Insider · CIK 0001196954

James P McCaughan

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market buys & salesbuys $0 · 0sales $27.9M · 27net −$27.9M

Reported trades — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Sep 4, 2018 SForm 4 →	Sep 5, 11:36 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$55.42	$1,108,400	149,329	−11.8%	plan?
Sep 4, 2018 MForm 4 →	Sep 5, 11:36 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$30.70	$307,000	169,329	—	plan?
Aug 2, 2018 SForm 4 →	Aug 3, 3:29 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$55.44	$1,108,800	159,329	−11.2%	plan?
Aug 2, 2018 MForm 4 →	Aug 3, 3:29 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$30.70	$307,000	179,329	—	plan?
Jul 2, 2018 SForm 4 →	Jul 6, 11:19 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$52.72	$1,054,400	169,329	−10.6%	plan? late
Jul 2, 2018 MForm 4 →	Jul 6, 11:19 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$30.70	$307,000	189,329	—	plan? late
Jun 4, 2018 SForm 4 →	Jun 5, 4:35 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$56.31	$1,126,200	178,960	−10.1%	plan?
Jun 4, 2018 MForm 4 →	Jun 5, 4:35 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$30.70	$307,000	198,960	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 5:13 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	15,120	—	—	188,951	—	plan?
Nov 24, 2017 FForm 4 →	Nov 28, 2:35 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	22,725	$68.65	$1,560,071	173,823	—	plan?
Sep 29, 2017 AForm 4 →	Oct 3, 5:22 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	295	—	—	196,548	—	plan?
Sep 11, 2017 SForm 4 →	Sep 12, 4:49 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	6,193	$62.33	$386,038	195,819	−3.07%	plan?
Sep 11, 2017 MForm 4 →	Sep 12, 4:49 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	6,193	$60.10	$372,199	201,912	—	plan?
Sep 5, 2017 SForm 4/A →	Sep 8, 3:34 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	8,953	$62.12	$556,127	195,819	−4.37%	plan?
Sep 5, 2017 MForm 4/A →	Sep 8, 3:34 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	8,953	$60.10	$538,075	198,733	—	plan?
Sep 5, 2017 SForm 4 →	Sep 6, 11:20 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,814	$62.10	$3,776,549	195,819	−23.7%	plan? amended
Sep 5, 2017 MForm 4 →	Sep 6, 11:20 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,814	$35.10	$2,134,534	215,169	—	plan? amended
Aug 4, 2017 SForm 4 →	Aug 8, 11:07 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,817	$66.98	$4,073,523	195,819	−23.7%	plan?
Aug 4, 2017 MForm 4 →	Aug 8, 11:07 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,817	$35.10	$2,134,665	215,169	—	plan?
Jul 5, 2017 SForm 4 →	Jul 7, 3:26 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,816	$64.43	$3,918,375	195,819	−23.7%	plan?
Jul 5, 2017 MForm 4 →	Jul 7, 3:26 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,816	$35.10	$2,134,631	215,169	—	plan?
Jun 30, 2017 AForm 4 →	Jul 5, 5:48 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	288	—	—	195,819	—	plan?
Jun 5, 2017 SForm 4 →	Jun 7, 2:13 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	65,818	$63.53	$4,181,683	195,527	−25.2%	plan?
Jun 5, 2017 MForm 4 →	Jun 7, 2:13 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,818	$35.10	$2,134,687	219,877	—	plan?
May 8, 2017 SForm 4 →	May 10, 4:04 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	5,000	$64.01	$320,050	200,527	−2.43%	plan?
Apr 6, 2017 SForm 4 →	Apr 6, 5:42 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	5,000	$62.65	$313,250	205,527	−2.37%	plan?
Mar 31, 2017 AForm 4 →	Apr 4, 5:38 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	284	—	—	210,527	—	plan?
Mar 6, 2017 SForm 4 →	Mar 7, 12:46 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	5,000	$63.18	$315,900	205,238	−2.38%	plan?
Feb 27, 2017 AForm 4 →	Mar 1, 5:26 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	13,083	—	—	210,238	—	plan?
Dec 27, 2016 AForm 4 →	Dec 29, 5:49 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	290	—	—	197,155	—	plan?
Sep 30, 2016 AForm 4 →	Oct 4, 4:54 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	312	—	—	196,861	—	plan?
Jun 24, 2016 AForm 4 →	Jun 28, 5:55 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	379	—	—	195,977	—	plan?
