Principal Financial SEC Filings

Principal Financial Group, Inc. reported that it publicly announced information regarding its results of operations and financial condition for the quarter ended September 30, 2025. The disclosure was made via an Form 8-K, with the full details provided in Exhibit 99: Third Quarter 2025 Earnings Release.

The company’s common stock trades on the Nasdaq Global Select Market under the symbol PFG.

Principal Financial Group reported preliminary assets under management as part of its quarterly 8-K disclosure ahead of its earnings release. As of September 30, 2025, AUM totaled $784.3 billion. Of this, $601.6 billion is managed by Principal Asset Management – Investment Management and $150.7 billion by Principal Asset Management – International Pension.

The company highlighted that market conditions can affect results differently across products and regions. It noted exposure within equity AUM to small- and mid-cap and international strategies, within fixed income AUM to high yield and preferred securities, and to exchange rate movements in emerging markets. These factors can influence quarter-to-quarter AUM levels depending on market dispersion and currency shifts.

The same AUM figures are expected to be presented again in the company’s financial supplement for the quarter ended September 30, 2025, when posted to its investor relations site on or about October 27, 2025.

Mitchell H Elizabeth, a director of Principal Financial Group (PFG), was granted 101 restricted stock units on 09/26/2025 at a reported price of $0. Following this grant, the reporting person’s beneficial ownership is shown as 10,750 shares of common stock. The transaction is reported on a Form 4 and was filed as an individual filing by the reporting person’s attorney-in-fact. The filing classifies the award as non‑derivative restricted stock units (RSUs) rather than a cash purchase.

Roger C. Hochschild, a Director of Principal Financial Group, reported purchases on 09/26/2025. He received 358 restricted stock units that convert to common stock one-for-one and were recorded at $0.00 price, leaving him with 38,313 shares beneficially owned after the transaction. On the same date he acquired 257 phantom stock units under the Principal Deferred Compensation Plan for Non-Employee Directors; those units convert one-for-one to common stock, are transferable among plan investment alternatives, and will be settled upon his retirement. The filing was signed by an attorney-in-fact on 09/30/2025.

Principal Financial Group Inc. (PFG) Form 4 discloses that Jonathan Auerbach, a company director, was granted 205 restricted stock units on 09/26/2025 with a reported price of $0, described in the form as a grant of restricted stock units. After the transaction, Mr. Auerbach is recorded as beneficially owning 20,214 shares. The filing was signed by an attorney-in-fact on 09/30/2025. The report is a single-person filing and indicates the ownership is held directly. No derivative transactions, cash proceeds, or exercise prices beyond the RSU grant are reported in this Form 4.

Mary E. Beams, a director of Principal Financial Group Inc. (PFG), reported a grant of 135 restricted stock units on 09/26/2025 with a reported price of $0. Following the grant, Ms. Beams beneficially owns 14,415 shares of Common Stock. The Form 4 was signed by an attorney-in-fact, Chris Agbe-Davies, on 09/30/2025. The filing identifies the transaction as a non-derivative acquisition and describes the award as restricted stock units.

Principal Financial Group (PFG) director Jocelyn Carter Miller received a grant of restricted stock units (RSUs) recorded on 09/26/2025. The Form 4 reports an acquisition of 811 Common Stock units at a $0 price described as restricted stock units, bringing the reporting person’s beneficial ownership to 86,912 shares after the transaction. The filing identifies the reporting person as a director and was signed by an attorney-in-fact on 09/30/2025. The Form 4 shows this as a standard equity award disclosure rather than a market sale or open-market purchase.

Claudio Muruzabal, a director of Principal Financial Group Inc. (PFG), reported a grant of 125 restricted stock units on 09/26/2025. The units were granted at a reported price of $0 and are described in the filing as restricted stock units. Following the award, Mr. Muruzabal beneficially owns 11,079 shares of PFG common stock. The Form 4 was filed as a single reporting person submission and signed by an attorney-in-fact on 09/30/2025. No derivative transactions or other changes were reported.

Principal Financial Group (PFG) director Diane C. Nordin received a grant of restricted stock units. The Form 4 reports a non-derivative acquisition on 09/26/2025 of 266 Common Stock units at a reported price of $0, described in the filing as a grant of restricted stock units. After this transaction Ms. Nordin beneficially owns 28,428 shares, held directly. The filing was signed by an attorney-in-fact on 09/30/2025. The disclosure indicates routine equity compensation to a director rather than a market sale or purchase.