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.
The Principal Financial Group, Inc. (PFG) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Principal’s common stock is listed on the Nasdaq Global Select Market under the symbol PFG, and its filings offer detailed information about financial performance, segment results, governance changes, and capital markets activity.
Recent Form 8-K filings illustrate how Principal uses SEC reports to communicate material events. For example, the company files 8-Ks to announce quarterly and year-to-date financial results, including net income, non-GAAP operating earnings, and metrics such as assets under management and assets under administration. Segment data in these filings cover Retirement and Income Solutions, Investment Management (Principal Asset Management), International Pension, Specialty Benefits, Life Insurance, and Corporate, giving investors a view into the performance of each area.
Other 8-K filings disclose governance and leadership changes, such as the election of the Chair of the Board, and provide Regulation FD disclosures on assets under management by asset manager. These documents complement the company’s earnings releases and financial supplements, which are referenced in the filings and provide additional detail on segment margins, underwriting results, and capital levels.
On Stock Titan, SEC documents for PFG are paired with AI-powered summaries designed to explain the key points of lengthy filings in straightforward language. Users can review real-time updates from EDGAR, quickly identify the main themes in quarterly reports, and locate information about material events reported on Form 8-K. This helps investors and researchers understand how Principal Financial Group reports its financial condition, segment performance, and corporate actions over time.
Morgan Stanley Smith Barney LLC filed a Form 144 notifying the proposed sale of 2,899 Restricted Stock Units in the issuer on 02/27/2026. The filing also discloses prior 10b5-1 sales of 5,570 shares on 02/25/2026 and 2,921 shares on 12/10/2025.
PFG Form 144 filing reports planned and recent insider sales of common stock. The filing lists Restricted Stock Units to be sold totaling 1,616 units with an effective date of 02/27/2026. It also records 10b5-1 transactions: 3,071 shares sold on 02/25/2026 for $290,372.57 and 5,130 shares sold on 12/10/2025 for $462,119.63.
Principal Financial Group executive reports automatic share disposition. EVP and Chief Risk Officer Kenneth A. McCullum disposed of 3,071 shares of Common Stock on February 25, 2026 at a weighted average price of $94.55 per share under a Rule 10b5-1 trading plan, leaving 43,752 shares directly owned. The transactions occurred in multiple trades between $94.28 and $94.72 per share.
PRINCIPAL FINANCIAL GROUP INC President and CEO - PAM Kamal Bhatia reported a disposition of 5,570 shares of common stock back to the issuer on February 25, 2026. The shares were transferred at a weighted average price of $94.55 per share, leaving him with 71,195 shares held directly.
This transaction was executed under a pre-established Rule 10b5-1 trading plan adopted on May 14, 2025. The filing notes that the shares were executed in multiple trades within a price range from $94.17 to $94.74, and detailed trade-level information is available upon request.
Morgan Stanley Smith Barney LLC submitted a Form 144 to sell 3,071 common shares described as Performance Stock Units. The form notes prior 10b5-1 sales of 5,130 common shares on 12/10/2025 for $462,119.63. The proposed sale is recorded under broker details showing New York Plaza, and the securities are listed for Nasdaq disposition.
Kamal Bhatia reported a planned sale of 2,921 common shares under a 10b5-1 arrangement. The Form 144 entry shows a sale date of 12/10/2025 and gross proceeds of $262,982.01. The broker listed is Morgan Stanley Smith Barney LLC and the filing records 02/25/2026 on NASDAQ.
Principal Financial Group, Inc. has filed a shelf registration on Form S-3 to register an unspecified amount of multiple securities for issuance from time to time after the registration statement becomes effective. The shelf covers debt securities, preferred stock, common stock, depositary shares, warrants, purchase contracts and purchase units.
The prospectus states proceeds uses are for general corporate purposes, and that specific terms for any offering will be provided in prospectus supplements. It also discloses $1,814.6 billion in assets under administration and $781.0 billion in assets under management as of December 31, 2025.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout reported equity awards in company stock. On February 23, 2026, she acquired 27,511 shares of common stock at a price of $0.00 per share as a grant of restricted stock units. The same day, she acquired an additional 13,557 shares at $0.00 per share upon settlement of performance-based restricted stock units originally granted on February 27, 2023.
After these acquisitions, her directly held common stock positions reported in this filing were 164,339 shares and 177,896 shares in the respective award lines. The filing also reports 54,227 shares of common stock held indirectly by her spouse.
Principal Financial Group EVP and CFO Joel Pitz reported equity awards of 10,668 shares of common stock on February 23, 2026. These shares were acquired at $0.00 per share through grants and settlement of restricted stock units, increasing his directly held stake to 43,683 shares.
He also reported indirect ownership, including shares held by his spouse and in 401(k) accounts, with reported balances of 2,782, 1,316 and 101 shares, respectively. No open-market purchases or sales were reported in this filing.
Principal Financial Group executive Kenneth A. McCullum reported stock-based compensation awards. On February 23, 2026, he acquired 3,093 shares of common stock through a grant, and an additional 3,071 shares from settlement of equity awards, both at no cash cost.
These awards, described in the footnotes as a grant of restricted stock units and settlement of performance-based restricted stock units granted on February 27, 2023, increased his directly held common stock from 43,752 shares to 46,823 shares. The holdings also include 29 shares acquired through the company’s employee stock purchase plan.