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JAMES P MCCAUGHAN

CIK 1196954 · President - Global Asset Mgmt. · last filed 2018-09-05

JAMES P MCCAUGHAN is a President - Global Asset Mgmt. who has filed 123 SEC Form 4 insider transactions across 3 companies since 2007. The most recent filing, for PFG, was dated Sep 5, 2018. Across all open-market trades the lifetime net is −$46.4M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $18.3M across reported positions.

"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

$18.32M

Companies

3

Total Filings

123

Lifetime Open-Market Net

-$46.42M

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 President - Global Asset Mgmt. 159,329 $113.56 $18.09M -$46.81M 121 2018-09-05
PRINCIPAL FINANCIAL GROUP INC (PFG.PRBC) Delisted President - Global Asset Mgmt. 263,967 — — $0 1 2015-06-30
PGZ 22,000 $10.16 $223.5K $394.9K 1 2013-10-28

Recent Filings

123 filings
Insider 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
2018-09-05 PFG Mixed −10,000 -$801.4K EDGAR
2018-08-03 PFG Mixed −10,000 -$801.8K EDGAR
2018-07-06 PFG Mixed −10,000 -$747.4K EDGAR
2018-06-05 PFG Mixed −10,000 -$819.2K EDGAR
2018-04-02 PFG Grant (A) — $0 EDGAR
2018-02-28 PFG Grant (A) +15,120 $0 EDGAR
2018-01-02 PFG Grant (A) — $0 EDGAR
2017-11-28 PFG Tax (F) −22,725 -$1.56M EDGAR
2017-10-03 PFG Grant (A) +295 $0 EDGAR
2017-09-12 PFG Mixed — -$13.8K EDGAR
Showing 1–10 of 123
Page 1 of 13
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.