Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | Director | September 25, 2026 | September 29, 2026 |
| Viacom Inc.VIA, VIAB · Entity 153277 | EVP, CAO | May 22, 2017 | May 24, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
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 | 36,386 |
Reported balance
After 2026-09-25 transaction · row 1
1 source rowRow 1 · 2026-09-25 · Grant · Acquired 246 · Balance 36,386 F1: Grant of restricted stock units. |
| Phantom Stock UnitsSEC Table II · derivative / convertible security | Direct | 20,643 |
Reported balance
After 2026-09-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-09-25 · Grant · Acquired 150 · Balance 20,643 F2: The units convert to common stock on a one-for-one basis. F3: 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 |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
F2: The units convert to common stock on a one-for-one basis.
F3: 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
Viacom Inc.
Report date May 22, 2017 · Filed May 24, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | Direct | 24,901 |
Ending reported balance
After 2017-05-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-05-22 · Exercise / conversion · Acquired 2,372 · Balance 25,878 F1: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. Row 2 · 2017-05-22 · Tax withholding · Disposed 977 · Balance 24,901 F2: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction. |
| Restricted Share UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-05-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-05-22 · Exercise / conversion · Disposed 2,372 · Balance 0 F3: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F1: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share.
F2: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction.
F3: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration.
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 |
|---|---|---|---|---|---|---|
| October 06, 2017 Filed Oct 10, 2017 13:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 33.8 | $66.65 | $2,252.77 |
DisclosureSEC source: 0001126328-17-000248 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,026.1 Underlying: Common Stock · 33.8 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 19:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 14.4 | $64.34 | $926.50 |
DisclosureSEC source: 0001126328-17-000232 · edgar.xml · derivative · entry 2 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,992.3 Underlying: Common Stock · 14.4 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 19:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 33 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000232 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,493 F1 · price: Grant of restricted stock units. Read SEC document |
| August 04, 2017 Filed Aug 8, 2017 13:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 22.4 | $67.04 | $1,501.70 |
DisclosureSEC source: 0001126328-17-000203 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,977.8 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: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 20:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.7 | $64.07 | $621.48 |
DisclosureSEC source: 0001126328-17-000178 · edgar.xml · derivative · entry 2 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,955.4 Underlying: Common Stock · 9.7 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 20:09 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000178 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,460 F1 · price: Grant of restricted stock units. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 18:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 592.2 | $63.96 | $37,877.11 |
DisclosureSEC source: 0001126328-17-000156 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,945.7 Underlying: Common Stock · 592.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| May 22, 2017 Filed May 24, 2017 16:34 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionRestricted Share Units · Derivative | 2,372 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034962 · doc4.xml · derivative · entry 3 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B common Stock · 2,372 shares Expires not disclosed 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. F3 · security: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F1 · derivative.exercise_price: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. F3 · price: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F1 · derivative.exercise_date: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. F1 · derivative.expiration_date: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. Read SEC document |
| May 22, 2017 Filed May 24, 2017 16:34 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Tax withholdingClass B Common Stock | 977 | $35.24 | $34,429.48 |
DisclosureSEC source: 0001209191-17-034962 · doc4.xml · nonDerivative · entry 2 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,901 F2 · shares: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction. Read SEC document |
| May 22, 2017 Filed May 24, 2017 16:34 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionClass B Common Stock | 2,372 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034962 · doc4.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,878 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 · price: These shares were issued on May 22, 2017 upon vesting of the last of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 22, 2013. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.24 per share. Read SEC document |
| May 21, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionRestricted Share Units · Derivative | 2,131 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · derivative · entry 6 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,132 Underlying: Class B Common Stock · 2,131 shares Expires not disclosed 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. F4 · security: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F3 · derivative.exercise_price: These shares were issued on May 21, 2017 upon vesting of the third of four equal annual installments of RSUs that were granted on May 21, 2014. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. F4 · price: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F3 · derivative.exercise_date: These shares were issued on May 21, 2017 upon vesting of the third of four equal annual installments of RSUs that were granted on May 21, 2014. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. F3 · derivative.expiration_date: These shares were issued on May 21, 2017 upon vesting of the third of four equal annual installments of RSUs that were granted on May 21, 2014. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. Read SEC document |
