Welcome to our dedicated page for Principal Financial SEC filings (Ticker: PFG), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Principal Financial Group, Inc. filings document financial results, asset management disclosures, governance matters, and capital structure for a Nasdaq-listed financial services company. Recent Form 8-K reports include quarterly and annual earnings releases, dividend announcements, and Regulation FD disclosures of assets under management by Principal Asset Management - Investment Management and Principal Asset Management - International Pension.
Proxy materials describe board oversight, executive compensation, shareholder voting matters, and strategic focus areas in the retirement ecosystem, small and midsized businesses, and global asset management. Other current reports record board and executive leadership changes, while cover disclosures identify PFG common stock as registered on the Nasdaq Global Select Market.
Principal Financial Group director Elizabeth H. Mitchell received a small equity grant. On the reported date, she acquired 80 shares of Common Stock at no cash cost as a grant or award, identified in the footnotes as restricted stock units. Following this grant, her directly held position increased to 13,200 shares, indicating a routine compensation-related award rather than an open-market purchase or sale.
Principal Financial Group director Alfredo Rivera reported routine equity-based compensation. He received a grant of 117 shares of common stock in the form of restricted stock units, which will convert into common stock on a one-for-one basis.
Rivera also acquired 25 phantom stock units tied to Principal Financial Group common stock at a reference price of $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors. After these awards, he holds 16,511 shares of common stock directly and 3,279 phantom stock units in the plan, which will be settled upon his retirement.
Principal Financial Group director Clare Stack Richer received a routine equity award. On June 26, 2026, she acquired 142 shares of Common Stock through a grant of restricted stock units at no cash cost. Following this award, she directly holds 21,412 Common Stock shares, reflecting a modest, compensation-related increase in her ownership.
Pickerell Blair reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Blair Pickerell received an equity award of 281 shares of Common Stock on a grant or award basis, at no cash cost per share. A footnote describes this as a grant of restricted stock units. Following the award, his directly owned position totals 39,827 shares, indicating a routine compensation-related increase rather than an open-market purchase or sale.
Director Diane C. Nordin of Principal Financial Group Inc received an equity compensation award of 217 shares of Common Stock, reported as a grant with no purchase price. The award is described in a footnote as a grant of restricted stock units.
After this grant, Nordin directly holds 31,337 shares of Common Stock. This is a routine compensation-related acquisition, not an open-market purchase or sale.
Muruzabal Claudio reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Claudio Muruzabal received a small equity award. On June 26, 2026, he was granted 100 shares of Common Stock at $0.00 per share as a compensation-related grant of restricted stock units. After this award, he directly holds 13,602 shares of Principal Financial Group common stock.
Mills Scott reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Scott Mills reported routine equity compensation grants. He received 253 shares of Common Stock as a grant of restricted stock units, bringing his direct Common Stock holdings to 36,140 shares.
He was also granted 152 Phantom Stock Units at $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors, increasing his phantom unit balance to 20,493 units. The phantom units track Common Stock on a one-for-one basis and interests under the plan will be settled upon his retirement.
PRINCIPAL FINANCIAL GROUP INC director equity awards: Director Roger C. Hochschid reported compensation-related equity grants in the form of common stock and phantom stock units. On 2026-06-26, he received 294 shares of Common Stock at $0.00 per share as a restricted stock unit grant.
He also acquired 219 Phantom Stock Units linked to Common Stock at a reference value of $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors. Each unit converts to one share of common stock. After these awards, he directly holds 41,477 shares of Common Stock and 29,674 phantom stock units. Plan interests are scheduled to be settled upon his retirement.
Principal Financial Group director Jocelyn Carter received an equity grant in the form of restricted stock units. The Form 4 reports an acquisition of 669 shares of Common Stock at no cash cost to her, described as a grant, award, or other acquisition. After this award, her direct holdings total 91,331 shares of Principal Financial Group common stock.
Beams Mary E. reported acquisition or exercise transactions in this Form 4 filing.
Director Mary E. Beams of Principal Financial Group Inc. received a grant of 109 shares of common stock in the form of restricted stock units. The award was recorded at a price of $0.00 per share, indicating a compensation-related grant rather than a market purchase. Following this grant, she directly holds 16,961 shares of the company’s common stock.