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.
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.
Principal Financial Group executive Christopher J. Littlefield received stock awards that increased his holdings. On February 23, 2026, he acquired 7,975 and 9,375 shares of common stock through grant or award transactions at $0.00 per share, reflecting equity compensation.
After these awards, his directly held common stock rose to 78,912 shares, which includes 2,957 shares previously acquired under the company’s Employee Stock Purchase Plan. An additional 11 shares are held indirectly in a revocable trust.
Principal Financial Group EVP-Chief Information Officer Kathleen B. Kay reported acquiring company stock through equity awards. On February 23, 2026, she received 5,417 shares via a grant of restricted stock units and 4,721 shares from settlement of performance-based restricted stock units originally granted on February 27, 2023. Both holdings are reported as direct ownership of common stock.
Principal Financial Group Inc. reported that executive Amy Christine Friedrich, President - Benefits & Protect, received stock-based compensation awards. On February 23, 2026, she acquired 9,959 and 9,653 shares of common stock at a price of $0.00 per share through grant or award transactions. Footnotes state these involve a grant of restricted stock units, settlement of performance-based restricted stock units granted on February 27, 2023, and shares acquired under the company’s employee stock purchase plan. Following these changes, she also reports 3,945 shares held indirectly through a 401(k) plan.
Principal Financial Group interim general counsel George Djurasovic reported an equity award under the company’s compensation programs. He acquired 3,504 shares of common stock on February 23, 2026 through a grant of restricted stock units at a stated price of $0.00 per share. Following this award, his directly owned common stock holdings increased to 20,447 shares.