Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PRINCIPAL FINANCIAL GROUP INCPFG · Entity 3209 | Executive Chairman, Latam | December 20, 2023 | December 22, 2023 |
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 December 20, 2023 · Filed December 22, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,668 |
Reported balance
After 2023-12-20 transaction · row 1
1 source rowRow 1 · 2023-12-20 · Grant · Acquired 26 · Balance 27,668 F1: Grant of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 20, 2023 Filed Dec 22, 2023 23:02 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 26 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-023151 · form4.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Executive Chairman, Latam 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,668 F1 · price: Grant of restricted stock units. Read SEC document |
| September 29, 2023 Filed Oct 3, 2023 20:57 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 28 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-018888 · form4.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Executive Chairman, Latam 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,642 F1 · price: Grant of restricted stock units. Read SEC document |
| June 30, 2023 Filed Jul 6, 2023 01:33 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-014586 · form4.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Executive Chairman, Latam 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,614 F1 · price: Grant of restricted stock units. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 23:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 54,990 | $0.00 Strike: $58.68 | $0.00 |
DisclosureSEC source: 0001126328-21-000115 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,990 Underlying: Common Stock · 54,990 shares Expires 2031-03-05 F1 · derivative.exercise_date: The option vests in three equal annual installments beginning March 5, 2022. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:45 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 4,189 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-21-000099 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,062 F1 · price: Settlement of performance-based restricted stock units granted February 26, 2018. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 1,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000117 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,873 F1 · price: Settlement of performance-based restricted stock units granted February 27, 2017. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 79,810 | $0.00 Strike: $51.73 | $0.00 |
DisclosureSEC source: 0001126328-20-000086 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,810 Underlying: Common Stock · 79,810 shares Expires 2030-02-24 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 24, 2021. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:34 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 8,073 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-20-000086 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,453 F1 · price: Settlement of performance-based restricted stock units granted February 27, 2017. F2 · balance_after: Includes 8,615 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 503 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000278 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,380 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,701 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 27, 2019 Filed Oct 1, 2019 21:04 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 486 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000233 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,709 F1 · price: Grant of restricted stock units. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 15:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 11,829 | $0.00 Strike: $51.33 | $0.00 |
DisclosureSEC source: 0001126328-19-000201 · edgar.xml · derivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,829 shares Expires 2025-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 15:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 11,829 | $59.54 | $704,298.66 |
DisclosureSEC source: 0001126328-19-000201 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,223 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.50 - $59.62, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 8,533 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| July 18, 2019 Filed Jul 22, 2019 15:50 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 11,829 | $51.33 | $607,182.57 |
DisclosureSEC source: 0001126328-19-000201 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,052 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. F2 · balance_after: Includes 8,533 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:26 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 660 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000197 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,223 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,533 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 27,661 | $0.00 Strike: $37.88 | $0.00 |
DisclosureSEC source: 0001126328-19-000172 · edgar.xml · derivative · entry 4 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,661 shares Expires 2026-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 20,000 | $57.67 | $1,153,400.00 |
DisclosureSEC source: 0001126328-19-000172 · edgar.xml · nonDerivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,485 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.25 - $58.01, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 8,455 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 27,661 | $57.67 | $1,595,209.87 |
DisclosureSEC source: 0001126328-19-000172 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,485 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.25 - $58.01, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 8,455 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 20:07 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 27,661 | $37.88 | $1,047,798.68 |
DisclosureSEC source: 0001126328-19-000172 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,146 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2019. F2 · balance_after: Includes 8,455 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| May 13, 2019 Filed May 15, 2019 16:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 350 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000153 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,485 F1 · balance_after: Includes 8,455 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 76,940 | $0.00 Strike: $53.09 | $0.00 |
DisclosureSEC source: 0001126328-19-000104 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,940 Underlying: Common Stock · 76,940 shares Expires 2029-02-25 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 25, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:21 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 16,331 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-19-000104 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,747 F1 · price: Settlement of performance-based restricted stock units granted February 22, 2016. F2 · balance_after: Includes 8,367 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| August 09, 2018 Filed Aug 10, 2018 14:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 355 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000227 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,240 F1 · balance_after: Includes 8,191 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 21:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 27,662 | $0.00 Strike: $37.38 | $0.00 |
DisclosureSEC source: 0001126328-18-000100 · edgar.xml · derivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,661 Underlying: Common Stock · 27,662 shares Expires 2026-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 21:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 27,662 | $64.02 | $1,770,921.24 |
