Roger C Hochschild
CIK 1183833 · View on SEC EDGAR ↗
Insider
First SEC filing: June 9, 2026 · Latest: June 9, 2026
On this page
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 100 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
No open-market trades on record; showing all filings.
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| June 26, 2026 | PFG | A | 219 | $107.75 | $23,597 | 29,674 Direct | +0.74% | Acquired | 4.1% (price as of 2026-08-21) |
| June 26, 2026 | PFG | A | 294 | — | — | 41,477 Direct | +0.71% | Acquired | (price as of 2026-08-21) |
| June 5, 2026 | PFG | A | 689 | $105.22 | $72,497 | 29,455 Direct | +2.40% | Acquired | 6.6% (price as of 2026-08-21) |
| May 19, 2026 | PFG | A | 2,175 | — | — | 41,183 Direct | +5.58% | Acquired | (price as of 2026-08-21) |
| March 27, 2026 | PFG | A | 262 | $87.01 | $22,797 | 28,766 Direct | +0.92% | Acquired | 28.9% (price as of 2026-08-21) |
| March 27, 2026 | PFG | A | 355 | — | — | 39,008 Direct | +0.92% | Acquired | (price as of 2026-08-21) |
| Dec. 19, 2025 | PFG | A | 244 | $88.95 | $21,704 | 28,504 Direct | +0.86% | Acquired | 26.1% (price as of 2026-08-21) |
| Dec. 19, 2025 | PFG | A | 340 | — | — | 38,653 Direct | +0.89% | Acquired | (price as of 2026-08-21) |
| Dec. 5, 2025 | PFG | A | 828 | $87.52 | $72,467 | 28,260 Direct | +3.02% | Acquired | 28.1% (price as of 2026-08-21) |
| Sept. 26, 2025 | PFG | A | 257 | $82.62 | $21,233 | 27,432 Direct | +0.95% | Acquired | 35.7% (price as of 2026-08-21) |
| Sept. 26, 2025 | PFG | A | 358 | — | — | 38,313 Direct | +0.94% | Acquired | (price as of 2026-08-21) |
| June 27, 2025 | PFG | A | 250 | $79.19 | $19,798 | 27,175 Direct | +0.93% | Acquired | 41.6% (price as of 2026-08-21) |
| June 27, 2025 | PFG | A | 361 | — | — | 37,955 Direct | +0.96% | Acquired | (price as of 2026-08-21) |
| June 6, 2025 | PFG | A | 909 | $76.97 | $69,966 | 26,925 Direct | +3.49% | Acquired | 45.7% (price as of 2026-08-21) |
| May 20, 2025 | PFG | A | 2,484 | — | — | 37,594 Direct | +7.07% | Acquired | (price as of 2026-08-21) |
| March 28, 2025 | PFG | A | 233 | $83.06 | $19,353 | 26,016 Direct | +0.90% | Acquired | 35.0% (price as of 2026-08-21) |
| March 28, 2025 | PFG | A | 314 | — | — | 35,110 Direct | +0.90% | Acquired | (price as of 2026-08-21) |
| Dec. 18, 2024 | PFG | A | 241 | $74.91 | $18,053 | 25,783 Direct | +0.94% | Acquired | 49.7% (price as of 2026-08-21) |
| Dec. 18, 2024 | PFG | A | 336 | — | — | 34,796 Direct | +0.98% | Acquired | (price as of 2026-08-21) |
| Dec. 6, 2024 | PFG | A | 829 | $84.40 | $69,968 | 25,542 Direct | +3.35% | Acquired | 32.9% (price as of 2026-08-21) |
| Sept. 27, 2024 | PFG | A | 205 | $86.09 | $17,648 | 24,713 Direct | +0.84% | Acquired | 30.3% (price as of 2026-08-21) |
| Sept. 27, 2024 | PFG | A | 286 | — | — | 34,460 Direct | +0.84% | Acquired | (price as of 2026-08-21) |
