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 $18.0M 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.
Charts
Trading activity, where the exposure sits, and each trade against the stock price.
PFG price and trades
Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.
Shares held
Shares owned after each reported transaction on this company (direct holdings as reported).
Open-market buying and selling
by monthDollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.
Exposure by company
latestMost recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.
Filer Profile
DES MOINES, IA 50392-0300
Holdings By Company
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| PFG | President - Global Asset Mgmt. | 159,329 | $111.74 | $17.80M | -$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 | $8.84 | $194.5K | $394.9K | 1 | 2013-10-28 |
Recent Filings
123 filings| 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 |
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.