May 23, 2016 SForm 4 →	May 24, 5:05 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$43.13	$431,300	195,598	−4.86%	plan?
Apr 21, 2016 SForm 4 →	Apr 22, 12:48 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$43.40	$434,000	205,598	−4.64%	plan?
Apr 14, 2016 SForm 4 →	Apr 15, 3:44 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$41.48	$414,800	215,598	−4.43%	plan?
Apr 14, 2016 MForm 4 →	Apr 15, 3:44 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$22.21	$222,100	225,598	—	plan?
Mar 25, 2016 AForm 4 →	Mar 29, 6:20 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	376	—	—	215,598	—	plan?
Mar 21, 2016 SForm 4 →	Mar 22, 2:21 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$41.15	$411,500	215,222	−4.44%	plan?
Mar 14, 2016 MForm 4 →	Mar 16, 12:12 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$22.21	$222,100	235,222	—	plan?
Mar 14, 2016 SForm 4 →	Mar 16, 12:12 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$39.84	$796,800	225,222	−8.16%	plan?
Feb 22, 2016 AForm 4 →	Feb 24, 5:01 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	17,773	—	—	252,995	—	plan?
Feb 16, 2016 MForm 4 →	Feb 17, 3:56 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$22.21	$222,100	245,222	—	plan?
Feb 16, 2016 SForm 4 →	Feb 17, 3:56 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$35.95	$718,900	235,222	−7.84%	plan?
Jan 14, 2016 MForm 4 →	Jan 15, 3:39 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$22.21	$222,100	255,222	—	plan?
Jan 14, 2016 SForm 4 →	Jan 15, 3:39 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	20,000	$38.79	$775,700	245,222	−7.54%	plan?
Jan 4, 2016 SForm 4 →	Jan 5, 5:14 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	$43.70	$524,400	255,222	−4.49%	plan?
Jan 4, 2016 MForm 4 →	Jan 5, 5:14 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	$11.07	$132,840	267,222	—	plan?
Dec 28, 2015 AForm 4 →	Dec 30, 4:49 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	318	—	—	255,222	—	plan?
Dec 14, 2015 SForm 4 →	Dec 15, 2:43 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	$44.97	$449,700	254,825	−3.78%	plan?
Dec 1, 2015 SForm 4 →	Dec 2, 5:23 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	$51.82	$1,447,815	264,825	−9.54%	plan?
Dec 1, 2015 MForm 4 →	Dec 2, 5:23 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	$32.85	$917,885	280,765	—	plan?
Nov 2, 2015 SForm 4 →	Nov 3, 5:32 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	$50.63	$1,414,658	264,825	−9.54%	plan?
Nov 2, 2015 MForm 4 →	Nov 3, 5:32 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	$32.85	$917,885	280,765	—	plan?
Oct 7, 2015 SForm 4 →	Oct 9, 9:43 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	15,940	$49.75	$793,015	264,825	−5.68%	plan?
Oct 7, 2015 MForm 4 →	Oct 9, 9:43 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	15,940	$49.25	$785,045	280,765	—	plan?
Oct 1, 2015 SForm 4 →	Oct 2, 3:51 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	$11.07	$132,840	264,825	−4.33%	plan?
Oct 1, 2015 MForm 4 →	Oct 2, 3:51 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	$47.21	$566,520	276,825	—	plan?
Sep 25, 2015 AForm 4 →	Sep 29, 5:32 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	299	—	—	264,825	—	plan?
Jun 26, 2015 AForm 4 →	Jun 30, 6:00 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	539	—	—	263,967	—	plan?
Feb 23, 2015 AForm 4 →	Feb 25, 5:21 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	19,740	—	—	263,299	—	plan?
Feb 2, 2015 SForm 4 →	Feb 3, 5:42 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	$47.11	$309,466	243,559	−2.63%	plan?
Feb 2, 2015 MForm 4 →	Feb 3, 5:42 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	$39.02	$256,322	250,128	—	plan?
Jan 2, 2015 SForm 4 →	Jan 5, 11:28 am EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	$51.90	$340,931	243,559	−2.63%	plan?
Jan 2, 2015 MForm 4 →	Jan 5, 11:28 am EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	$39.02	$256,322	250,128	—	plan?

