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 12, 2016 Filed Dec 13, 2016 20:37 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GiftCommon Stock | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000628 · 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: 80,842 F1 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 20,009 | $58.74 | $1,175,328.66 |
DisclosureSEC source: 0001126328-16-000617 · edgar.xml · nonDerivative · entry 5 Valdes Luis E. · CIK 0001543399 · Pres - Int'l Asset Mgmt&Accum 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,179 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 53,685 | $58.74 | $3,153,456.90 |
DisclosureSEC source: 0001126328-16-000617 · 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: 101,188 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 53,685 | $30.70 | $1,648,129.50 |
DisclosureSEC source: 0001126328-16-000617 · 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: 154,873 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 November 4, 2016. F2 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | SaleCommon Stock | 18,390 | $58.74 | $1,080,228.60 |
DisclosureSEC source: 0001126328-16-000617 · 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: 101,188 F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.82 - $59.45, 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 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 22:36 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionCommon Stock | 18,390 | $34.26 | $630,041.40 |
DisclosureSEC source: 0001126328-16-000617 · 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: 119,578 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 4, 2016. F2 · balance_after: Includes 8,096 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 13, 2016 20:35 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 53,685 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0001126328-16-000627 · 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: 0 Underlying: Common Stock · 53,685 shares Expires 2023-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F2 · kind: This report supplements a prior Form 4 filed December 6, 2016 which inadvertently ommitted corresponding Table II information. Read SEC document |
| December 05, 2016 Filed Dec 13, 2016 20:35 UTC Amendment | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 18,390 | $0.00 Strike: $34.26 | $0.00 |
DisclosureSEC source: 0001126328-16-000627 · edgar.xml · derivative · entry 1 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 · 18,390 shares Expires 2021-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 4, 2016. F2 · kind: This report supplements a prior Form 4 filed December 6, 2016 which inadvertently ommitted corresponding Table II information. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 20:56 UTC | PRINCIPAL FINANCIAL GROUP INC PFG · Entity 3209 | GrantCommon Stock | 156 | $0.00 | $0.00 |
DisclosureSEC source: 0001126328-16-000578 · 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: 101,188 F1 · price: Grant of restricted stock units. F2 · balance_after: Includes 8,096 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.