JAMES P MCCAUGHAN
CIK 1196954 · President - Global Asset Mgmt. · last filed 2018-09-05
"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
$18.38M
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 | $113.95 | $18.16M | -$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 · Page 9 of 13
123 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 |
|---|---|---|---|---|---|
| 2012-02-28 | PFG | Tax (F) | −23,857 | -$664.4K | EDGAR |
| 2012-02-21 | PFG | Mixed | — | -$263 | EDGAR |
| 2012-01-24 | PFG | Mixed | — | -$66 | EDGAR |
| 2011-12-06 | PFG | Grant (A) | +3,049 | $0 | EDGAR |
| 2011-10-31 | PFG | Mixed | — | -$1.4K | EDGAR |
| 2011-07-07 | PFG | Mixed | — | -$16.3K | EDGAR |
| 2011-06-07 | PFG | Mixed | — | -$15.7K | EDGAR |
| 2011-05-10 | PFG | Mixed | — | -$27.6K | EDGAR |
| 2011-03-02 | PFG | Grant (A) | — | $0 | EDGAR |
| 2010-12-07 | PFG | Grant (A) | +1,926 | $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.