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Principal Securities’s Innovator US Equity Ultra Buffer ETF October UOCT Stock Holding History

Principal Securities’s Portfolio UOCT Stock Details UOCT Fund Activity
Bought
Maintained
Sold
Quarter Market Value Status Shares Change in
Stake 		Trade Value Portfolio Weight Portfolio Position
2025
Q4 		– Sell
-3,881
Closed -$149K – 3389
2025
Q3 		$149K Hold
3,881
– – ﹤0.01% 1417
2025
Q2 		$143K Buy
3,881
+1,251
+48% +$43.9K ﹤0.01% 1380
2025
Q1 		$92.8K Hold
2,630
– – ﹤0.01% 1475
2024
Q4 		$92.8K Hold
2,630
– – ﹤0.01% 1473
2024
Q3 		$91.5K Hold
2,630
– – ﹤0.01% 1437
2024
Q2 		$90.1K Hold
2,630
– – ﹤0.01% 1378
2024
Q1 		$88.4K Buy
2,630
+241
+10% +$7.95K ﹤0.01% 1325
2023
Q4 		$77.3K Buy
+2,389
New +$74.6K ﹤0.01% 1290

Other funds holding UOCT

BCM
Brookstone Capital Management Wheaton, Illinois $9.99B AUM 23.61% 1-Year Est. Return
Commonwealth Equity Services
Commonwealth Equity Services Waltham, Massachusetts $71.6B AUM 21.08% 1-Year Est. Return
PCA
Prosperity Capital Advisors Westlake, Ohio $2.03B AUM 23.67% 1-Year Est. Return
KWM
KFG Wealth Management Granger, Indiana $886M AUM 15.98% 1-Year Est. Return
Carson Wealth (CWM LLC)
Carson Wealth (CWM LLC) Omaha, Nebraska $38.1B AUM 19.66% 1-Year Est. Return
Mercer Global Advisors
Mercer Global Advisors Denver, Colorado $67.6B AUM 18.3% 1-Year Est. Return
KAS
Kestra Advisory Services Austin, Texas $26.4B AUM 21.05% 1-Year Est. Return
ASN
Advisory Services Network Atlanta, Georgia $7.52B AUM 29.01% 1-Year Est. Return
SWM
Spire Wealth Management Mclean, Virginia $3.31B AUM 38.78% 1-Year Est. Return
Envestnet Asset Management
Envestnet Asset Management Chicago, Illinois $374B AUM 17.66% 1-Year Est. Return

Principal Securities's UOCT Position: Q4 2025 in Review

Principal Securities sold out of Innovator US Equity Ultra Buffer ETF October (UOCT) in Q4 2025, closing a stake of 3,881 shares — an estimated $149K sold.

Principal Securities first reported a position in UOCT in Q4 2023 and held it in 8 quarters. The position peaked at $149K in Q3 2025. 94 funds tracked by Wall St. Rank hold UOCT as of Q4 2025.

  • Principal Securities reported no remaining Innovator US Equity Ultra Buffer ETF October position as of Q4 2025 after selling out during the quarter.
  • Principal Securities sold 3,881 Innovator US Equity Ultra Buffer ETF October shares in Q4 2025, an estimated $149K.
  • Principal Securities first reported a position in Innovator US Equity Ultra Buffer ETF October in Q4 2023 and held it in 8 quarters.
  • Principal Securities's Innovator US Equity Ultra Buffer ETF October position peaked at $149K in Q3 2025.
  • 94 funds tracked by Wall St. Rank held Innovator US Equity Ultra Buffer ETF October as of Q4 2025.

Based on Principal Securities's 13F filing for Q4 2025, filed 12 Feb 2026.