DisclosureSEC source: 0001126328-18-000100 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,319 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.00 - 64.09, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 21:35 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 27,662 | $37.38 | $1,034,005.56 |
DisclosureSEC source: 0001126328-18-000100 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,981 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 51,810 | $0.00 Strike: $63.98 | $0.00 |
DisclosureSEC source: 0001126328-18-000110 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,810 Underlying: Common Stock · 51,810 shares Expires 2018-02-26 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 26, 2019. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 22:15 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 9,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-18-000110 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,446 F1 · price: Settlement of performance-based restricted stock units granted February 23, 2015. F2 · balance_after: Includes 8,042 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 27,662 | $0.00 Strike: $37.38 | $0.00 |
DisclosureSEC source: 0001126328-17-000315 · edgar.xml · derivative · entry 4 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,323 Underlying: Common Stock · 27,662 shares Expires 2026-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 20,000 | $70.04 | $1,400,800.00 |
DisclosureSEC source: 0001126328-17-000315 · edgar.xml · nonDerivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,319 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.77 - $70.54, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 27,662 | $70.04 | $1,937,446.48 |
DisclosureSEC source: 0001126328-17-000315 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,319 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.77 - 70.52, inclusive. The reporting person undertakes to provide to Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 14, 2017 Filed Dec 15, 2017 20:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 27,662 | $37.38 | $1,034,005.56 |
DisclosureSEC source: 0001126328-17-000315 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,981 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2017. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| November 24, 2017 Filed Nov 28, 2017 19:33 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Tax withholdingCommon Stock | 9,761 | $68.65 | $670,092.65 |
DisclosureSEC source: 0001126328-17-000290 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,319 F1 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| October 09, 2017 Filed Oct 19, 2017 18:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 234 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000255 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,080 F1 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 21:24 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 148 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000245 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,314 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,987 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 144 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000185 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,109 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,930 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| May 16, 2017 Filed May 17, 2017 18:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,375 | $0.00 Strike: $60.10 | $0.00 |
DisclosureSEC source: 0001126328-17-000129 · edgar.xml · derivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,375 shares Expires 2018-02-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. Read SEC document |
| May 16, 2017 Filed May 17, 2017 18:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,375 | $64.00 | $664,000.00 |
DisclosureSEC source: 0001126328-17-000129 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,909 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| May 16, 2017 Filed May 17, 2017 18:58 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 10,375 | $60.10 | $623,537.50 |
DisclosureSEC source: 0001126328-17-000129 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,284 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| May 05, 2017 Filed May 10, 2017 20:22 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 308 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000120 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,909 Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 23,656 | $0.00 Strike: $51.33 | $0.00 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · derivative · entry 6 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,829 Underlying: Common Stock · 23,656 shares Expires 2025-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 37,255 | $0.00 Strike: $44.88 | $0.00 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · derivative · entry 5 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,255 shares Expires 2024-04-24 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. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 23,656 | $63.00 | $1,490,328.00 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · nonDerivative · entry 4 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,217 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 23,656 | $51.33 | $1,214,262.48 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · nonDerivative · entry 3 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,873 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 37,255 | $63.00 | $2,347,065.00 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · nonDerivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,217 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 19:41 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 37,255 | $44.88 | $1,672,004.40 |
DisclosureSEC source: 0001126328-17-000111 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,472 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| April 13, 2017 Filed Apr 13, 2017 21:52 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 10,000 | $62.00 | $620,000.00 |
DisclosureSEC source: 0001126328-17-000107 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,217 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2017. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:42 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 142 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000104 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,217 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 7,874 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantEmployee Stock Option (Right to Buy) · Derivative | 49,275 | $0.00 Strike: $62.78 | $0.00 |
DisclosureSEC source: 0001126328-17-000068 · edgar.xml · derivative · entry 2 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,275 Underlying: Common Stock · 49,275 shares Expires 2027-02-27 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning February 27, 2018. Read SEC document |
| February 27, 2017 Filed Mar 1, 2017 22:23 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 10,973 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-17-000068 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,019 F1 · price: Settlement of performance-based restricted stock units granted February 24, 2014. F2 · balance_after: Includes 8,155 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:51 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 145 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000655 · edgar.xml · nonDerivative · entry 1 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,046 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,155 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.