Empirical Asset Management, LLC Principal ETF U.S. Small Cap M Transaction History

Empirical Asset Management, LLC

$302 Million
Q1 2024

Shares

2 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q4 2022 Jan 31, 2023	BUY	$38.44 - $42.0 $5,227 - $5,712	136 Added 1.79%	7,753 $303,000
Q3 2022 Oct 19, 2022	BUY	N/A	7,617 New	7,617 $280,000

Others Institutions Holding PSC

# of Institutions

21

Shares Held

10.5M

Call Options Held

0

Put Options Held

0

Principal Financial Group Inc Des Moines, IA

9.54M
Shares

$454 Million
0.29% of portfolio
Principal Securities, Inc. Des Moines, IA

232K
Shares

$11.1 Million
0.36% of portfolio
Envestnet Asset Management Inc

208K
Shares

$9.91 Million
0.0% of portfolio
Wells Fargo & Company San Francisco, CA

117K
Shares

$5.59 Million
0.0% of portfolio
Wealth Enhancement Advisory Services, LLC

102K
Shares

$4.84 Million
0.01% of portfolio

About PRINCIPAL ETF U.S. SMALL-CAP M

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