| June 28, 2024 | PFG | A | 209 | $79.46 | $16,607 | 24,508 Direct | +0.86% | Acquired | 41.1% (price as of 2026-08-21) |
| June 28, 2024 | PFG | A | 303 | — | — | 34,174 Direct | +0.89% | Acquired | (price as of 2026-08-21) |
| June 7, 2024 | PFG | A | 883 | $79.27 | $69,995 | 24,299 Direct | +3.77% | Acquired | 41.5% (price as of 2026-08-21) |
| May 21, 2024 | PFG | A | 2,395 | — | — | 33,871 Direct | +7.61% | Acquired | (price as of 2026-08-21) |
| March 28, 2024 | PFG | A | 186 | $86.31 | $16,054 | 23,416 Direct | +0.80% | Acquired | 29.9% (price as of 2026-08-21) |
| March 28, 2024 | PFG | A | 250 | — | — | 31,476 Direct | +0.80% | Acquired | (price as of 2026-08-21) |
| Dec. 20, 2023 | PFG | A | 189 | $78.36 | $14,810 | 23,230 Direct | +0.82% | Acquired | 43.1% (price as of 2026-08-21) |
| Dec. 20, 2023 | PFG | A | 265 | — | — | 31,226 Direct | +0.86% | Acquired | (price as of 2026-08-21) |
| Dec. 8, 2023 | PFG | A | 931 | $75.15 | $69,965 | 23,041 Direct | +4.21% | Acquired | 49.2% (price as of 2026-08-21) |
| Sept. 29, 2023 | PFG | A | 198 | $72.07 | $14,270 | 22,110 Direct | +0.90% | Acquired | 55.6% (price as of 2026-08-21) |
| Sept. 29, 2023 | PFG | A | 277 | — | — | 30,961 Direct | +0.90% | Acquired | (price as of 2026-08-21) |
| June 30, 2023 | PFG | A | 183 | $75.84 | $13,879 | 21,912 Direct | +0.84% | Acquired | 47.9% (price as of 2026-08-21) |
| June 30, 2023 | PFG | A | 257 | — | — | 30,684 Direct | +0.84% | Acquired | (price as of 2026-08-21) |
| May 26, 2023 | PFG | A | 1,027 | $68.17 | $70,011 | 21,729 Direct | +4.96% | Acquired | 64.5% (price as of 2026-08-21) |
| May 16, 2023 | PFG | A | 2,750 | — | — | 30,427 Direct | +9.94% | Acquired | (price as of 2026-08-21) |
| March 31, 2023 | PFG | A | 177 | $74.32 | $13,155 | 20,702 Direct | +0.86% | Acquired | 50.9% (price as of 2026-08-21) |
| March 31, 2023 | PFG | A | 236 | — | — | 27,677 Direct | +0.86% | Acquired | (price as of 2026-08-21) |
| Dec. 19, 2022 | PFG | A | 207 | — | — | 27,441 Direct | +0.76% | Acquired | (price as of 2026-08-21) |
| Dec. 19, 2022 | PFG | A | 149 | $84.31 | $12,562 | 20,525 Direct | +0.73% | Acquired | 33.0% (price as of 2026-08-21) |
| Dec. 9, 2022 | PFG | A | 795 | $88.07 | $70,016 | 20,376 Direct | +4.06% | Acquired | 27.3% (price as of 2026-08-21) |
| Sept. 30, 2022 | PFG | A | 172 | $72.15 | $12,410 | 19,581 Direct | +0.89% | Acquired | 55.4% (price as of 2026-08-21) |
| Sept. 30, 2022 | PFG | A | 239 | — | — | 27,234 Direct | +0.89% | Acquired | (price as of 2026-08-21) |
| June 24, 2022 | PFG | A | 180 | $68.55 | $12,339 | 19,409 Direct | +0.94% | Acquired | 63.6% (price as of 2026-08-21) |
| June 24, 2022 | PFG | A | 250 | — | — | 26,995 Direct | +0.93% | Acquired | (price as of 2026-08-21) |
| May 27, 2022 | PFG | A | 960 | $72.94 | $70,022 | 17,623 Direct | +5.76% | Acquired | 53.8% (price as of 2026-08-21) |
| May 17, 2022 | PFG | A | 2,336 | — | — | 26,745 Direct | +9.57% | Acquired | (price as of 2026-08-21) |
