Principal Financial SEC Filings

Principal Financial Group Inc. reported an insider transaction involving shares held by the spouse of President and CEO Deanna D. Strable-Soethout. On January 22, 2026, the spouse sold 8,025 shares of common stock in an open-market transaction at a weighted average price of $92.56 per share, carried out under a pre-arranged Rule 10b5-1 trading plan adopted on February 28, 2024. After this sale, 54,227 shares of Principal Financial Group common stock remained beneficially owned indirectly through the spouse.

PFG filed a Form 144 notice for the proposed sale of 8,025 shares of its common stock through Morgan Stanley Smith Barney LLC, with an aggregate market value of 730,997.25. The shares are expected to be sold on or around 01/22/2026 on the NASDAQ, and the filing notes that 219,693,843 shares of common stock were outstanding.

The 8,025 shares were acquired as restricted stock units from the issuer on 02/26/2021. The filing also lists recent Rule 10b5-1 sales over the past three months, including transactions for Dwight Soethout and Deanna Strable-Soethout, such as 38,237 shares sold on 12/31/2025 for gross proceeds of 3,385,752.52 and 8,388 shares sold on 12/18/2025 for 755,654.79. The signer represents they are not aware of undisclosed material adverse information and is reminded that intentional misstatements can constitute federal criminal violations.

Principal Financial Group, Inc. filed a current report to provide an early look at its assets under management before releasing full quarterly earnings. As of December 31, 2025, total assets under management were $781.0 billion, with $593.9 billion managed by Principal Asset Management – Investment Management and $153.9 billion managed by Principal Asset Management – International Pension. The total includes $13.0 billion from operations in Investment Management that were disposed of in the fourth quarter of 2025.

For the quarter ended December 31, 2025, excluding those disposed operations, foreign currency translation, market performance, and other items not reported as net cash flow together produced an approximate 1.5% positive impact on beginning-period AUM. The company also highlights that periods of market dislocation can affect results given its exposure to small-, mid-cap, and international equity products, high-yield and preferred securities in fixed income, and emerging markets exchange rates.

Principal Financial Group reported an insider transaction involving the spouse of its President and CEO, Deanna D. Strable-Soethout. On January 8, 2026, the spouse sold 300 shares of common stock at $92.5 per share, coded as an open-market sale. The filing notes that this trade was executed under a Rule 10b5-1 trading plan adopted on February 28, 2024, indicating it was pre-arranged rather than discretionary. Following the sale, the CEO has 62,252 shares reported as beneficially owned indirectly "By Spouse".

An affiliate of the issuer has filed a notice to sell 300 shares of common stock under Rule 144 through Morgan Stanley Smith Barney LLC Executive Financial Services. The planned sale, listed at an aggregate market value of 27264.00, is expected to occur around 01/08/2026 on the NASDAQ exchange, where 219693843 common shares are shown as outstanding. The shares come from restricted stock units acquired from the issuer on 02/28/2022.

The filing also lists prior Rule 10b5-1 plan sales for Deanna Strable-Soethout over the past three months, including a sale of 38237 common shares on 12/31/2025 for gross proceeds of 3385752.52. Additional December 2025 transactions under the same 10b5-1 designation are described, indicating an ongoing pre-arranged selling program.

Principal Financial Group Inc. reported an insider equity grant involving one of its directors. On 12/19/2025, the director acquired 253 shares of common stock, recorded at a price of $0, in connection with a grant of restricted stock units. Following this transaction, the director beneficially owns 28,681 shares of Principal Financial Group common stock in direct ownership. This filing reflects a routine equity-based compensation award rather than an open-market stock purchase or sale.

Principal Financial Group Inc. reported a director-level equity grant. On 12/19/2025, a director of Principal Financial Group Inc. (PFG) received 128 shares of common stock in the form of a grant of restricted stock units, recorded at a price of $0 per share as noted in the filing explanation. Following this transaction, the director beneficially owned 14,543 shares of PFG common stock, held as direct ownership.

Principal Financial Group Inc. director reported new equity awards and updated holdings. On 12/19/2025, the director acquired 340 shares of common stock at $0.00, described as a grant of restricted stock units, bringing direct ownership to 38,653 common shares.

The director also acquired 244 phantom stock units at a reference price of $88.95, increasing the derivative position to 28,504 phantom units. Each phantom unit converts into one share of common stock and was granted under the Principal Deferred Compensation Plan for Non-Employee Directors, with interests to be settled upon the director’s retirement and movable among investment alternatives under the plan.

Principal Financial Group Inc. director reported new equity awards received on 12/19/2025. The filing shows an acquisition of 294 shares of common stock at a stated price of $0.00 per share, described as a grant of restricted stock units, bringing the director’s directly owned common stock to 33,405 shares.

The director also acquired 169 phantom stock units at a derivative security price of $88.95, increasing total phantom stock units beneficially owned to 19,744. These phantom units are under the Principal Deferred Compensation Plan for Non-Employee Directors, convert into common stock on a one-for-one basis, and will be settled when the director retires.