installments on December 1, 2017, 2018 and 2019, subject to continued employment through such date. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 22:39 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | GrantCommon Stock | 29,121 | $23.35 | $679,975.35 |
DisclosureSEC source: 0001209191-16-153459 · doc4.xml · nonDerivative · entry 2 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,865 F3 · security: Represents a grant of restricted stock under the Issuer's 2013 Stock Incentive Plan, which vests in three equal annual installments on December 1, 2017, 2018 and 2019, subject to continued employment through such date. F2 · balance_after: Includes restricted stock. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 22:39 UTC | Fidelity & Guaranty Life FGL · Entity 171487 | Tax withholdingCommon Stock | 5,575 | $23.35 | $130,176.25 |
DisclosureSEC source: 0001209191-16-153459 · doc4.xml · nonDerivative · entry 1 LITTLEFIELD CHRISTOPHER J · CIK 0001180573 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,744 F1 · kind: Represents the withholding by the Issuer of restricted stock to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock, which has been approved pursuant to the requirements of Rule 16b-3. F2 · balance_after: Includes restricted stock. 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.