| March 25, 2022 | PFG | A | 158 | $73.60 | $11,629 | 18,270 Direct | +0.87% | Acquired | 52.4% (price as of 2026-08-21) |
| March 25, 2022 | PFG | A | 210 | — | — | 24,409 Direct | +0.87% | Acquired | (price as of 2026-08-21) |
| Dec. 21, 2021 | PFG | A | 155 | $70.33 | $10,901 | 18,112 Direct | +0.86% | Acquired | 59.5% (price as of 2026-08-21) |
| Dec. 21, 2021 | PFG | A | 218 | — | — | 24,199 Direct | +0.91% | Acquired | (price as of 2026-08-21) |
| Dec. 10, 2021 | PFG | A | 972 | $71.99 | $69,974 | 17,958 Direct | +5.72% | Acquired | 55.8% (price as of 2026-08-21) |
| Sept. 24, 2021 | PFG | A | 232 | — | — | 23,981 Direct | +0.98% | Acquired | (price as of 2026-08-21) |
| Sept. 24, 2021 | PFG | A | 164 | $64.45 | $10,570 | 16,986 Direct | +0.97% | Acquired | 74.0% (price as of 2026-08-21) |
| June 25, 2021 | PFG | A | 223 | — | — | 23,749 Direct | +0.95% | Acquired | (price as of 2026-08-21) |
| June 25, 2021 | PFG | A | 158 | $64.36 | $10,169 | 16,821 Direct | +0.95% | Acquired | 74.3% (price as of 2026-08-21) |
| May 28, 2021 | PFG | A | 1,032 | $65.39 | $67,482 | 16,663 Direct | +6.60% | Acquired | 71.5% (price as of 2026-08-21) |
| May 18, 2021 | PFG | A | 2,512 | — | — | 23,526 Direct | +11.95% | Acquired | (price as of 2026-08-21) |
| March 26, 2021 | PFG | A | 143 | $60.63 | $8,670 | 15,631 Direct | +0.92% | Acquired | 85.0% (price as of 2026-08-21) |
| March 26, 2021 | PFG | A | 192 | — | — | 21,014 Direct | +0.92% | Acquired | (price as of 2026-08-21) |
| Dec. 21, 2020 | PFG | A | 165 | $47.50 | $7,838 | 15,488 Direct | +1.08% | Acquired | 136.1% (price as of 2026-08-21) |
| Dec. 21, 2020 | PFG | A | 243 | — | — | 20,822 Direct | +1.18% | Acquired | (price as of 2026-08-21) |
| Dec. 4, 2020 | PFG | A | 1,291 | $52.28 | $67,493 | 15,332 Direct | +9.19% | Acquired | 114.5% (price as of 2026-08-21) |
| Sept. 25, 2020 | PFG | A | 200 | $38.63 | $7,726 | 14,031 Direct | +1.45% | Acquired | 190.3% (price as of 2026-08-21) |
| Sept. 25, 2020 | PFG | A | 294 | — | — | 20,579 Direct | +1.45% | Acquired | (price as of 2026-08-21) |
| June 26, 2020 | PFG | A | 178 | $39.14 | $6,967 | 13,831 Direct | +1.30% | Acquired | 186.5% (price as of 2026-08-21) |
| June 26, 2020 | PFG | A | 286 | — | — | 20,285 Direct | +1.43% | Acquired | (price as of 2026-08-21) |
| June 5, 2020 | PFG | A | 1,210 | $44.64 | $54,014 | 13,653 Direct | +9.72% | Acquired | 151.2% (price as of 2026-08-21) |
| May 19, 2020 | PFG | A | 4,674 | — | — | 19,999 Direct | +30.50% | Acquired | (price as of 2026-08-21) |
| March 27, 2020 | PFG | A | 210 | $32.60 | $6,846 | 12,443 Direct | +1.72% | Acquired | 244.0% (price as of 2026-08-21) |
| March 27, 2020 | PFG | A | 259 | — | — | 15,325 Direct | +1.72% | Acquired | (price as of 2026-08-21) |
| Dec. 27, 2019 | PFG | A | 109 | $54.76 | $5,969 | 12,233 Direct | +0.90% | Acquired | 104.8% (price as of 2026-08-21) |
