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.
Mills Scott reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Scott Mills received a grant of 2,175 restricted stock units on Common Stock as compensation. The award was recorded at a price of $0.00 per share, indicating it was not an open-market purchase. Following this grant, Mills directly holds 35,887 shares of Common Stock.
Auerbach Jonathan reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Jonathan Auerbach received a grant of 2,175 shares of Common Stock as a compensation award. The award was reported at a price of $0.00 per share, indicating a non-cash grant. Following this grant, his directly held position in Principal Financial Group increased to 22,786 shares, reflecting a routine equity-based compensation event rather than an open-market purchase or sale.
Wee Yee Cheong reported multiple Form 144 transactions for PFG common stock, indicating sales on 05/20/2026 (3,211 shares for $330,922.45), 05/01/2026 (9,183 shares for $929,891.70), 04/30/2026 (4,737 shares for $478,481.05) and 04/29/2026 (1,080 shares for $109,081.62). The filing also lists restricted stock vesting entries dated 02/27/2026 (1,248 shares) and 02/23/2026 (6,286 shares).
Morgan Stanley Smith Barney LLC reports proposed sales of Company PFG common shares by an affiliate under a Form 144 notice. The filing lists recent sales of 9,183, 4,737 and 1,080 shares on 05/01/2026, 04/30/2026 and 04/29/2026, respectively, with earlier restricted stock vesting entries of 2,921 and 290 shares in 2025–2026.
Principal Financial Group, Inc. reported the results of its annual shareholders meeting held on May 19, 2026. Shareholders elected Class I directors Jonathan S. Auerbach, Mary E. “Maliz” Beams, Jocelyn Carter-Miller, Scott M. Mills, and Claudio N. Muruzabal to three-year terms, with Ms. Beams scheduled to stand for reelection with Class II directors in 2027 to keep board classes balanced.
Shareholders cast an advisory vote to approve executive compensation, with 143,995,731 votes for and 4,652,158 against. They ratified the appointment of the independent registered public accountants with 152,476,036 votes for, and approved the Principal Financial Group, Inc. 2026 Stock Incentive Plan with 145,770,467 votes for and 3,118,949 against.
Principal Financial Group, Inc. (Principal) filed a Form 13F (combination report) signed 04-28-2026 by Jill Hittner. The filing lists 4,452 reported holdings entries across included managers and a Form 13F Information Table value total of $187,242,031,350. The report aggregates holdings across five other included managers.
Principal Financial Group Inc. executive Wee Yee Cheong reported selling Common Stock in two open-market transactions. On April 30, the president for Asia & Middle East sold 4,737 shares at a weighted average price of $101.01 per share. On May 1, an additional 9,183 shares were sold at a weighted average price of $101.26. These sales were executed in multiple trades within narrow price ranges around $101. Following the transactions, Cheong directly owns 77,188 shares of Principal Financial Group Common Stock, which continues to represent a substantial personal stake in the company.
Wee Yee Cheong filed a Form 144 notifying a proposed sale of 9,183 shares of Common Stock. The form lists $929,891.70 as the aggregate amount and identifies Morgan Stanley Smith Barney LLC as the broker and CUSIP 216012384 with an entry date of 05/01/2026. The shares are described as resulting from restricted stock vesting under a registered plan on 02/27/2026. The filing also reports prior sales: 4,737 shares on 04/30/2026 and 1,080 shares on 04/29/2026.
Principal Financial Group executive Cheong Wee Yee, President - Asia & Middle East, reported an open-market sale of 1,080 shares of common stock. The weighted average sale price was about $101 per share, with actual trades occurring between $101.00 and $101.02.
After this transaction, Cheong directly holds 91,108 shares of Principal Financial Group common stock. This total includes 1,763 shares previously acquired through the company’s Employee Stock Purchase Plan.
Principal Financial Group interim general counsel George Djurasovic reported selling Common Stock in two open-market transactions. On 2026-04-28, he sold 2,571.0000 shares at a weighted average price of $100.8300 per share, with actual prices ranging from $100.78 to $100.87.
He then sold 0.9890 shares on 2026-04-30 at $99.6300 per share. Both sales were settled in cash and involved directly owned shares. After these transactions, he held 21,905.0100 shares of Principal Financial Group Common Stock directly.