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 4 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 |
|---|---|---|---|---|---|
| 2016-10-04 | PFG | Grant (A) | +98 | $0 | EDGAR |
| 2016-09-13 | PFG | Gift (G) | −1,635 | $0 | EDGAR |
| 2016-06-28 | PFG | Grant (A) | +120 | $0 | EDGAR |
| 2016-03-29 | PFG | Grant (A) | +118 | $0 | EDGAR |
| 2016-02-24 | PFG | Grant (A) | +11,761 | $0 | EDGAR |
| 2015-12-30 | PFG | Grant (A) | +100 | $0 | EDGAR |
| 2015-09-29 | PFG | Grant (A) | +94 | $0 | EDGAR |
| 2015-07-31 | PFG | Mixed | −1,094 | -$235.0K | EDGAR |
| 2015-06-30 | PRINCIPAL FINANCIAL GROUP INC (PFG.PRBC) Delisted | Grant (A) | +86 | $0 | EDGAR |
| 2015-03-31 | PFG | Grant (A) | +84 | $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.