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 Inc. (PFG) director Clare Richer received a grant of 175 restricted stock units on 09/26/2025, reported on Form 4. The filing shows these units were acquired at a reported price of $0, consistent with a typical equity award rather than an open-market purchase. After the grant, the reporting person beneficially owned 18,755 shares of common stock in total. The Form 4 was signed by an attorney-in-fact on 09/30/2025 and includes an explanatory note that the transaction represents restricted stock units.
Joel Pitz, Chief Financial Officer of Principal Financial Group, Inc. (PFG), reported insider transactions dated 09/26/2025. The Form 4 shows two non-derivative acquisitions of Common Stock: 189 shares acquired as restricted stock units and 3 shares acquired (both at $0 per share). After these transactions Mr. Pitz beneficially owns 32,748 shares directly and 2,667 shares indirectly through his spouse; additional indirect holdings include 1,304 shares held via a 401(k) and 101 shares held via a spouse 401(k). The filing notes the 189 and 3 share grants are restricted stock units and that portions of the reported holdings include ESPP purchases (9,935 and 2,335 shares referenced). The Form 4 is signed by an attorney-in-fact on 09/30/2025.
Principal Financial Group director Alfredo Rivera received equity awards under the company's director compensation plans. The Form 4 reports acquisition of 145 restricted stock units that convert one-for-one into common shares and 30 phantom stock units tied to common stock with an assigned value of $82.62 per unit. After these transactions Mr. Rivera beneficially owns 13,938 shares of common stock and 3,197 shares relating to derivative/phantom units, held directly. The phantom units are held under the Principal Deferred Compensation Plan for Non-Employee Directors and are transferable into other plan investment alternatives, with settlement scheduled upon the reporting person’s retirement.
Christopher J. Littlefield, President - RIS at Principal Financial Group, reported a grant and his resulting holdings. On 09/26/2025 he was issued 548 restricted stock units with a $0 purchase price, increasing his direct beneficial ownership to 61,016 shares. The filing notes that the total includes 2,931 shares acquired through the company Employee Stock Purchase Plan. Additionally, 11 shares are held indirectly in a revocable trust. The Form 4 was signed on 09/30/2025 by an attorney-in-fact, Chris Agbe-Davies.
Kay Kathleen B, Executive Vice President and Chief Information Officer of Principal Financial Group Inc. (PFG), reported a grant of restricted stock units. On 09/26/2025 she was issued 404 shares (restricted stock units) with no cash price paid, increasing her reported beneficial ownership to 34,781 shares of common stock. The filing is a Form 4 statement of changes in beneficial ownership and was signed by an attorney-in-fact on 09/30/2025. The document notes the transaction type as a grant of restricted stock units.
Cheong Wee Yee, Executive Vice President, Principal Asia at Principal Financial Group, reported a transaction on 09/26/2025 showing receipt of 613 restricted stock units (RSUs) issued at no cash price. After the grant the reporting person beneficially owned 83,308 shares of Principal Financial Group common stock. The filing notes that 1,741 of those shares were acquired under the company’s Employee Stock Purchase Plan. The Form 4 is signed by an attorney-in-fact on behalf of the reporting person.
Principal Financial Group insider transaction: The Form 4 filed for Kamal Bhatia, President and CEO, reports a grant of 521 restricted stock units on 09/26/2025 at a reported price of $0 (noted as a grant). After the award, Mr. Bhatia beneficially owns 64,223 shares of Principal Financial Group, Inc. The filing was signed by an attorney-in-fact on 09/30/2025. The document lists the reporting person’s address in Des Moines, IA, and the role as President and CEO. The filing contains no other transactions, derivative activity, or explanatory details beyond the restricted stock unit grant.
Principal Financial Group insider filing: Vivek Agrawal, EVP & Chief Growth Officer, reported acquisition of 191 common stock shares on 09/26/2025 through a grant of restricted stock units at a $0 price. Following the transaction he beneficially owns 33,056 shares, held directly. The Form 4 was signed on 09/30/2025 by an attorney-in-fact, Chris Agbe-Davies. The filing discloses a routine equity award rather than a market purchase or sale.
Principal Financial Group, Inc. (PFG) Form 3 reports that George Djurasovic, identified as a director and Interim General Counsel, beneficially owns 16,637 shares of the issuer's common stock. The event requiring the statement occurred on 09/03/2025 and the Form 3 is signed by an attorney-in-fact, Chris Agbe-Davies, on 09/05/2025. No derivative securities are reported and the ownership is listed as direct. The form serves as the initial statement of beneficial ownership under Section 16.
Principal Financial Group, Inc. announced a leadership change in its boardroom. The Board of Directors elected Deanna D. Strable, currently the company’s President, Chief Executive Officer and a board member, to also serve as Chair of the Board, effective September 2, 2025.
On that date, Daniel J. Houston, the current Executive Chairman and former President and Chief Executive Officer, will conclude his service on the Board. The company also issued a news release describing these changes, which is referenced in the document.