| May 21, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Tax withholdingClass B Common Stock | 878 | $35.20 | $30,905.60 |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · nonDerivative · entry 4 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,506 F2 · shares: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction. Read SEC document |
| May 21, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionClass B Common Stock | 2,131 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · nonDerivative · entry 3 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,384 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. F3 · price: These shares were issued on May 21, 2017 upon vesting of the third of four equal annual installments of RSUs that were granted on May 21, 2014. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. Read SEC document |
| May 20, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionRestricted Share Units · Derivative | 5,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · derivative · entry 5 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,240 Underlying: Class B Common Stock · 5,120 shares Expires not disclosed 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. F4 · security: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F1 · derivative.exercise_price: These shares were issued on May 20, 2017 upon vesting of the second of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 20, 2015. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. F4 · price: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of January 1, 2011, for no consideration. F1 · derivative.exercise_date: These shares were issued on May 20, 2017 upon vesting of the second of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 20, 2015. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. F1 · derivative.expiration_date: These shares were issued on May 20, 2017 upon vesting of the second of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 20, 2015. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. Read SEC document |
| May 20, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Tax withholdingClass B Common Stock | 2,110 | $35.20 | $74,272.00 |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · nonDerivative · entry 2 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,253 F2 · shares: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction. Read SEC document |
| May 20, 2017 Filed May 23, 2017 17:18 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionClass B Common Stock | 5,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034695 · doc4.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,363 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 · price: These shares were issued on May 20, 2017 upon vesting of the second of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 20, 2015. On the date of vesting, the most recent closing price of the Class B Common Stock on The NASDAQ Global Select Market was $35.20 per share. Read SEC document |
| May 19, 2017 Filed May 22, 2017 21:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 37 | $60.83 | $2,250.71 |
DisclosureSEC source: 0001126328-17-000148 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,353.6 Underlying: Common Stock · 37 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:12 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | GrantRestricted Share Units · Derivative | 39,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034449 · doc4.xml · derivative · entry 5 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,718 Underlying: Class B Common Stock · 39,718 shares Expires not disclosed F4 · security: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F6 · derivative.exercise_price: These RSUs will vest in four equal annual installments beginning on May 18, 2018 and a corresponding number of Class B shares, net of any shares withheld by Viacom to satisfy tax liability incident to the vesting of the RSUs, will be delivered on each vest date. F4 · price: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F6 · derivative.exercise_date: These RSUs will vest in four equal annual installments beginning on May 18, 2018 and a corresponding number of Class B shares, net of any shares withheld by Viacom to satisfy tax liability incident to the vesting of the RSUs, will be delivered on each vest date. F6 · derivative.expiration_date: These RSUs will vest in four equal annual installments beginning on May 18, 2018 and a corresponding number of Class B shares, net of any shares withheld by Viacom to satisfy tax liability incident to the vesting of the RSUs, will be delivered on each vest date. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:12 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | GrantEmployee Stock Option (Right to Buy) · Derivative | 131,965 | Not disclosed Strike: $33.99 | Not disclosed |
DisclosureSEC source: 0001209191-17-034449 · doc4.xml · derivative · entry 4 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,965 Underlying: Class B Common Stock · 131,965 shares Expires 2025-05-18 F4 · security: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F4 · price: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F5 · derivative.exercise_date: These Stock Options will vest in four equal annual installments beginning on May 18, 2018. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:12 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionRestricted Share Units · Derivative | 8,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034449 · doc4.xml · derivative · entry 3 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,055 Underlying: Class B Common Stock · 8,685 shares Expires not disclosed 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. F4 · security: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F1 · derivative.exercise_price: These shares were issued on May 18, 2017 upon vesting of the first of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 18, 2016. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $33.99 per share. F4 · price: Granted under the Viacom Inc. 2016 Long-Term Management Incentive Plan for no consideration. F1 · derivative.exercise_date: These shares were issued on May 18, 2017 upon vesting of the first of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 18, 2016. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $33.99 per share. F1 · derivative.expiration_date: These shares were issued on May 18, 2017 upon vesting of the first of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 18, 2016. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $33.99 per share. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:12 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Tax withholdingClass B Common Stock | 3,579 | $33.99 | $121,650.21 |
