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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 $18.8M across reported positions. 81 SEC filings were submitted jointly with PRINCIPAL FINANCIAL GROUP INC.

"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

$18.84M

Companies

3

Total Filings

123

Lifetime Open-Market Net

-$46.42M

Filer Profile

Reported Address
711 HIGH STREET
DES MOINES, IA 50392-0300
Related Filers
PRINCIPAL FINANCIAL GROUP INC — 81 joint filings, latest 2018-09-05
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

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 $116.90 $18.63M -$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 $9.55 $210.1K $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.