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 Inc. reported insider transactions by its EVP - Chief Risk Officer dated December 10, 2025. The reporting person acquired 5,130 shares of common stock at $62.78 through the exercise of derivative securities and sold 5,130 shares at a weighted average price of $90.08, with individual sale prices ranging from $90.00 to $90.19. After these trades, the insider directly owns 40,577 common shares, including 29 shares acquired under the Principal Financial Group, Inc. Employee Stock Purchase Plan, and continues to hold derivative securities with exercise prices of $62.78 expiring on February 27, 2027.
Principal Financial Group Inc. reported that one of its officers, identified as President and CEO - PAM, sold 2,921 shares of common stock on December 10, 2025. The transaction was a disposition of shares at a weighted average price of $90.03 per share, with individual sale prices ranging from $90.00 to $90.10.
Following this sale, the officer directly beneficially owns 61,302 shares of Principal Financial Group common stock.
Principal Financial Group Inc. reported that one of its directors acquired 828 phantom stock units on 12/05/2025. The units were credited at a price of $87.52 per unit, bringing the director’s total beneficial ownership of derivative securities to 28,260 units held directly.
The phantom stock units convert into common stock on a one-for-one basis. They were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors, where the reporting person may move them into another investment alternative at any time, and interests in the plan will be settled upon the reporting person’s retirement.
Principal Financial Group reported an insider transaction by its officer serving as President - Benefits & Protect involving common stock. On 12/04/2025, the officer reported a transaction coded G for 1,524 shares of common stock at a price of $ 0. After this transaction, the officer beneficially owned 91,144 shares directly.
The officer also beneficially owned 3,893 shares indirectly through a 401(k) plan. A footnote states that the direct holdings include 3248 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan, indicating that part of the ownership was accumulated through an employee stock purchase program.
Principal Financial Group (PFG) reported an insider transaction: the EVP, Principal Asia sold 1,887 shares of common stock on 11/12/2025 with Transaction Code S at a weighted average price of $85.04. The filing notes sales occurred in multiple trades between $85.00 and $85.09.
Following the sale, the reporting person beneficially owns 81,421 shares directly. This total includes 1,741 shares acquired under the company’s Employee Stock Purchase Plan.
Principal Financial Group Inc. (PFG) filed a Form 13F Combination Report, indicating that some holdings are reported here and others by additional managers.
The filing lists a Form 13F Information Table Entry Total of 4,552 and a Form 13F Information Table Value Total of $198,270,295,285 (round to nearest dollar). It also notes 5 Other Included Managers under the reporting umbrella.
Other managers reporting for this manager include Origin Asset Management LLP, Spectrum Asset Management, Inc., and Principal Securities, Inc. The report is signed by Jill Hittner, Chief Financial Officer, Principal Global Investors, LLC.
Principal Financial Group reported a solid rebound in profitability for the quarter ended September 30, 2025. Net income attributable to the company was $213.8 million, compared with a net loss of $220.0 million a year earlier, as revenues rose to $3,681.6 million from $3,011.6 million. Premiums, fees and net investment income all increased, and net realized capital gains improved, while the negative impact from the change in fair value of a funds withheld embedded derivative was smaller than in the prior year.
Total expenses also increased to $3,433.2 million, but the revenue growth more than offset this, lifting basic earnings per share to $0.96 from a loss of $0.95. For the first nine months of 2025, net income attributable to the company was $668.1 million, slightly above the prior year. The balance sheet remained large and stable, with total assets of $334.5 billion, total liabilities of $322.4 billion and total stockholders’ equity of $11.7 billion, and unrealized losses in accumulated other comprehensive loss narrowed versus year-end.
Principal Financial Group, Inc. reported that it publicly announced information regarding its results of operations and financial condition for the quarter ended September 30, 2025. The disclosure was made via an Form 8-K, with the full details provided in Exhibit 99: Third Quarter 2025 Earnings Release.
The company’s common stock trades on the Nasdaq Global Select Market under the symbol PFG.
Principal Financial Group reported preliminary assets under management as part of its quarterly 8-K disclosure ahead of its earnings release. As of September 30, 2025, AUM totaled $784.3 billion. Of this, $601.6 billion is managed by Principal Asset Management – Investment Management and $150.7 billion by Principal Asset Management – International Pension.
The company highlighted that market conditions can affect results differently across products and regions. It noted exposure within equity AUM to small- and mid-cap and international strategies, within fixed income AUM to high yield and preferred securities, and to exchange rate movements in emerging markets. These factors can influence quarter-to-quarter AUM levels depending on market dispersion and currency shifts.
The same AUM figures are expected to be presented again in the company’s financial supplement for the quarter ended September 30, 2025, when posted to its investor relations site on or about October 27, 2025.
Mitchell H Elizabeth, a director of Principal Financial Group (PFG), was granted 101 restricted stock units on 09/26/2025 at a reported price of $0. Following this grant, the reporting person’s beneficial ownership is shown as 10,750 shares of common stock. The transaction is reported on a Form 4 and was filed as an individual filing by the reporting person’s attorney-in-fact. The filing classifies the award as non‑derivative restricted stock units (RSUs) rather than a cash purchase.