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.
Pension risk transfers, asset-management inflows, and insurance reserves: Principal Financial Group packs them all into filings that can easily exceed 250 pages. Finding when fee margins shift or when executives sell stock is time-consuming, especially across multiple business lines and geographies.
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Principal Financial Group, Inc. (PFG) – Form 4 filing: EVP & Chief Growth Officer Vivek Agrawal reported the grant of 192 restricted stock units (RSUs) on 06/27/2025. The RSUs were recorded at a transaction price of $0, indicating they were part of the company’s equity-based compensation program rather than an open-market purchase. Following this award, Agrawal’s direct beneficial ownership rose to 32,865 common shares. No derivative transactions were disclosed. The filing is a routine Section 16 disclosure with no indication of open-market buying or selling and therefore carries limited market impact.
Principal Financial Group, Inc. (PFG) filed a Form 4 disclosing that director Clare Stack Richer acquired 177 shares of common stock on 06/27/2025. The shares were issued as a restricted stock unit (RSU) grant at a stated price of $0, indicating they were awarded rather than purchased in the open market. Following the award, Richer’s direct beneficial ownership increased to 18,580 shares. No derivative securities transactions were reported, and there were no sales or dispositions of equity.
The filing appears to be a routine, compensation-related equity grant to a board member and does not signal a change in insider sentiment or company fundamentals. Given the small size—less than 0.1% of daily PFG trading volume and immaterial to the company’s 257 million shares outstanding—its market impact is expected to be negligible.
Principal Financial Group, Inc. (PFG) filed a Form 4 disclosing that director Clare Stack Richer acquired 177 shares of common stock on 06/27/2025. The shares were issued as a restricted stock unit (RSU) grant at a stated price of $0, indicating they were awarded rather than purchased in the open market. Following the award, Richer’s direct beneficial ownership increased to 18,580 shares. No derivative securities transactions were reported, and there were no sales or dispositions of equity.
The filing appears to be a routine, compensation-related equity grant to a board member and does not signal a change in insider sentiment or company fundamentals. Given the small size—less than 0.1% of daily PFG trading volume and immaterial to the company’s 257 million shares outstanding—its market impact is expected to be negligible.
On 06/27/2025, Principal Financial Group (PFG) director Diane C. Nordin acquired 268 shares of the company’s common stock through a grant of restricted stock units (RSUs) priced at $0, as disclosed in a Form 4 filed on 07/01/2025. The transaction was coded “A” (acquisition) and involved no dispositions. Following the grant, Nordin’s direct beneficial ownership stands at 28,162 shares.
The award represents an increase of roughly 0.95% to her existing holdings and appears to be a routine element of director compensation rather than an open-market purchase. No derivative securities were reported. Given the modest scale, the event is unlikely to influence Principal Financial Group’s capital structure or carry significant signalling value for investors.
On 06/27/2025, Principal Financial Group (PFG) director Diane C. Nordin acquired 268 shares of the company’s common stock through a grant of restricted stock units (RSUs) priced at $0, as disclosed in a Form 4 filed on 07/01/2025. The transaction was coded “A” (acquisition) and involved no dispositions. Following the grant, Nordin’s direct beneficial ownership stands at 28,162 shares.
The award represents an increase of roughly 0.95% to her existing holdings and appears to be a routine element of director compensation rather than an open-market purchase. No derivative securities were reported. Given the modest scale, the event is unlikely to influence Principal Financial Group’s capital structure or carry significant signalling value for investors.
Principal Financial Group Inc. (PFG) filed a Form 4 showing that director Jocelyn M. Carter was granted 817 restricted stock units on 06/27/2025 at a stated price of $0. Following the award, Carter’s direct beneficial ownership rose to 86,101 common shares. No sales, option exercises, or other derivative transactions were reported. The filing represents a routine equity incentive grant that modestly increases insider ownership and signals continued alignment with shareholder interests, but its small size relative to PFG’s total share count makes it immaterial to company valuation or near-term market performance.
Principal Financial Group Inc. (PFG) filed a Form 4 showing that director Jocelyn M. Carter was granted 817 restricted stock units on 06/27/2025 at a stated price of $0. Following the award, Carter’s direct beneficial ownership rose to 86,101 common shares. No sales, option exercises, or other derivative transactions were reported. The filing represents a routine equity incentive grant that modestly increases insider ownership and signals continued alignment with shareholder interests, but its small size relative to PFG’s total share count makes it immaterial to company valuation or near-term market performance.
Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025
Director Jonathan Auerbach reported the acquisition of 206 shares of PFG common stock on 06/27/2025. The shares were granted as restricted stock units at a stated price of $0. Following the award, Mr. Auerbach’s direct beneficial ownership increased to 20,009 shares. No derivative securities were involved, and no dispositions occurred.
The transaction was filed by a single reporting person and does not reference a Rule 10b5-1 trading plan. Because the grant represents less than 1% of PFG’s outstanding shares and involves no cash outlay, the event is considered routine executive compensation with minimal impact on the company’s capital structure or public float.
Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025
Director Jonathan Auerbach reported the acquisition of 206 shares of PFG common stock on 06/27/2025. The shares were granted as restricted stock units at a stated price of $0. Following the award, Mr. Auerbach’s direct beneficial ownership increased to 20,009 shares. No derivative securities were involved, and no dispositions occurred.
The transaction was filed by a single reporting person and does not reference a Rule 10b5-1 trading plan. Because the grant represents less than 1% of PFG’s outstanding shares and involves no cash outlay, the event is considered routine executive compensation with minimal impact on the company’s capital structure or public float.
Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025 reports that independent director Roger C. Hochschild increased his beneficial ownership on 06/27/2025.
- Common stock: Award of 361 restricted stock units (RSUs) recorded as an acquisition at a stated price of $0.00, lifting the director’s direct common-stock holdings to 37,955 shares.
- Derivative security: Acquisition of 250 Phantom Stock Units at a reference price of $79.19, bringing total deferred units to 27,175. The units convert 1-for-1 into common shares and are payable upon retirement under the Deferred Compensation Plan for Non-Employee Directors.
No shares were sold and no dispositions were reported. The filing signals a modest increase in long-term, equity-linked compensation for the director, reflecting continued alignment with shareholder interests but has immaterial impact on PFG’s share count or near-term financials.
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