| Dec. 27, 2019 | PFG | A | 150 | — | — | 15,066 Direct | +1.01% | Acquired | (price as of 2026-08-21) |
| Dec. 5, 2019 | PFG | A | 1,279 | $52.79 | $67,518 | 12,124 Direct | +11.79% | Acquired | 112.4% (price as of 2026-08-21) |
| Sept. 27, 2019 | PFG | A | 103 | $57.37 | $5,909 | 10,845 Direct | +0.96% | Acquired | 95.5% (price as of 2026-08-21) |
| Sept. 27, 2019 | PFG | A | 142 | — | — | 14,916 Direct | +0.96% | Acquired | (price as of 2026-08-21) |
| June 28, 2019 | PFG | A | 90 | $57.92 | $5,213 | 10,742 Direct | +0.84% | Acquired | 93.6% (price as of 2026-08-21) |
| June 28, 2019 | PFG | A | 136 | — | — | 14,774 Direct | +0.93% | Acquired | (price as of 2026-08-21) |
| May 31, 2019 | PFG | A | 970 | $51.57 | $50,023 | 10,652 Direct | +10.02% | Acquired | 117.5% (price as of 2026-08-21) |
| May 21, 2019 | PFG | A | 2,982 | — | — | 14,638 Direct | +25.58% | Acquired | (price as of 2026-08-21) |
| March 29, 2019 | PFG | A | 124 | — | — | 11,656 Direct | +1.08% | Acquired | (price as of 2026-08-21) |
| March 29, 2019 | PFG | A | 103 | $50.19 | $5,170 | 9,683 Direct | +1.08% | Acquired | 123.5% (price as of 2026-08-21) |
| Dec. 28, 2018 | PFG | A | 104 | $43.56 | $4,530 | 9,580 Direct | +1.10% | Acquired | 157.5% (price as of 2026-08-21) |
| Dec. 28, 2018 | PFG | A | 141 | — | — | 11,532 Direct | +1.24% | Acquired | (price as of 2026-08-21) |
| Dec. 6, 2018 | PFG | A | 1,110 | $45.03 | $49,983 | 9,476 Direct | +13.27% | Acquired | 149.1% (price as of 2026-08-21) |
| Sept. 28, 2018 | PFG | A | 75 | $58.59 | $4,394 | 8,366 Direct | +0.90% | Acquired | 91.4% (price as of 2026-08-21) |
| Sept. 28, 2018 | PFG | A | 102 | — | — | 11,391 Direct | +0.90% | Acquired | (price as of 2026-08-21) |
| June 29, 2018 | PFG | A | 72 | $52.95 | $3,812 | 8,290 Direct | +0.88% | Acquired | 111.8% (price as of 2026-08-21) |
| June 29, 2018 | PFG | A | 110 | — | — | 11,289 Direct | +0.98% | Acquired | (price as of 2026-08-21) |
| June 6, 2018 | PFG | A | 922 | $56.91 | $52,471 | 8,219 Direct | +12.64% | Acquired | 97.1% (price as of 2026-08-21) |
| May 22, 2018 | PFG | A | 2,752 | — | — | 11,179 Direct | +32.66% | Acquired | (price as of 2026-08-21) |
| March 29, 2018 | PFG | A | 70 | — | — | 8,427 Direct | +0.84% | Acquired | (price as of 2026-08-21) |
| March 29, 2018 | PFG | A | 61 | $60.91 | $3,716 | 7,296 Direct | +0.84% | Acquired | 84.1% (price as of 2026-08-21) |
| Dec. 28, 2017 | PFG | A | 57 | — | — | 8,357 Direct | +0.69% | Acquired | (price as of 2026-08-21) |
| Dec. 28, 2017 | PFG | A | 44 | $71.39 | $3,141 | 7,236 Direct | +0.61% | Acquired | 57.1% (price as of 2026-08-21) |
| Dec. 6, 2017 | PFG | A | 748 | $70.82 | $52,973 | 7,192 Direct | +11.61% | Acquired | 58.4% (price as of 2026-08-21) |
| Nov. 17, 2017 | PFG | A | 29 | $68.64 | $1,991 | 6,443 Direct | +0.45% | Acquired | 63.4% (price as of 2026-08-21) |
| Oct. 6, 2017 | PFG | A | 45 | $66.65 | $2,999 | 6,414 Direct | +0.71% | Acquired | 68.3% (price as of 2026-08-21) |
