PFG Insider Transactions — Page 2
770 retained open-market purchase and sale rows from SEC Forms 3, 4 and 5, newest first. This page shows rows 101–200; provenance stays internal.
| Insider profile | Role | Date | Transaction | Shares | Price |
|---|---|---|---|---|---|
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-09-05 | Sale | 19,350.0 | $62.1 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-09-05 | Sale | 12,589.0 | $62.1 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-09-05 | Sale | 9,841.0 | $62.1 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-09-05 | Sale | 3,888.0 | $62.1 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-09-05 | Sale | 15,146.0 | $62.1 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-08-04 | Sale | 19,350.0 | $66.98 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-08-04 | Sale | 12,589.0 | $66.98 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-08-04 | Sale | 9,841.0 | $66.98 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-08-04 | Sale | 3,889.0 | $66.98 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-08-04 | Sale | 15,148.0 | $66.98 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2017-07-25 | Sale | 13,495.0 | $67.0 |
| SHAFF KAREN E | EVP, Gen'l Counsel, Secretary | 2017-07-10 | Sale | 30,500.0 | $65.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-07-05 | Sale | 19,350.0 | $64.43 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-07-05 | Sale | 12,588.0 | $64.43 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-07-05 | Sale | 9,841.0 | $64.43 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-07-05 | Sale | 3,889.0 | $64.43 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-07-05 | Sale | 15,148.0 | $64.43 |
| Everett Nora Mary | President - RIS | 2017-07-03 | Sale | 14,630.0 | $64.6 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2017-06-21 | Sale | 14,667.0 | $64.2 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2017-06-21 | Sale | 4,230.0 | $64.2 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2017-06-21 | Sale | 5,835.0 | $64.2 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2017-06-21 | Sale | 5,975.0 | $64.2 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2017-06-15 | Sale | 21,950.0 | $65.04 |
| SHAFF KAREN E | EVP, Gen'l Counsel, Secretary | 2017-06-12 | Sale | 38,105.0 | $65.05 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-06 | Sale | 5,000.0 | $62.61 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-05 | Sale | 19,350.0 | $63.61 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-05 | Sale | 12,589.0 | $63.61 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-05 | Sale | 9,842.0 | $63.61 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-05 | Sale | 3,889.0 | $63.61 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-06-05 | Sale | 15,148.0 | $63.61 |
| Everett Nora Mary | President - RIS | 2017-06-02 | Sale | 8,700.0 | $63.52 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2017-05-16 | Sale | 10,375.0 | $64.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-05-08 | Sale | 5,000.0 | $64.01 |
| Everett Nora Mary | President - RIS | 2017-04-27 | Sale | 14,550.0 | $65.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2017-04-27 | Sale | 5,000.0 | $65.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2017-04-27 | Sale | 19,905.0 | $65.0 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-04-27 | Sale | 1,445.0 | $65.0 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-04-27 | Sale | 1,065.0 | $65.0 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-04-27 | Sale | 21,235.0 | $65.0 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2017-04-20 | Sale | 23,656.0 | $63.0 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2017-04-20 | Sale | 37,255.0 | $63.0 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2017-04-13 | Sale | 10,000.0 | $62.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-04-06 | Sale | 5,000.0 | $62.65 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2017-03-06 | Sale | 5,000.0 | $63.18 |
| Everett Nora Mary | President - RIS | 2017-02-22 | Sale | 11,290.0 | $63.0 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2017-02-22 | Sale | 20,900.0 | $63.1 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-02-15 | Sale | 1,705.0 | $62.72 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-02-15 | Sale | 8,180.0 | $62.69 |
| Lillis Terrance J. | EVP | 2017-02-14 | Sale | 7,380.0 | $62.5 |
