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 director Jonathan Auerbach received a stock-based compensation award. On June 26, 2026, he acquired 166 shares of Common Stock at no cost, described in the footnote as a grant of restricted stock units.
After this award, Auerbach directly holds 22,952 shares of Principal Financial Group stock. This type of equity grant is a routine form of non-cash compensation and does not involve any open-market buying or selling.
Principal Financial Group EVP & CFO Joel Pitz reported new equity compensation and updated retirement-plan holdings. On June 26, 2026, he acquired 234 shares of common stock through a grant of restricted stock units held directly, and 2 shares through a similar grant held indirectly by his spouse.
The filing also updates indirect holdings in 401(k) plans, showing 1,362 shares in his own 401(k) and 103 shares in his spouse’s 401(k), along with 2,928 shares held by his spouse and 43,998 shares held directly after these awards.
Bhatia Kamal reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group executive Kamal Bhatia received an equity grant of 430 shares of Common Stock in the form of restricted stock units. This is a compensation-related award, not a market purchase. After the grant, Bhatia directly owns 65,454 shares of Principal Financial Group stock.
Principal Financial Group executive reports new stock award. President - RIS Christopher J. Littlefield received a grant of 559 restricted stock units of Common Stock on June 26, 2026 at no cash price. Following this award, he holds 76,741 Common Stock shares directly, including 3,286 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. He also reports 11 Common Stock shares held indirectly in a revocable trust.
Principal Financial Group EVP-Chief Information Officer Kathleen B. Kay received a stock-based award in company shares. On June 26, 2026, she acquired 398 shares of Common Stock at a price of $0.00 per share, characterized as a grant or award acquisition.
A footnote describes this as a grant of restricted stock units, meaning the award is compensation rather than an open-market purchase. After this transaction, she directly owned 44,300 shares of Principal Financial Group common stock, reflecting her equity stake following the grant.
Principal Financial Group executive Amy Christine Friedrich, President – Benefits & Protect, received an award of 599 shares of Common Stock, reported as a grant of restricted stock units. This is a compensation-related acquisition, not an open-market purchase.
After this grant, she directly owns 108,863 shares of Common Stock and indirectly holds 4,142 shares through a 401(k) plan.
Principal Financial Group executive receives equity grant. President – Asia & Middle East Wee Yee Cheong was granted 368 shares of Principal Financial Group common stock as a compensation-related award at a stated price of $0.00 per share. Following this grant, Cheong directly holds 66,819 common shares, which include 1,771 shares previously acquired through the company’s Employee Stock Purchase Plan. This is a routine share-based compensation grant rather than an open-market purchase or sale.
Agrawal Vivek reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group EVP & Chief Growth Officer Vivek Agrawal received an equity grant of 234 shares of Common Stock. The award was reported at a price of $0.00 per share and is described in the footnotes as a grant of restricted stock units. Following this compensation-related grant, Agrawal directly holds 46,536 shares of Principal Financial Group common stock.
STRABLE-SOETHOUT DEANNA D reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout reported compensation-related stock awards rather than market purchases. On June 26, 2026, she received 612 shares of Common Stock as a direct grant, at a stated price of $0.00 per share, described as a grant of restricted stock units.
On the same date, an additional 44 shares of Common Stock, also from a grant of restricted stock units, were reported as indirectly owned through her spouse. After these awards, her reported holdings increased to 173,867 directly held shares and 53,542 shares held indirectly by her spouse, highlighting that the filing reflects routine equity compensation grants, not open‑market trading.
Principal Financial Group EVP and Chief Risk Officer Kenneth A. McCullum received an equity grant tied to company stock. On the reported date, he was awarded 73 shares of Common Stock at a stated price of $0.0000 per share, described in a footnote as a grant of restricted stock units. Following this grant, his directly held position increased to 41,070 shares, which includes 30 shares previously acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. This filing reflects a routine compensation-related award rather than an open-market purchase or sale.