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 Chair, President and CEO Deanna D. Strable-Soethout reported tax-related share dispositions under an equity award. She delivered 5,321 shares of common stock at $95.42 per share for tax withholding, leaving 172,575 shares held directly. An additional 781 shares were delivered for tax withholding from stock held indirectly by her spouse at $95.42 per share, leaving 53,446 shares held indirectly by her spouse.
Principal Financial Group EVP and CFO Joel Pitz reported tax-withholding dispositions of common stock on February 27, 2026. The transactions used 556 shares held directly and 42 shares held by his spouse at $95.42 per share to cover tax obligations. After these moves, he held 43,038 shares directly and 2,740 shares indirectly through his spouse, plus additional indirect holdings of 1,316 shares via a 401(k) and 101 shares via his spouse’s 401(k).
Principal Financial Group executive Christopher J. Littlefield reported a tax-related share disposition. On February 27, 2026, he disposed of 3,693 shares of Common Stock at $95.42 per share through a tax-withholding transaction rather than an open-market trade.
After this transaction, Littlefield directly held 75,193 Common shares. He also had 11 shares held indirectly in a revocable trust. His reported holdings include 2,957 shares acquired under the Principal Financial Group, Inc. Employee Stock Purchase Plan, showing a mix of plan-based and directly held ownership.
Principal Financial Group executive reports tax-related share disposition
Principal Financial Group’s EVP and Chief Information Officer, Kathleen B. Kay, reported a disposition of 1,870 shares of common stock at $95.42 per share on a tax-withholding basis. After this transaction, she directly holds 43,433 shares of Principal Financial Group common stock.
Principal Financial Group executive Amy Christine Friedrich, President - Benefits & Protect, reported a tax-withholding disposition of 3,801 shares of common stock on February 27, 2026. The shares were valued at $95.42 per share and were used to satisfy tax obligations, rather than sold in an open-market trade.
After this transaction, Friedrich directly holds 107,502 common shares, which includes 3,276 shares previously acquired through the company’s Employee Stock Purchase Plan. She also indirectly holds 3,945 shares through a 401(k) account.
Principal Financial Group's Interim General Counsel George Djurasovic reported a Form 4 transaction involving company common stock. On February 27, 2026, he disposed of 1,288 shares at $95.42 per share in a tax-withholding disposition related to equity compensation. After this transaction, he directly owned 19,159 shares of Principal Financial Group common stock.
Principal Financial Group Inc. executive Kenneth A. McCullum, EVP and Chief Risk Officer, reported dispositions of company common stock. On February 27, he disposed of 1,228 shares to cover tax obligations at a weighted average price of $95.42. On March 2, he reported additional issuer dispositions of 1,316 shares at $96.01 and 300 shares at $96.93 pursuant to a Rule 10b5-1 trading plan adopted on March 13, 2025. Footnotes state these shares were sold in multiple transactions within disclosed price ranges. After these transactions, he directly owned 40,908 shares of Principal Financial Group Inc. common stock.
Principal Financial Group President and CEO – PAM, Kamal Bhatia, reported disposing of a total of 6,680 shares of Common Stock in late February and early March. Two dispositions on March 2, 2026 covered 2,299 shares at a weighted average price of $95.99 and 600 shares at $96.95, executed under a Rule 10b5-1 trading plan. On February 27, 2026, 3,781 shares were disposed of to cover tax obligations through share delivery. After these transactions, Bhatia directly owned 64,515 shares.
Morgan Stanley Smith Barney LLC filed a Form 144 notifying the proposed sale of 2,899 Restricted Stock Units in the issuer on 02/27/2026. The filing also discloses prior 10b5-1 sales of 5,570 shares on 02/25/2026 and 2,921 shares on 12/10/2025.
PFG Form 144 filing reports planned and recent insider sales of common stock. The filing lists Restricted Stock Units to be sold totaling 1,616 units with an effective date of 02/27/2026. It also records 10b5-1 transactions: 3,071 shares sold on 02/25/2026 for $290,372.57 and 5,130 shares sold on 12/10/2025 for $462,119.63.