| Sept. 29, 2017 | PFG | A | 46 | $64.34 | $2,960 | 6,369 Direct | +0.73% | Acquired | 74.3% (price as of 2026-08-21) |
Showing latest 100 of 158 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| June 26, 2026 | PFG | Phantom Stock Units | Common Stock (219) | — | — | 219 | Acquired |
| June 5, 2026 | PFG | Phantom Stock Units | Common Stock (689) | — | — | 689 | Acquired |
| March 27, 2026 | PFG | Phantom Stock Units | Common Stock (262) | — | — | 262 | Acquired |
| Dec. 19, 2025 | PFG | Phantom Stock Units | Common Stock (244) | — | — | 244 | Acquired |
| Dec. 5, 2025 | PFG | Phantom Stock Units | Common Stock (828) | — | — | 828 | Acquired |
| Sept. 26, 2025 | PFG | Phantom Stock Units | Common Stock (257) | — | — | 257 | Acquired |
| June 27, 2025 | PFG | Phantom Stock Units | Common Stock (250) | — | — | 250 | Acquired |
| June 6, 2025 | PFG | Phantom Stock Units | Common Stock (909) | — | — | 909 | Acquired |
| March 28, 2025 | PFG | Phantom Stock Units | Common Stock (233) | — | — | 233 | Acquired |
| Dec. 18, 2024 | PFG | Phantom Stock Units | Common Stock (241) | — | — | 241 | Acquired |
| Dec. 6, 2024 | PFG | Phantom Stock Units | Common Stock (829) | — | — | 829 | Acquired |
| Sept. 27, 2024 | PFG | Phantom Stock Units | Common Stock (205) | — | — | 205 | Acquired |
| June 28, 2024 | PFG | Phantom Stock Units | Common Stock (209) | — | — | 209 | Acquired |
| June 7, 2024 | PFG | Phantom Stock Units | Common Stock (883) | — | — | 883 | Acquired |
| March 28, 2024 | PFG | Phantom Stock Units | Common Stock (186) | — | — | 186 | Acquired |
| Dec. 20, 2023 | PFG | Phantom Stock Units | Common Stock (189) | — | — | 189 | Acquired |
| Dec. 8, 2023 | PFG | Phantom Stock Units | Common Stock (931) | — | — | 931 | Acquired |
| Sept. 29, 2023 | PFG | Phantom Stock Units | Common Stock (198) | — | — | 198 | Acquired |
| June 30, 2023 | PFG | Phantom Stock Units | Common Stock (183) | — | — | 183 | Acquired |
| May 26, 2023 | PFG | Phantom Stock Units | Common Stock (1,027) | — | — | 1,027 | Acquired |
| March 31, 2023 | PFG | Phantom Stock Units | Common Stock (177) | — | — | 177 | Acquired |
| Dec. 19, 2022 | PFG | Phantom Stock Units | Common Stock (149) | — | — | 149 | Acquired |
| Dec. 9, 2022 | PFG | Phantom Stock Units | Common Stock (795) | — | — | 795 | Acquired |
| Sept. 30, 2022 | PFG | Phantom Stock Units | Common Stock (172) | — | — | 172 | Acquired |
| June 24, 2022 | PFG | Phantom Stock Units | Common Stock (180) | — | — | 180 | Acquired |
| May 27, 2022 | PFG | Phantom Stock Units | Common Stock (960) | — | — | 960 | Acquired |
| March 25, 2022 | PFG | Phantom Stock Units | Common Stock (158) | — | — | 158 | Acquired |
| Dec. 21, 2021 | PFG | Phantom Stock Units | Common Stock (155) | — | — | 155 | Acquired |
| Dec. 10, 2021 | PFG | Phantom Stock Units | Common Stock (972) | — | — | 972 | Acquired |
| Sept. 24, 2021 | PFG | Phantom Stock Units | Common Stock (164) | — | — | 164 | Acquired |
