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.
Muruzabal Claudio reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc director Claudio Muruzabal received an equity-based compensation award in the form of 124 shares of Common Stock on March 27, 2026, reported as a grant of restricted stock units. Following this award, he directly owns 11,327 shares, indicating a relatively small, routine increase in his holdings.
Carter Miller Jocelyn reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Jocelyn Carter Miller received a grant of 805 restricted stock units on Common Stock as compensation. The award carried no cash purchase price per share, reflecting a stock-based grant rather than an open-market transaction. Following this grant, Miller directly holds 88,487 shares of Principal Financial Group common stock.
Principal Financial Group director Mary E. Beams received an equity award in the form of restricted stock units. On March 27, 2026, she acquired 134 shares of Common Stock at a stated price of $0.00 per share, reflecting a grant or award rather than a market purchase.
Following this compensation-related acquisition, her direct holdings increased to 14,677 Common Stock shares. The footnote clarifies the transaction was a grant of restricted stock units, a routine element of director equity compensation rather than an open-market trade.
Principal Financial Group director Roger C. Hochschild reported routine equity awards. He received 262 Phantom Stock Units at $87.0100 per unit and 355 shares of Common Stock as a grant. Following these awards, he directly holds 28,766 Phantom Stock Units and 39,008 shares of Common Stock. The phantom units are under the Principal Deferred Compensation Plan for Non-Employee Directors, convert to common stock on a one-for-one basis, and will be settled upon his retirement.
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.