Reported trades — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Sep 4, 2018 MForm 4 →	Sep 5, 11:36 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	43,630	—
Aug 2, 2018 MForm 4 →	Aug 3, 3:29 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	53,630	—
Jun 29, 2018 AMForm 4 →	Jul 6, 11:19 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,202	$52.95	$10,696	20,770	—	late
Jun 4, 2018 MForm 4 →	Jun 5, 4:35 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	73,630	—
Mar 29, 2018 AForm 4 →	Apr 2, 5:22 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	171	$60.91	$10,403	20,568	—
Feb 26, 2018 AForm 4 →	Feb 28, 5:13 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	81,665	—	—	81,665	—
Dec 28, 2017 AForm 4 →	Jan 2, 2018, 5:36 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	139	$71.39	$9,923	20,397	—
Sep 29, 2017 AForm 4 →	Oct 3, 5:22 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	147	$64.34	$9,452	20,258	—
Sep 11, 2017 MForm 4 →	Sep 12, 4:49 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	6,193	—	—	0	—
Sep 5, 2017 MForm 4/A →	Sep 8, 3:34 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	8,953	—	—	6,139	—
Sep 5, 2017 MForm 4 →	Sep 6, 11:20 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,814	—	—	0	—	amended
Aug 4, 2017 MForm 4 →	Aug 8, 11:07 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,817	—	—	19,350	—
Jul 5, 2017 MForm 4 →	Jul 7, 3:26 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,816	—	—	38,700	—
Jun 30, 2017 AForm 4 →	Jul 5, 5:48 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	143	$64.07	$9,188	20,111	—
Jun 5, 2017 MForm 4 →	Jun 7, 2:13 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	60,818	—	—	58,050	—
Mar 31, 2017 AForm 4 →	Apr 4, 5:38 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	141	$63.11	$8,924	19,968	—
Feb 27, 2017 AForm 4 →	Mar 1, 5:26 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	77,670	—	—	77,670	—
Dec 27, 2016 AForm 4 →	Dec 29, 5:49 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	144	$58.73	$8,463	19,827	—
Sep 30, 2016 AForm 4 →	Oct 4, 4:54 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	155	$51.51	$8,005	19,683	—
Jun 24, 2016 AForm 4 →	Jun 28, 5:55 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	189	$39.96	$7,540	19,527	—
Apr 14, 2016 MForm 4 →	Apr 15, 3:44 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	39,365	—
Mar 25, 2016 AForm 4 →	Mar 29, 6:20 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	187	$38.90	$7,278	19,338	—
Mar 14, 2016 MForm 4 →	Mar 16, 12:12 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	49,365	—
Feb 22, 2016 AForm 4 →	Feb 24, 5:01 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	121,465	—	—	121,465	—
Feb 16, 2016 MForm 4 →	Feb 17, 3:56 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	59,365	—
Jan 14, 2016 MForm 4 →	Jan 15, 3:39 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	10,000	—	—	69,365	—
Jan 4, 2016 MForm 4 →	Jan 5, 5:14 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	—	—	15,555	—
Dec 28, 2015 AForm 4 →	Dec 30, 4:49 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	158	$45.57	$7,218	19,151	—
Dec 1, 2015 MForm 4 →	Dec 2, 5:23 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	—	—	15,940	—
Nov 2, 2015 MForm 4 →	Nov 3, 5:32 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	27,940	—	—	31,880	—
Oct 7, 2015 MForm 4 →	Oct 9, 9:43 am EDT	PRINCIPAL FINANCIAL GROUP INCPFG	15,940	—	—	47,820	—
Oct 1, 2015 MForm 4 →	Oct 2, 3:51 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	12,000	—	—	51,555	—
Sep 25, 2015 AForm 4 →	Sep 29, 5:32 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	149	$48.05	$7,159	18,993	—
Jun 26, 2015 AForm 4 →	Jun 30, 6:00 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	136	$52.44	$7,111	18,844	—
Mar 27, 2015 AForm 4 →	Mar 31, 6:21 pm EDT	PRINCIPAL FINANCIAL GROUP INCPFG	132	$50.49	$6,685	18,708	—
Feb 23, 2015 AForm 4 →	Feb 25, 5:21 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	51,940	—	—	51,940	—
Feb 2, 2015 MForm 4 →	Feb 3, 5:42 pm EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	—	—	0	—
Jan 2, 2015 MForm 4 →	Jan 5, 11:28 am EST	PRINCIPAL FINANCIAL GROUP INCPFG	6,569	—	—	6,569	—