DisclosureSEC source: 0001209191-17-034449 · doc4.xml · nonDerivative · entry 2 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,243 F3 · shares: These shares were withheld by Viacom to satisfy tax liability incident to the vesting of, and delivery of shares underlying, the RSUs, and were not actually sold or otherwise disposed of in an open-market transaction. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:12 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionClass B Common Stock | 8,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-034449 · doc4.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · EVP, CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,822 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 · price: These shares were issued on May 18, 2017 upon vesting of the first of four equal annual installments of Restricted Share Units ("RSUs") that were granted on May 18, 2016. On the date of vesting, the closing price of the Class B Common Stock on The NASDAQ Global Select Market was $33.99 per share. F2 · balance_after: Includes shares of Class B Common Stock acquired by the executive officer in connection with a dividend reinvestment program exempt from Section 16(a). Read SEC document |
| May 16, 2017 Filed May 18, 2017 14:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000137 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,428 F1 · price: Grant of restricted stock units. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 9.1 | $63.11 | $574.30 |
DisclosureSEC source: 0001126328-17-000092 · edgar.xml · derivative · entry 2 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,316.6 Underlying: Common Stock · 9.1 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 19:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000092 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,396 F1 · price: Grant of restricted stock units. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 19:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 35.4 | $63.54 | $2,249.32 |
DisclosureSEC source: 0001126328-17-000081 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,307.5 Underlying: Common Stock · 35.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:19 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 7,283 | Not disclosed Strike: $22.70 | Not disclosed |
DisclosureSEC source: 0001209191-17-012087 · doc4.xml · derivative · entry 3 Mills Scott · CIK 0001559855 · EVP and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 7,283 shares Expires 2017-06-03 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. F3 · security: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of December 2, 2008, for no consideration. F3 · price: Granted under the Viacom Inc. 2006 Long-Term Management Incentive Plan, as amended and restated as of December 2, 2008, for no consideration. F4 · derivative.exercise_date: Current. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:19 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | SaleClass B Common Stock | 7,283 | $44.23 | $322,117.62 |
DisclosureSEC source: 0001209191-17-012087 · doc4.xml · nonDerivative · entry 2 Mills Scott · CIK 0001559855 · EVP and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,109 F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.2278 to $44.23, inclusive. The director undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer or a stockholder of the Issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 16:19 UTC | Viacom Inc. VIA, VIAB · Entity 153277 | Exercise / conversionClass B Common Stock | 7,283 | $22.70 | $165,324.10 |
DisclosureSEC source: 0001209191-17-012087 · doc4.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · EVP and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,392 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 · balance_after: Includes 309 shares of Class B Common Stock acquired by the executive officer in connection with a dividend reinvestment program exempt from Section 16(a). Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 22:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 49.3 | $60.86 | $3,000.40 |
DisclosureSEC source: 0001126328-17-000046 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,272.1 Underlying: Common Stock · 49.3 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 19:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 13 | $57.86 | $752.18 |
DisclosureSEC source: 0001126328-17-000001 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,222.8 Underlying: Common Stock · 13 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 4.2 | $58.73 | $246.67 |
DisclosureSEC source: 0001126328-16-000643 · edgar.xml · derivative · entry 2 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,209.8 Underlying: Common Stock · 4.2 shares Expires not disclosed F2 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F3 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F3 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 21:47 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000643 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,379 F1 · price: Grant of restricted stock units. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 22:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 637.4 | $59.42 | $37,874.31 |
DisclosureSEC source: 0001126328-16-000622 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,205.7 Underlying: Common Stock · 637.4 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 22:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 52 | $57.66 | $2,998.32 |
DisclosureSEC source: 0001126328-16-000610 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 568.2 Underlying: Common Stock · 52 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:20 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 19 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000567 · edgar.xml · nonDerivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,362 F1 · price: Grant of restricted stock units. Read SEC document |
| September 09, 2016 Filed Sep 12, 2016 19:48 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantPhantom Stock Units · Derivative | 516.2 | $48.37 | $24,968.59 |
DisclosureSEC source: 0001126328-16-000552 · edgar.xml · derivative · entry 1 Mills Scott · CIK 0001559855 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516.2 Underlying: Common Stock · 516.2 shares Expires not disclosed F1 · derivative.exercise_price: The units convert to common stock on a one-for-one basis. F2 · derivative.exercise_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. F2 · derivative.expiration_date: The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled on the reporting person's retirement. 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.