| June 25, 2021 | PFG | Phantom Stock Units | Common Stock (158) | — | — | 158 | Acquired |
| May 28, 2021 | PFG | Phantom Stock Units | Common Stock (1,032) | — | — | 1,032 | Acquired |
| March 26, 2021 | PFG | Phantom Stock Units | Common Stock (143) | — | — | 143 | Acquired |
| Dec. 21, 2020 | PFG | Phantom Stock Units | Common Stock (165) | — | — | 165 | Acquired |
| Dec. 4, 2020 | PFG | Phantom Stock Units | Common Stock (1,291) | — | — | 1,291 | Acquired |
| Sept. 25, 2020 | PFG | Phantom Stock Units | Common Stock (200) | — | — | 200 | Acquired |
| June 26, 2020 | PFG | Phantom Stock Units | Common Stock (178) | — | — | 178 | Acquired |
| June 5, 2020 | PFG | Phantom Stock Units | Common Stock (1,210) | — | — | 1,210 | Acquired |
| March 27, 2020 | PFG | Phantom Stock Units | Common Stock (210) | — | — | 210 | Acquired |
| Dec. 27, 2019 | PFG | Phantom Stock Units | Common Stock (109) | — | — | 109 | Acquired |
| Dec. 5, 2019 | PFG | Phantom Stock Units | Common Stock (1,279) | — | — | 1,279 | Acquired |
| Sept. 27, 2019 | PFG | Phantom Stock Units | Common Stock (103) | — | — | 103 | Acquired |
| June 28, 2019 | PFG | Phantom Stock Units | Common Stock (90) | — | — | 90 | Acquired |
| May 31, 2019 | PFG | Phantom Stock Units | Common Stock (970) | — | — | 970 | Acquired |
| March 29, 2019 | PFG | Phantom Stock Units | Common Stock (103) | — | — | 103 | Acquired |
| Dec. 28, 2018 | PFG | Phantom Stock Units | Common Stock (104) | — | — | 104 | Acquired |
| Dec. 6, 2018 | PFG | Phantom Stock Units | Common Stock (1,110) | — | — | 1,110 | Acquired |
| Sept. 28, 2018 | PFG | Phantom Stock Units | Common Stock (75) | — | — | 75 | Acquired |
| June 29, 2018 | PFG | Phantom Stock Units | Common Stock (72) | — | — | 72 | Acquired |
| June 6, 2018 | PFG | Phantom Stock Units | Common Stock (922) | — | — | 922 | Acquired |
| March 29, 2018 | PFG | Phantom Stock Units | Common Stock (61) | — | — | 61 | Acquired |
| Dec. 28, 2017 | PFG | Phantom Stock Units | Common Stock (44) | — | — | 44 | Acquired |
| Dec. 6, 2017 | PFG | Phantom Stock Units | Common Stock (748) | — | — | 748 | Acquired |
| Nov. 17, 2017 | PFG | Phantom Stock Units | Common Stock (29) | — | — | 29 | Acquired |
| Oct. 6, 2017 | PFG | Phantom Stock Units | Common Stock (45) | — | — | 45 | Acquired |
| Sept. 29, 2017 | PFG | Phantom Stock Units | Common Stock (46) | — | — | 46 | Acquired |
| Sept. 22, 2017 | PFG | Phantom Stock Units | Common Stock (16) | — | — | 16 | Acquired |
| Aug. 4, 2017 | PFG | Phantom Stock Units | Common Stock (30) | — | — | 30 | Acquired |
| June 30, 2017 | PFG | Phantom Stock Units | Common Stock (39) | — | — | 39 | Acquired |
| June 2, 2017 | PFG | Phantom Stock Units | Common Stock (790) | — | — | 790 | Acquired |
| May 19, 2017 | PFG | Phantom Stock Units | Common Stock (49) | — | — | 49 | Acquired |
