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.
Principal Financial Group director Scott Mills reported routine equity awards rather than open-market trades. He received 182 phantom stock units tied to common stock at a reference price of $87.01 per unit, and a grant of 307 shares of common stock as restricted stock units converting one-for-one into shares.
After these awards, his reported direct holdings increased to 33,712 shares of common stock and 19,926 phantom stock units. The phantom units were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled in common stock upon his retirement, with flexibility to shift among investment alternatives within the plan.
PRINCIPAL FINANCIAL GROUP INC director Jonathan Auerbach received an equity award. On March 27, 2026, he acquired 203 shares of Common Stock at $0.00 per share through a grant classified as restricted stock units. Following this award, his directly held position increased to 20,611 shares of Common Stock, indicating a routine, compensation-related addition to his stake rather than an open-market purchase or sale.
Principal Financial Group executive Kenneth A. McCullum, EVP and Chief Risk Officer, received a grant of 88 shares of Common Stock as a restricted stock unit award on March 27, 2026. The award was granted at no cash cost per share.
After this grant, McCullum directly holds a total of 40,996 Common Stock shares, which includes 29 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout received equity awards in the form of restricted stock units on March 27, 2026. She acquired 680 shares of common stock, increasing her direct holdings to 173,255 shares. An additional 52 shares were awarded to an account held by her spouse, bringing that indirect position to 53,498 shares.
Principal Financial Group EVP & CFO Joel Pitz reported equity awards in company stock. On March 27, 2026, he received an award of 278 shares of Common Stock at no cost, described in a footnote as a grant of restricted stock units, as part of his compensation.
On the same date, an additional 3 shares were acquired as an award and are held indirectly through his spouse. Following these transactions, he holds 43,407 shares directly, with further indirect holdings through a spouse account and retirement plans. These are compensation-related grants, not open-market purchases.
LITTLEFIELD CHRISTOPHER J reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group executive Christopher J. Littlefield received an equity award rather than buying shares on the market. As President - RIS, he was granted 660 shares of Common Stock as a restricted stock unit award at no cost, increasing his directly held position to 75,880 shares, which includes 2,984 shares accumulated through the company’s Employee Stock Purchase Plan. An additional 11 shares are held indirectly in a revocable trust.
Kay Kathleen B reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group executive Kathleen B. Kay received an equity award from the company. On this Form 4, she was granted 469 shares of Common Stock at no cash cost, reported as a grant of restricted stock units used as part of her compensation. Following this award, she directly owns 43,902 Common Stock shares.
Principal Financial Group executive Amy Christine Friedrich received a compensation-related equity grant. On March 27, 2026, she acquired 707 shares of Common Stock as a grant of restricted stock units, with no cash paid per share.
Following the grant, she directly held 108,239 Common shares, which the disclosure notes includes 3,306 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. She also indirectly held 4,096 Common shares through a 401(k) plan.
Djurasovic George reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC interim general counsel George Djurasovic received a grant of 176 shares of common stock on March 27, 2026. The shares were awarded at $0.00 per share as compensation in the form of restricted stock units. After this grant, his directly held position in the company’s common stock increased to 19,335 shares, indicating a relatively small, routine equity award rather than a large ownership change.
Principal Financial Group executive Cheong Wee Yee received an equity award tied to company stock. On the reported date, Cheong acquired 667 shares of Common Stock through a grant classified as a grant or award acquisition. The transaction price per share was listed as zero, consistent with compensation-related stock grants.
After this award, Cheong directly beneficially owns 92,188 shares of Principal Financial Group common stock, according to the filing. This total includes 1,763 shares previously acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan.