Principal Financial SEC Filings

Principal Financial Group Inc. filed a Form 13F combination report detailing equity holdings managed across its investment platforms. The filing reports a Form 13F information table value total of $195,864,471,837 across 4,456 reportable positions.

The report is filed as a 13F combination report, meaning some holdings are reported here and others by additional managers. It identifies 5 other included managers, including Principal Global Investors and Principal Real Estate Investors LLC, and names several other managers reporting for this manager.

Principal Financial Group President and CEO Deanna D. Strable-Soethout reported selling 7,340 shares of common stock of PRINCIPAL FINANCIAL GROUP INC at a price of $95 per share on 01/30/2026. The transaction was executed under a Rule 10b5-1 trading plan adopted on February 28, 2024.

After this sale, she beneficially owned 136,828 shares of common stock directly, and 54,227 shares indirectly through her spouse.

Principal Financial Group’s President and CEO Deanna D. Strable-Soethout reported selling 9,300 shares of common stock on January 29, 2026 in an open-market transaction. The weighted average sale price was $95.12 per share, executed pursuant to a Rule 10b5-1 trading plan adopted on February 28, 2024.

After this sale, she beneficially owned 144,168 shares of common stock directly and 54,227 shares indirectly, held by her spouse.

A shareholder in PFG filed a Form 144 notice to sell 16,640 shares of common stock that were acquired as performance stock units on 02/28/2022. The planned sale through Morgan Stanley Smith Barney LLC has an aggregate market value of 1,564,992.00 and references 219,693,843 shares outstanding on NASDAQ.

The filing also lists recent Rule 10b5-1 sales over the prior three months, including transactions labeled for Dwight Soethout and Deanna Strable-Soethout, with individual trades such as 38,237 shares sold on 12/31/2025 for 3,385,752.52 in gross proceeds.

Principal Financial Group Inc. reported an insider transaction involving shares held by the spouse of President and CEO Deanna D. Strable-Soethout. On January 22, 2026, the spouse sold 8,025 shares of common stock in an open-market transaction at a weighted average price of $92.56 per share, carried out under a pre-arranged Rule 10b5-1 trading plan adopted on February 28, 2024. After this sale, 54,227 shares of Principal Financial Group common stock remained beneficially owned indirectly through the spouse.

PFG filed a Form 144 notice for the proposed sale of 8,025 shares of its common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 730,997.25. The shares are expected to be sold on or around 01/22/2026 on the NASDAQ, and the filing notes that 219,693,843 shares of common stock were outstanding.

The 8,025 shares were acquired as restricted stock units from the issuer on 02/26/2021. The filing also lists recent Rule 10b5-1 sales over the past three months, including transactions for Dwight Soethout and Deanna Strable-Soethout, such as 38,237 shares sold on 12/31/2025 for gross proceeds of 3,385,752.52 and 8,388 shares sold on 12/18/2025 for 755,654.79. The signer represents they are not aware of undisclosed material adverse information and is reminded that intentional misstatements can constitute federal criminal violations.

Principal Financial Group, Inc. filed a current report to provide an early look at its assets under management before releasing full quarterly earnings. As of December 31, 2025, total assets under management were $781.0 billion, with $593.9 billion managed by Principal Asset Management – Investment Management and $153.9 billion managed by Principal Asset Management – International Pension. The total includes $13.0 billion from operations in Investment Management that were disposed of in the fourth quarter of 2025.

For the quarter ended December 31, 2025, excluding those disposed operations, foreign currency translation, market performance, and other items not reported as net cash flow together produced an approximate 1.5% positive impact on beginning-period AUM. The company also highlights that periods of market dislocation can affect results given its exposure to small-, mid-cap, and international equity products, high-yield and preferred securities in fixed income, and emerging markets exchange rates.

Principal Financial Group reported an insider transaction involving the spouse of its President and CEO, Deanna D. Strable-Soethout. On January 8, 2026, the spouse sold 300 shares of common stock at $92.5 per share, coded as an open-market sale. The filing notes that this trade was executed under a Rule 10b5-1 trading plan adopted on February 28, 2024, indicating it was pre-arranged rather than discretionary. Following the sale, the CEO has 62,252 shares reported as beneficially owned indirectly "By Spouse".

An affiliate of the issuer has filed a notice to sell 300 shares of common stock under Rule 144 through Morgan Stanley Smith Barney LLC Executive Financial Services. The planned sale, listed at an aggregate market value of 27264.00, is expected to occur around 01/08/2026 on the NASDAQ exchange, where 219693843 common shares are shown as outstanding. The shares come from restricted stock units acquired from the issuer on 02/28/2022.

The filing also lists prior Rule 10b5-1 plan sales for Deanna Strable-Soethout over the past three months, including a sale of 38237 common shares on 12/31/2025 for gross proceeds of 3385752.52. Additional December 2025 transactions under the same 10b5-1 designation are described, indicating an ongoing pre-arranged selling program.