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’s Chair, President and CEO Deanna Strable-Soethout reported a mix of stock option exercises, share grants, and share dispositions involving Common Stock on June 11–12, 2026.
She exercised options covering 16,825 and 13,883 shares at an exercise price of $62.78 per share, converting derivative awards into common shares. She also received multiple share grants, including 16,825, 13,883 and 2,942 shares, as compensation-related acquisitions.
On the same dates, she disposed of 19,767 shares at $110.06, 26,445 shares at $110.48, and 4,263 shares at $111.25 per share in transactions classified as “Disposition to issuer.” After these transactions, she directly held 173,255 common shares, with an additional 53,498 shares held indirectly by her spouse.
Deanna Strable‑Soethout reports proposed sale of 30,708 shares of Common Stock on 06/12/2026. The sale is described as an exercise of stock options with cash consideration.
The filing also records prior 10b5-1 transactions: 19,767 shares sold on 06/11/2026 for $2,175,556.02. The notice lists Morgan Stanley Smith Barney LLC as broker/dealer information.
Principal Financial Group EVP and General Counsel Timothy W. Brown received an equity grant of 22,279 common-share-based restricted stock units. The Form 4 reports an acquisition of 22,279 units at a stated price of $0.00 per share, reflecting compensation rather than an open-market purchase. Following the award, Brown directly holds 22,279 common shares reported in this filing.
Principal Financial Group Inc. executive Timothy W. Brown has filed an initial insider ownership report on Form 3. Brown is listed as an officer of the company, serving as EVP, General Counsel and Secretary. This Form 3 does not report any insider transactions or share movements.
HOCHSCHILD ROGER C reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Roger C. Hochschield received a grant of 689 Phantom Stock Units, each convertible into one share of common stock. These units were credited under the Principal Deferred Compensation Plan for Non-Employee Directors, raising his deferred balance to 29,455 units, generally settled at retirement.
Principal Financial Group director Scott Mills received a grant of 416 Phantom Stock Units on common stock. The units were awarded at a reference price of $105.22 per unit and increase his holdings in this deferred form of equity-based compensation.
The Phantom Stock Units convert into an equal number of Principal Financial Group common shares on a one-for-one basis. They were granted under the Principal Deferred Compensation Plan for Non-Employee Directors, with interests under the plan to be settled upon Mills’s retirement.
Principal Financial Group, Inc. issued $400,000,000 of 5.300% Senior Notes due 2037 on June 1, 2026. These senior debt securities were issued under the existing senior indenture and an eighteenth supplemental indenture, and are fully and unconditionally guaranteed by Principal Financial Services, Inc.
The notes were sold under an automatic shelf registration statement on Form S-3, with closing of the sale occurring on June 1, 2026. An underwriting agreement with major investment banks and related legal opinions and guarantees were executed and filed as exhibits.
Principal Financial Group, Inc. is offering $400,000,000 aggregate principal amount of 5.300% Senior Notes due 2037, with interest payable January 15 and July 15 beginning January 15, 2027. The Notes are senior unsecured obligations of the company and are fully and unconditionally guaranteed on a senior unsecured basis by Principal Financial Services, Inc.
The Notes will be issued in denominations of $2,000 and multiples of $1,000, will not be listed on any exchange, and are initially limited to $400,000,000 aggregate principal amount. The issuer estimates net proceeds of approximately $394.9 million, which may be used for general corporate purposes, including repayment or refinancing of existing indebtedness. The Notes may be redeemed prior to the Par Call Date using a Treasury-rate-based make-whole formula and are defeasible under specified conditions.
Principal Financial Group, Inc. files a preliminary prospectus supplement for an offering of senior unsecured notes due 2037, to be fully and unconditionally guaranteed by Principal Financial Services, Inc. The prospectus describes ranking, optional redemption mechanics, structural subordination risks and use of proceeds for general corporate purposes.
The supplement states the Notes will be senior unsecured obligations, effectively subordinated to any secured indebtedness and structurally subordinated to the liabilities of subsidiaries; the Subsidiary Guarantee is similarly senior unsecured and structurally subordinated to its subsidiaries’ liabilities. The offering is part of a shelf registration.