person · Reporting owner
Halter Patrick Gregory
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Granite Point Mortgage Trust Inc.GPMT · Entity 7217 | Director | June 05, 2026 | June 09, 2026 |
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | President and CEO - PAM | March 28, 2024 | April 02, 2024 |
| Principal Real Asset FundNA · Entity 9033 | Director | 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.
Granite Point Mortgage Trust Inc.
Report date June 05, 2026 · Filed June 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 135,209 |
Reported balance
After 2026-06-05 transaction · row 1
1 source rowRow 1 · 2026-06-05 · Exercise / conversion · Acquired 40,846 · Balance 135,209 F1: Restricted stock units convert into common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2026-06-05 | Direct | 0 |
Reported balance
After 2026-06-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-05 · Exercise / conversion · Disposed 40,846 · Balance 0 F1: Restricted stock units convert into common stock on a one-for-one basis. F2: On June 5, 2025, the reporting person was granted 40,846 restricted stock units under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on the first anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units convert into common stock on a one-for-one basis.
F2: On June 5, 2025, the reporting person was granted 40,846 restricted stock units under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on the first anniversary of the grant date.
PRINCIPAL FINANCIAL GROUP INC
Report date March 28, 2024 · Filed April 02, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 140,562 |
Reported balance
After 2024-03-28 transaction · row 1
1 source rowRow 1 · 2024-03-28 · Grant · Acquired 244 · Balance 140,562 F1: Grant of restricted stock units. |
| Common StockSEC Table I · non-derivative | Indirectby 401k plan | 530 |
Reported balance
Holding disclosure · report date 2024-03-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 530 |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
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 |
|---|---|---|---|---|---|---|
| June 05, 2026 Filed Jun 9, 2026 17:07 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | Exercise / conversionRestricted Stock Units · Derivative | 40,846 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001579709-26-000006 · wk-form4_1781039251.xml · derivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,846 shares Expires 2026-06-05 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: On June 5, 2025, the reporting person was granted 40,846 restricted stock units under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on the first anniversary of the grant date. F2 · derivative.expiration_date: On June 5, 2025, the reporting person was granted 40,846 restricted stock units under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on the first anniversary of the grant date. Read SEC document |
| June 05, 2026 Filed Jun 9, 2026 17:07 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | Exercise / conversionCommon Stock | 40,846 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001579709-26-000006 · wk-form4_1781039251.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,209 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: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| June 04, 2026 Filed Jun 4, 2026 22:17 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | GrantRestricted Stock Units · Derivative | 34,902 | $0.00 | $0.00 |
DisclosureSEC source: 0001579709-26-000004 · wk-form4_1780611472.xml · derivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,902 Underlying: Common Stock · 34,902 shares Expires 2027-06-04 F1 · derivative.exercise_price: Represents a restricted stock unit award issued under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 4, 2027, subject to continued service with GPMT. F1 · derivative.exercise_date: Represents a restricted stock unit award issued under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 4, 2027, subject to continued service with GPMT. Read SEC document |
| August 15, 2025 Filed Aug 19, 2025 20:21 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 17,000 | $2.83 | $48,110.00 |
DisclosureSEC source: 0001703644-25-000123 · wk-form4_1755634911.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,363 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $2.82 to $2.83. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| June 06, 2025 Filed Jun 9, 2025 20:38 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | Exercise / conversionRestricted Stock Units · Derivative | 14,362 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001703644-25-000100 · wk-form4_1749501506.xml · derivative · entry 3 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,362 shares Expires 2025-06-06 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: On January 15, 2025, the reporting person was granted 14,362 restricted stock units under the Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on June 6, 2025. F3 · derivative.expiration_date: On January 15, 2025, the reporting person was granted 14,362 restricted stock units under the Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan, which vested in full on June 6, 2025. Read SEC document |
| June 06, 2025 Filed Jun 9, 2025 20:38 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | Exercise / conversionCommon Stock | 14,362 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001703644-25-000100 · wk-form4_1749501506.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,363 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: Restricted stock units convert into common stock on a one-for-one basis. Read SEC document |
| June 05, 2025 Filed Jun 9, 2025 20:38 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | GrantRestricted Stock Units · Derivative | 40,846 | $0.00 | $0.00 |
DisclosureSEC source: 0001703644-25-000100 · wk-form4_1749501506.xml · derivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,846 Underlying: Common Stock · 40,846 shares Expires 2026-06-05 F2 · derivative.exercise_price: Represents a restricted stock unit award issued under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 5, 2026, subject to continued service with GPMT. F2 · derivative.exercise_date: Represents a restricted stock unit award issued under the Amended and Restated Granite Point Mortgage Trust Inc. 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 5, 2026, subject to continued service with GPMT. Read SEC document |
| May 15, 2025 Filed May 16, 2025 20:34 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 29,000 | $2.38 | $69,020.00 |
DisclosureSEC source: 0001703644-25-000082 · wk-form4_1747427615.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,001 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $2.34 to $2.41. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| February 25, 2025 Filed Feb 26, 2025 14:51 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | PurchaseCommon Stock | 34,001 | $2.80 | $95,202.80 |
