KAREN E SHAFF
CIK 1166872 · EVP, Gen'l Counsel, Secretary · last filed 2020-06-30
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$11.30M
Companies
2
Total Filings
78
Lifetime Open-Market Net
-$23.79M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| PFG | EVP, Gen'l Counsel, Secretary | 103,280 | $109.40 | $11.30M | -$23.79M | 77 | 2020-06-30 |
| PRINCIPAL FINANCIAL GROUP INC (PFG.PRBC) Delisted | EVP, Gen'l Counsel, Secretary | 86,767 | — | — | $0 | 1 | 2015-06-30 |
Recent Filings · Page 2 of 8
78 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2018-07-03 | PFG | Grant (A) | +128 | $0 | EDGAR |
| 2018-04-02 | PFG | Grant (A) | +108 | $0 | EDGAR |
| 2018-02-28 | PFG | Grant (A) | +9,865 | $0 | EDGAR |
| 2018-01-02 | PFG | Grant (A) | +88 | $0 | EDGAR |
| 2017-12-08 | PFG | Gift (G) | −3,800 | $0 | EDGAR |
| 2017-12-04 | PFG | Mixed | −9,806 | -$2.26M | EDGAR |
| 2017-11-07 | PFG | Gift (G) | −6,400 | $0 | EDGAR |
| 2017-10-20 | PFG | Mixed | — | -$357.3K | EDGAR |
| 2017-10-19 | PFG | Mixed | — | -$576.3K | EDGAR |
| 2017-10-03 | PFG | Grant (A) | +93 | $0 | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.