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
2026 Q2	$266K	Buy	+6,475	New	+$261K	﹤0.01%	1381
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

Commonwealth Equity Services Waltham, Massachusetts $79.5B AUM 27.1% 1-Year Est. Return

PCA

Prosperity Capital Advisors Westlake, Ohio $2.03B AUM 15.9% 1-Year Est. Return

Advisory Services Network Atlanta, Georgia $8.83B AUM 38.5% 1-Year Est. Return

Osaic Holdings Scottsdale, Arizona $85.1B AUM 27.35% 1-Year Est. Return

Brookstone Capital Management Wheaton, Illinois $9.99B AUM 23.61% 1-Year Est. Return

Kestra Advisory Services Austin, Texas $31B AUM 28.39% 1-Year Est. Return

KWM

KFG Wealth Management Granger, Indiana $886M AUM 15.98% 1-Year Est. Return

Spire Wealth Management Mclean, Virginia $3.31B AUM 38.78% 1-Year Est. Return

Envestnet Asset Management Chicago, Illinois $424B AUM 22.9% 1-Year Est. Return

IWM

IMG Wealth Management Jacksonville, Florida $180M AUM 21.06% 1-Year Est. Return

Principal Securities's UOCT Position: Q2 2026 in Review

Principal Securities opened a new position in Innovator US Equity Ultra Buffer ETF October (UOCT) in Q2 2026: 6,475 shares worth $266K. The stake represents ﹤0.01% of the portfolio and ranks #1381 among its holdings. This is a return to the name: Principal Securities previously reported a position in UOCT as recently as Q3 2025.

Principal Securities first reported a position in UOCT in Q4 2023 and has held it in 9 quarters since. 97 funds tracked by Wall St. Rank hold UOCT as of Q2 2026.

Principal Securities held 6,475 shares of Innovator US Equity Ultra Buffer ETF October worth $266K as of Q2 2026.
Innovator US Equity Ultra Buffer ETF October was a new Principal Securities position in Q2 2026.
Innovator US Equity Ultra Buffer ETF October made up ﹤0.01% of Principal Securities's portfolio in Q2 2026, its #1381 holding.
Principal Securities first reported a position in Innovator US Equity Ultra Buffer ETF October in Q4 2023 and has held it in 9 quarters since.
97 funds tracked by Wall St. Rank held Innovator US Equity Ultra Buffer ETF October as of Q2 2026.

Based on Principal Securities's 13F filing for Q2 2026, filed 4 Aug 2026.