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 Alfredo Rivera reported equity-based compensation grants. He received 30 restricted stock units of common stock at a reference price of $87.01 per share, which convert to common stock on a one-for-one basis. He also acquired 144 phantom stock units under the Principal Deferred Compensation Plan for Non-Employee Directors, which remain within the plan’s investment alternatives and will be settled upon his retirement. Following these grants, his reported direct holdings include 3,255 common-share-equivalent units from the restricted stock program and 14,219 common-share-equivalent phantom stock units.
Principal Financial Group Inc. director Clare Stack Richer received a grant of 174 shares of Common Stock as a compensation award. The shares were awarded at a stated price of $0.00 per share as a grant or other acquisition, rather than an open-market purchase. Following this award, Richer directly holds 19,095 shares of Principal Financial Group Inc. common stock.
Pickerell Blair reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc. director Blair Pickerell received a grant of 340 restricted stock units of Common Stock. The units were awarded at no cash cost per share as a compensation-related grant, increasing Pickerell’s direct holdings to 37,371 shares following the transaction.
Principal Financial Group director receives equity award. Director Diane C. Nordin acquired 264 shares of Principal Financial Group Inc. common stock on a grant or award basis, with no cash price per share. This grant is reported as restricted stock units. After the award, she directly holds 28,945 shares.
Mitchell H Elizabeth reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC director Elizabeth H. Mitchell received a grant of 100 shares of Common Stock as equity compensation. The award, described in the footnotes as a grant of restricted stock units, increased her directly held position to 10,945 shares following the transaction.
This was a compensation-related grant at no cash cost per share, rather than an open-market purchase or sale.
Muruzabal Claudio reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc director Claudio Muruzabal received an equity-based compensation award in the form of 124 shares of Common Stock on March 27, 2026, reported as a grant of restricted stock units. Following this award, he directly owns 11,327 shares, indicating a relatively small, routine increase in his holdings.
Carter Miller Jocelyn reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Jocelyn Carter Miller received a grant of 805 restricted stock units on Common Stock as compensation. The award carried no cash purchase price per share, reflecting a stock-based grant rather than an open-market transaction. Following this grant, Miller directly holds 88,487 shares of Principal Financial Group common stock.
Principal Financial Group director Mary E. Beams received an equity award in the form of restricted stock units. On March 27, 2026, she acquired 134 shares of Common Stock at a stated price of $0.00 per share, reflecting a grant or award rather than a market purchase.
Following this compensation-related acquisition, her direct holdings increased to 14,677 Common Stock shares. The footnote clarifies the transaction was a grant of restricted stock units, a routine element of director equity compensation rather than an open-market trade.
Principal Financial Group director Roger C. Hochschild reported routine equity awards. He received 262 Phantom Stock Units at $87.0100 per unit and 355 shares of Common Stock as a grant. Following these awards, he directly holds 28,766 Phantom Stock Units and 39,008 shares of Common Stock. The phantom units are under the Principal Deferred Compensation Plan for Non-Employee Directors, convert to common stock on a one-for-one basis, and will be settled upon his retirement.
Principal Financial Group director Scott Mills reported routine equity awards rather than open-market trades. He received 182 phantom stock units tied to common stock at a reference price of $87.01 per unit, and a grant of 307 shares of common stock as restricted stock units converting one-for-one into shares.
After these awards, his reported direct holdings increased to 33,712 shares of common stock and 19,926 phantom stock units. The phantom units were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled in common stock upon his retirement, with flexibility to shift among investment alternatives within the plan.