PFG Insider Transactions — Page 3
770 retained open-market purchase and sale rows from SEC Forms 3, 4 and 5, newest first. This page shows rows 201–300; provenance stays internal.
| Insider profile | Role | Date | Transaction | Shares | Price |
|---|---|---|---|---|---|
| Lillis Terrance J. | EVP & Chief Financial Officer | 2015-07-24 | Sale | 49,638.0 | $53.5 |
| Lillis Terrance J. | EVP & Chief Financial Officer | 2015-07-21 | Sale | 2,212.0 | $53.5 |
| Everett Nora Mary | President - RIS | 2015-06-18 | Sale | 8,425.0 | $52.32 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2015-05-29 | Sale | 9,165.0 | $51.63 |
| Valdes Luis E. | Pres - Int'l Asset Mgmt&Accum | 2015-05-21 | Sale | 6,270.0 | $53.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-02-02 | Sale | 6,569.0 | $47.11 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2015-01-02 | Sale | 6,569.0 | $51.9 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-12-01 | Sale | 6,569.0 | $52.61 |
| Valdes Luis E. | President-Principal Internat'l | 2014-11-25 | Sale | 27,783.0 | $54.02 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-11-03 | Sale | 12,000.0 | $51.95 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-11-03 | Sale | 6,568.0 | $51.95 |
| Valdes Luis E. | President-Principal Internat'l | 2014-10-31 | Sale | 4,606.0 | $52.41 |
| Valdes Luis E. | President-Principal Internat'l | 2014-10-30 | Sale | 200.0 | $52.0 |
| Valdes Luis E. | President-Principal Internat'l | 2014-10-01 | Sale | 9,469.0 | $52.05 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-10-01 | Sale | 12,000.0 | $51.89 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-10-01 | Sale | 6,568.0 | $51.89 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2014-09-03 | Sale | 5,000.0 | $55.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2014-09-03 | Sale | 8,745.0 | $55.0 |
| Lillis Terrance J. | Executive Vice President & CFO | 2014-09-02 | Sale | 33,765.0 | $54.34 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-09-02 | Sale | 12,000.0 | $54.5 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-09-02 | Sale | 6,568.0 | $54.5 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2014-08-26 | Sale | 20,575.0 | $54.0 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2014-08-26 | Sale | 12,775.0 | $54.0 |
| SHAFF KAREN E | EVP, General Counsel & Sec'y | 2014-08-21 | Sale | 54,430.0 | $53.09 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-08-01 | Sale | 12,000.0 | $49.4 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-08-01 | Sale | 6,568.0 | $49.4 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2014-07-14 | Sale | 19,230.0 | $52.0 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2014-07-14 | Sale | 43,540.0 | $52.03 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-07-01 | Sale | 12,000.0 | $50.79 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-07-01 | Sale | 6,568.0 | $50.79 |
| Eucher Ralph Craig | EVP | 2014-06-20 | Sale | 13,265.0 | $50.0 |
| SCHOLTEN GARY P | EVP & Ch Info Officer | 2014-06-20 | Sale | 13,125.0 | $50.0 |
| Dunbar Timothy Mark | EVP & Chief Investment Officer | 2014-06-20 | Sale | 6,000.0 | $50.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-06-02 | Sale | 6,568.0 | $46.76 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-05-01 | Sale | 5,000.0 | $46.65 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-05-01 | Sale | 6,568.0 | $46.65 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-04-01 | Sale | 5,000.0 | $46.54 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-04-01 | Sale | 6,568.0 | $46.54 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-03-03 | Sale | 5,000.0 | $44.71 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-03-03 | Sale | 6,568.0 | $44.7 |
| FERRO DENNIS H | Director | 2014-02-18 | Sale | 1,000.0 | $44.8 |
| KEYSER RICHARD L | Director | 2014-02-18 | Sale | 1,885.0 | $44.69 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-02-03 | Sale | 5,000.0 | $42.91 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-02-03 | Sale | 5,000.0 | $42.91 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-02-03 | Sale | 6,568.0 | $42.9 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-02-03 | Sale | 14,992.0 | $42.91 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-01-02 | Sale | 5,000.0 | $48.6 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-01-02 | Sale | 5,000.0 | $48.6 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-01-02 | Sale | 6,568.0 | $48.6 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2014-01-02 | Sale | 14,992.0 | $48.6 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2013-12-26 | Sale | 44,895.0 | $49.41 |