| March 31, 2017 | PFG | Phantom Stock Units | Common Stock (38) | — | — | 38 | Acquired |
| March 10, 2017 | PFG | Phantom Stock Units | Common Stock (47) | — | — | 47 | Acquired |
| Feb. 10, 2017 | PFG | Phantom Stock Units | Common Stock (66) | — | — | 66 | Acquired |
| Dec. 30, 2016 | PFG | Phantom Stock Units | Common Stock (17) | — | — | 17 | Acquired |
| Dec. 27, 2016 | PFG | Phantom Stock Units | Common Stock (32) | — | — | 32 | Acquired |
| Dec. 6, 2016 | PFG | Phantom Stock Units | Common Stock (850) | — | — | 850 | Acquired |
| Nov. 18, 2016 | PFG | Phantom Stock Units | Common Stock (35) | — | — | 35 | Acquired |
| Oct. 7, 2016 | PFG | Phantom Stock Units | Common Stock (19) | — | — | 19 | Acquired |
| Sept. 30, 2016 | PFG | Phantom Stock Units | Common Stock (33) | — | — | 33 | Acquired |
| Sept. 9, 2016 | PFG | Phantom Stock Units | Common Stock (62) | — | — | 62 | Acquired |
| June 24, 2016 | PFG | Phantom Stock Units | Common Stock (29) | — | — | 29 | Acquired |
| June 3, 2016 | PFG | Phantom Stock Units | Common Stock (1,179) | — | — | 1,179 | Acquired |
| May 20, 2016 | PFG | Phantom Stock Units | Common Stock (70) | — | — | 70 | Acquired |
| April 8, 2016 | PFG | Phantom Stock Units | Common Stock (26) | — | — | 26 | Acquired |
| March 25, 2016 | PFG | Phantom Stock Units | Common Stock (27) | — | — | 27 | Acquired |
| March 11, 2016 | PFG | Phantom Stock Units | Common Stock (74) | — | — | 74 | Acquired |
| Feb. 12, 2016 | PFG | Phantom Stock Units | Common Stock (85) | — | — | 85 | Acquired |
| Jan. 29, 2016 | PFG | Phantom Stock Units | Common Stock (53) | — | — | 53 | Acquired |
| Dec. 28, 2015 | PFG | Phantom Stock Units | Common Stock (12) | — | — | 12 | Acquired |
| Dec. 18, 2015 | PFG | Phantom Stock Units | Common Stock (1,152) | — | — | 1,152 | Acquired |
| Nov. 19, 2015 | PFG | Phantom Stock Units | Common Stock (20) | — | — | 20 | Acquired |
| Nov. 5, 2015 | PFG | Phantom Stock Units | Common Stock (59) | — | — | 59 | Acquired |
| Sept. 25, 2015 | PFG | Phantom Stock Units | Common Stock (11) | — | — | 11 | Acquired |
| Sept. 4, 2015 | PFG | Phantom Stock Units | Common Stock (63) | — | — | 63 | Acquired |
| Aug. 14, 2015 | PFG | Phantom Stock Units | Common Stock (34) | — | — | 34 | Acquired |
| June 26, 2015 | PFG | Phantom Stock Units | Common Stock (2) | — | — | 2 | Acquired |
| June 4, 2015 | PFG | Phantom Stock Units | Common Stock (975) | — | — | 975 | Acquired |
| May 7, 2015 | PFG | Phantom Stock Units | Common Stock (328) | — | — | 328 | Acquired |
| Oct. 11, 2006 | MS | Employee Stock Option (Right to Buy) | Common Stock (25,246) | $35.65 | Nov. 2, 2008 | 25,246 | Disposed |
| Nov. 28, 2003 | MS | Employee Stock Option (Right to Buy) | Common Stock (29,866) | $55.45 | Jan. 2, 2014 | 29,866 | Acquired |
| Nov. 20, 2003 | MS | Employee Stock Option (Right to Buy) | Common Stock (130,148) | $53.02 | Jan. 2, 2014 | 130,148 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).