DisclosureSEC source: 0001703644-25-000033 · wk-form4_1740581509.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,001 F1 · price: Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $2.79 to $2.82. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions. Read SEC document |
| January 15, 2025 Filed Jan 17, 2025 21:33 UTC | Granite Point Mortgage Trust Inc. GPMT · Entity 7217 | GrantRestricted Stock Units · Derivative | 14,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001703644-25-000014 · wk-form4_1737149630.xml · derivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,362 Underlying: Common Stock · 14,362 shares Expires 2025-06-06 F1 · derivative.exercise_price: Represents a restricted stock unit award issued under Granite Point Mortgage Trust Inc.'s 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 6, 2025, subject to continued service with GPMT. F1 · derivative.exercise_date: Represents a restricted stock unit award issued under Granite Point Mortgage Trust Inc.'s 2022 Omnibus Incentive Plan. Restricted stock units are contingent rights to receive a share of GPMT common stock on a 1-to-1 basis. This award vests in a single tranche on June 6, 2025, subject to continued service with GPMT. Read SEC document |
| March 28, 2024 Filed Apr 2, 2024 00:06 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 244 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-007637 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 140,562 F1 · price: Grant of restricted stock units. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 22:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 14,323 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-004829 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 140,318 F2 · price: Settlement of performance-based restricted stock units granted 03/05/2021. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 22:43 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 9,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-004829 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,995 F1 · price: Grant of restricted stock units. Read SEC document |
| December 20, 2023 Filed Dec 22, 2023 22:49 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 177 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-023132 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,305 F1 · price: Grant of restricted stock units. Read SEC document |
| September 29, 2023 Filed Oct 3, 2023 20:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 185 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-018864 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,128 F1 · price: Grant of restricted stock units. Read SEC document |
| June 30, 2023 Filed Jul 6, 2023 01:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 171 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-014588 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,943 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 0 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2023 Filed Apr 4, 2023 22:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 254 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-008686 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,124 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 352 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 20:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,991 | $58.68 Strike: $58.68 | $1,525,151.88 |
DisclosureSEC source: 0001062993-23-007541 · form4.xml · derivative · entry 6 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,991 shares Expires 2031-03-05 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. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 20:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 29,659 | $51.73 Strike: $51.73 | $1,534,260.07 |
DisclosureSEC source: 0001062993-23-007541 · form4.xml · derivative · entry 5 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,659 shares Expires 2030-02-24 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. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 20:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 55,650 | $75.14 | $4,181,541.00 |
DisclosureSEC source: 0001062993-23-007541 · form4.xml · nonDerivative · entry 3 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 115,867 F1 · shares: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 10, 2023. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.63, 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. F3 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 20:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 25,991 | $58.68 | $1,525,151.88 |
DisclosureSEC source: 0001062993-23-007541 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 171,517 F3 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 21, 2023 Filed Mar 23, 2023 20:03 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 29,659 | $51.73 | $1,534,260.07 |
DisclosureSEC source: 0001062993-23-007541 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 145,526 F3 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 17:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,159 | $51.73 Strike: $51.73 | $59,955.07 |
DisclosureSEC source: 0001062993-23-007001 · form4.xml · derivative · entry 4 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,659 Underlying: Common Stock · 1,159 shares Expires 2030-02-24 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. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 17:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 1,159 | $75.05 | $86,982.95 |
DisclosureSEC source: 0001062993-23-007001 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,867 F1 · shares: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 10, 2023. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.07, 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. F3 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 17:00 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 1,159 | $51.73 | $59,955.07 |
DisclosureSEC source: 0001062993-23-007001 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,026 F3 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 23:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 9,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005417 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,867 F3 · price: Settlement of performance-based restricted stock units granted February 24, 2020. F2 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 23:13 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 8,753 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-005417 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,586 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 19, 2022 Filed Dec 21, 2022 23:12 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 86 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-024338 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,833 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 349 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 08, 2022 Filed Dec 12, 2022 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,992 | $58.68 Strike: $58.68 | $1,525,210.56 |