| STRABLE-SOETHOUT DEANNA D | EVP & Chief Financial Officer | 2017-02-13 | Sale | 13,862.0 | $62.0 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2017-02-13 | Sale | 12,600.0 | $62.0 |
| STRABLE-SOETHOUT DEANNA D | President - US Ins. Solutions | 2017-02-09 | Sale | 1,406.0 | $60.0 |
| SHAFF KAREN E | EVP, Gen'l Counsel, Secretary | 2017-02-09 | Sale | 43,410.0 | $60.04 |
| STRABLE-SOETHOUT DEANNA D | President - US Ins. Solutions | 2016-12-12 | Sale | 6,549.0 | $60.08 |
| Everett Nora Mary | President - RIS | 2016-12-12 | Sale | 6,350.0 | $59.41 |
| Everett Nora Mary | President - RIS | 2016-12-12 | Sale | 12,350.0 | $59.41 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2016-12-09 | Sale | 13,549.0 | $60.31 |
| Lillis Terrance J. | EVP & Chief Financial Officer | 2016-12-08 | Sale | 10,000.0 | $60.82 |
| Lillis Terrance J. | EVP & Chief Financial Officer | 2016-12-08 | Sale | 13,505.0 | $61.0 |
| Lillis Terrance J. | EVP & Chief Financial Officer | 2016-12-08 | Sale | 25,655.0 | $60.83 |
| Houston Daniel Joseph | Chairman, President & CEO | 2016-12-07 | Sale | 72,350.0 | $60.02 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2016-12-07 | Sale | 6,755.0 | $60.0 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2016-12-07 | Sale | 17,725.0 | $60.0 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2016-12-05 | Sale | 20,009.0 | $58.74 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2016-12-05 | Sale | 53,685.0 | $58.74 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2016-12-05 | Sale | 18,390.0 | $58.74 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2016-11-10 | Sale | 13,000.0 | $58.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2016-10-28 | Sale | 6,704.0 | $55.0 |
| SHAFF KAREN E | EVP, Gen'l Counsel, Secretary | 2016-10-28 | Sale | 12,832.0 | $55.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2016-10-05 | Sale | 5,000.0 | $52.0 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2016-06-22 | Sale | 46,770.0 | $43.73 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-05-23 | Sale | 10,000.0 | $43.13 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-04-21 | Sale | 10,000.0 | $43.4 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-04-14 | Sale | 10,000.0 | $41.48 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-03-21 | Sale | 10,000.0 | $41.15 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-03-14 | Sale | 10,000.0 | $39.83 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-03-14 | Sale | 10,000.0 | $39.85 |
| GELATT DANIEL | Director | 2016-02-19 | Purchase | 30,000.0 | $36.74 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-02-16 | Sale | 10,000.0 | $36.14 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-02-16 | Sale | 10,000.0 | $35.75 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-01-14 | Sale | 10,000.0 | $38.78 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-01-14 | Sale | 10,000.0 | $38.79 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2016-01-04 | Sale | 12,000.0 | $43.7 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-12-14 | Sale | 10,000.0 | $44.97 |
| ZIMPLEMAN LARRY D | Chairman | 2015-12-14 | Sale | 10,000.0 | $45.4 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-12-01 | Sale | 15,940.0 | $51.75 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-12-01 | Sale | 12,000.0 | $51.91 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2015-11-06 | Sale | 13,892.0 | $52.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-11-02 | Sale | 15,940.0 | $50.37 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-11-02 | Sale | 12,000.0 | $50.98 |
| Tallett Elizabeth E | Director | 2015-10-30 | Purchase | 1,000.0 | $50.33 |
| ZIMPLEMAN LARRY D | Chairman | 2015-10-21 | Sale | 10,000.0 | $49.49 |
| ZIMPLEMAN LARRY D | Chairman | 2015-10-14 | Sale | 10,000.0 | $48.25 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-10-07 | Sale | 15,940.0 | $49.75 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-10-01 | Sale | 12,000.0 | $11.07 |
| Houston Daniel Joseph | Pres & Chief Operating Officer | 2015-08-13 | Sale | 1,610.0 | $57.0 |
| Lillis Terrance J. | EVP & Chief Financial Officer | 2015-07-31 | Sale | 3,235.0 | $55.75 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2015-07-30 | Sale | 8,275.0 | $55.0 |
| SHAFF KAREN E | EVP, Gen'l Counsel, Secretary | 2015-07-30 | Sale | 39,165.0 | $55.25 |
| STRABLE-SOETHOUT DEANNA D | President - US Ins. Solutions | 2015-07-29 | Sale | 22.0 | $55.0 |