| OKEEFE MARY A | Sr. VP & Chief Mktg. Off. | 2013-12-16 | Sale | 28,600.0 | $48.33 |
| GELATT DANIEL | Director | 2013-12-13 | Sale | 1,885.0 | $48.23 |
| CARTER MILLER JOYCELYN | Director | 2013-12-11 | Sale | 1,885.0 | $49.1 |
| HELTON SANDRA L | Director | 2013-12-10 | Sale | 1,885.0 | $49.16 |
| BERNARD BETSY J | Director | 2013-12-02 | Sale | 1,885.0 | $50.55 |
| Tallett Elizabeth E | Director | 2013-12-02 | Sale | 1,885.0 | $50.76 |
| COSTLEY GARY E | Director | 2013-12-02 | Sale | 1,885.0 | $50.54 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-12-02 | Sale | 5,000.0 | $50.48 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-12-02 | Sale | 14,992.0 | $50.53 |
| Elming Gregory Bernard | SVP & Chief Risk Officer | 2013-11-29 | Sale | 8,485.0 | $50.53 |
| COSTLEY GARY E | Director | 2013-11-18 | Sale | 5,000.0 | $49.3 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-11-01 | Sale | 5,000.0 | $47.35 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-11-01 | Sale | 14,992.0 | $47.36 |
| ZIMPLEMAN LARRY D | Chairman, President & CEO | 2013-10-28 | Sale | 93,907.0 | $47.09 |
| ZIMPLEMAN LARRY D | Chairman, President & CEO | 2013-10-25 | Sale | 14,278.0 | $47.14 |
| Lillis Terrance J. | Senior Vice President & CFO | 2013-10-17 | Sale | 7,520.0 | $45.0 |
| Valdes Luis E. | President-Principal Internat'l | 2013-10-17 | Sale | 11,196.0 | $45.0 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-10-01 | Sale | 5,000.0 | $42.9 |
| MCCAUGHAN JAMES P | President - Global Asset Mgmt. | 2013-10-01 | Sale | 14,992.0 | $42.88 |
| SCHOLTEN GARY P | Sr VP & Ch Info Officer | 2013-09-16 | Sale | 30,000.0 | $11.07 |
| ZIMPLEMAN LARRY D | Chairman, President & CEO | 2013-08-01 | Sale | 77,790.0 | $44.3 |
| SCHOLTEN GARY P | Sr VP & Ch Info Officer | 2013-07-26 | Sale | 25,720.0 | $42.1 |
| Lillis Terrance J. | Senior Vice President & CFO | 2013-07-26 | Sale | 6,605.0 | $42.1 |
| SHAFF KAREN E | Exec. VP and General Counsel | 2013-07-22 | Sale | 36,530.0 | $40.5 |
| OKEEFE MARY A | Sr. VP & Chief Mktg. Off. | 2013-07-22 | Sale | 15,000.0 | $40.0 |
| Dunbar Timothy Mark | SVP and Chief Investment Offic | 2013-07-22 | Sale | 5,000.0 | $40.0 |
| Dunbar Timothy Mark | SVP and Chief Investment Offic | 2013-07-22 | Sale | 685.0 | $40.0 |
| Dunbar Timothy Mark | SVP and Chief Investment Offic | 2013-07-22 | Sale | 4,280.0 | $40.0 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2013-07-18 | Sale | 43,000.0 | $39.9 |
| Houston Daniel Joseph | Pres.-Ret., Ins. & Fin. Svcs. | 2013-07-17 | Sale | 31,110.0 | $39.3 |
| Valdes Luis E. | President-Principal Internat'l | 2013-07-01 | Sale | 12,980.0 | $37.7 |
| Valdes Luis E. | President-Principal Internat'l | 2013-07-01 | Sale | 2,660.0 | $37.7 |
| Valdes Luis E. | President-Principal Internat'l | 2013-07-01 | Sale | 12,980.0 | $37.7 |
| Valdes Luis E. | President-Principal Internat'l | 2013-07-01 | Sale | 2,660.0 | $37.7 |
| SCHOLTEN GARY P | Sr VP & Ch Info Officer | 2013-05-14 | Sale | 12,730.0 | $37.5 |
| SHAFF KAREN E | Exec. VP and General Counsel | 2013-04-11 | Sale | 87,360.0 | $35.0 |
| OKEEFE MARY A | Sr. VP & Chief Mktg. Off. | 2013-03-28 | Purchase | 185.0 | $33.78 |
| HELTON SANDRA L | Director | 2013-03-15 | Sale | 1,935.0 | $34.12 |
| KEYSER RICHARD L | Director | 2013-03-14 | Sale | 1,935.0 | $34.36 |
| COSTLEY GARY E | Director | 2013-03-14 | Sale | 1,935.0 | $34.43 |
| CARTER MILLER JOYCELYN | Director | 2013-03-14 | Sale | 1,935.0 | $34.35 |
| TALLETT ELIZEBETH E | Director | 2013-03-14 | Sale | 1,935.0 | $34.52 |
| BERNARD BETSY J | Director | 2013-03-14 | Sale | 1,935.0 | $34.35 |
| GELATT DANIEL | Director | 2013-03-13 | Sale | 1,935.0 | $34.02 |
| ZIMPLEMAN LARRY D | Chairman, President & CEO | 2013-02-21 | Sale | 24,140.0 | $31.1 |
| ZIMPLEMAN LARRY D | Chairman, President & CEO | 2013-02-19 | Sale | 24,141.0 | $31.72 |
| Dunbar Timothy Mark | SVP and Chief Investment Offic | 2013-02-19 | Sale | 4,923.0 | $31.63 |
| SHAFF KAREN E | Exec. VP and General Counsel | 2013-02-19 | Sale | 3,125.0 | $32.0 |
| SHAFF KAREN E | Exec. VP and General Counsel | 2013-01-22 | Sale | 3,333.0 | $30.28 |