DisclosureSEC source: 0001062993-22-023737 · form4.xml · derivative · entry 4 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,992 shares Expires 2031-03-05 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. Read SEC document |
| December 08, 2022 Filed Dec 12, 2022 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 15,722 | $90.18 | $1,417,809.96 |
DisclosureSEC source: 0001062993-22-023737 · form4.xml · nonDerivative · entry 3 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,745 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.73 to $90.57, 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 |
| December 08, 2022 Filed Dec 12, 2022 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 10,270 | $89.16 | $915,673.20 |
DisclosureSEC source: 0001062993-22-023737 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,467 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2022. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.71 to $89.70, 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 |
| December 08, 2022 Filed Dec 12, 2022 22:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 25,992 | $58.68 | $1,525,210.56 |
DisclosureSEC source: 0001062993-22-023737 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President and CEO - PAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,737 Read SEC document |
| September 30, 2022 Filed Oct 4, 2022 22:01 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 99 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-020411 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,745 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 347 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 19, 2022 Filed Sep 21, 2022 16:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,819 | $51.73 Strike: $51.73 | $1,594,266.87 |
DisclosureSEC source: 0001062993-22-019813 · form4.xml · derivative · entry 5 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,819 shares Expires 2030-02-24 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. Read SEC document |
| September 19, 2022 Filed Sep 21, 2022 16:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,818 | $51.73 Strike: $51.73 | $1,594,215.14 |
DisclosureSEC source: 0001062993-22-019813 · form4.xml · derivative · entry 4 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,818 shares Expires 2030-02-24 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. Read SEC document |
| September 19, 2022 Filed Sep 21, 2022 16:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 37,691 | $77.27 | $2,912,383.57 |
DisclosureSEC source: 0001062993-22-019813 · form4.xml · nonDerivative · entry 3 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,643 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 19, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.96 to $77.64, 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 |
| September 19, 2022 Filed Sep 21, 2022 16:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 23,946 | $76.79 | $1,838,813.34 |
DisclosureSEC source: 0001062993-22-019813 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,334 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 19, 2022. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.96 to $76.95, 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 |
| September 19, 2022 Filed Sep 21, 2022 16:53 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 61,637 | $51.73 | $3,188,482.01 |
DisclosureSEC source: 0001062993-22-019813 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,280 Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 20:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 103 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-015587 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,643 F1 · price: Grant of restricted stock units. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 84,815 | $53.09 Strike: $53.09 | $4,502,828.35 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · derivative · entry 8 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 84,815 shares Expires 2029-02-25 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. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 35,340 | $63.98 Strike: $63.98 | $2,261,053.20 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · derivative · entry 7 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,340 shares Expires 2028-02-26 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. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 33,005 | $62.78 Strike: $62.78 | $2,072,053.90 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · derivative · entry 6 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,005 shares Expires 2027-02-27 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. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 5,600 | $74.12 | $415,072.00 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · nonDerivative · entry 5 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,540 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.11 to $74.16, 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. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Disposition to issuerCommon Stock | 147,560 | $73.70 | $10,875,172.00 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · nonDerivative · entry 4 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,140 F1 · shares: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2022. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.11 to $74.10, 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. Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 84,815 | $53.09 | $4,502,828.35 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · nonDerivative · entry 3 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,700 Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 35,340 | $63.98 | $2,261,053.20 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,885 Read SEC document |
| April 08, 2022 Filed Apr 12, 2022 18:38 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 33,005 | $62.78 | $2,072,053.90 |
DisclosureSEC source: 0001062993-22-010093 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,545 Read SEC document |
| March 25, 2022 Filed Mar 29, 2022 21:08 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 96 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-008876 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,540 F1 · price: Grant of restricted stock units. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 7,651 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006427 · form4.xml · nonDerivative · entry 2 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,497 F3 · price: Settlement of performance based restricted stock units granted February 25, 2019. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:14 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 10,989 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-22-006427 · form4.xml · nonDerivative · entry 1 Halter Patrick Gregory · CIK 0001579709 · President - PGAM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,846 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 1,053 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.