20200924 102.55 kB 5 <?xml version="1.0" encoding="utf-8"?> <html lang="en-US" xmlns="http://www.w3.org/1999/xhtml" xmlns:xs="http://www.w3.org/2001/XMLSchema-instance" xmlns:xlink="http://www.w3.org/1999/xlink" xmlns:xbrli="http://www.xbrl.org/2003/instance" xmlns:xbrldi="http://xbrl.org/2006/xbrldi" xmlns:xbrldt="http://xbrl.org/2005/xbrldt" xmlns:iso4217="http://www.xbrl.org/2003/iso4217" xmlns:ix="http://www.xbrl.org/2013/inlineXBRL" xmlns:ixt="http://www.xbrl.org/inlineXBRL/transformation/2015-02-26" xmlns:ixt-sec="http://www.sec.gov/inlineXBRL/transformation/2015-08-31" xmlns:link="http://www.xbrl.org/2003/linkbase" xmlns:dei="http://xbrl.sec.gov/dei/2020-01-31" xmlns:ref="http://www.xbrl.org/2006/ref" xmlns:us-gaap="http://fasb.org/us-gaap/2020-01-31" xmlns:us-roles="http://fasb.org/us-roles/2020-01-31" xmlns:country="http://xbrl.sec.gov/country/2020-01-31" xmlns:srt="http://fasb.org/srt/2020-01-31" xmlns:pfg="http://principal.com/20200924"> <head> <title>Form 8-K filed by on 2020-09-24</title> <meta http-equiv="Content-Type" content="text/html" /> </head>         <body style="font: 10pt Times New Roman, Times, Serif"> <div style="display: none"> <ix:header> <ix:hidden> <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityCentralIndexKey">0001126328</ix:nonNumeric> <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:AmendmentFlag">false</ix:nonNumeric> </ix:hidden> <ix:references> <link:schemaRef xlink:href="#pfg-20200924.xsd" xlink:type="simple" /> </ix:references> <ix:resources> <xbrli:context id="From2020-09-24to2020-09-24"> <xbrli:entity> <xbrli:identifier scheme="http://www.sec.gov/CIK">0001126328</xbrli:identifier> </xbrli:entity> <xbrli:period> <xbrli:startDate>2020-09-24</xbrli:startDate> <xbrli:endDate>2020-09-24</xbrli:endDate> </xbrli:period> </xbrli:context> <xbrli:unit id="USD"> <xbrli:measure>iso4217:USD</xbrli:measure> </xbrli:unit> <xbrli:unit id="Shares"> <xbrli:measure>xbrli:shares</xbrli:measure> </xbrli:unit> <xbrli:unit id="USDPShares"> <xbrli:divide> <xbrli:unitNumerator> <xbrli:measure>iso4217:USD</xbrli:measure> </xbrli:unitNumerator> <xbrli:unitDenominator> <xbrli:measure>xbrli:shares</xbrli:measure> </xbrli:unitDenominator> </xbrli:divide> </xbrli:unit> </ix:resources> </ix:header> </div> <div style="margin-top: 0pt; margin-bottom: 3pt; width: 100%"><div style="border-top: Black 2pt solid; border-bottom: Black 1pt solid; font-size: 1pt"> </div></div>   UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549   <div style="margin: 3pt auto; width: 25%"><div style="border-top: Black 1pt solid; font-size: 1pt"> </div></div>   FORM <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:DocumentType">8-K</ix:nonNumeric>   CURRENT REPORT   Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934   Date of Report: <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate">September 24, 2020</ix:nonNumeric> (Date of earliest event reported)   <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityRegistrantName">PRINCIPAL FINANCIAL GROUP, INC.</ix:nonNumeric> (Exact name of registrant as specified in its charter)   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; width: 585px; text-align: left; margin-right: auto; margin-left: auto; border-collapse: collapse"> <tr style="vertical-align: middle"> <td style="padding: 2px; text-align: center; width: 34%"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode">Delaware</ix:nonNumeric></td> <td style="padding: 2px; text-align: center; width: 33%"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityFileNumber">1-16725</ix:nonNumeric></td> <td style="padding: 2px; text-align: center; width: 33%"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityTaxIdentificationNumber">42-1520346</ix:nonNumeric></td></tr> <tr style="vertical-align: middle"> <td style="padding: 2px; text-align: center">(State or other jurisdiction</td> <td style="padding: 2px; text-align: center">(Commission file number)</td> <td style="padding: 2px; text-align: center">(I.R.S. Employer</td></tr> <tr> <td style="padding: 2px; vertical-align: middle; text-align: center">of incorporation)</td> <td style="padding: 2px; vertical-align: bottom"> </td> <td style="padding: 2px; vertical-align: middle; text-align: center">Identification Number)</td></tr> </table>   <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityAddressAddressLine1">711 High Street</ix:nonNumeric>, <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityAddressCityOrTown">Des Moines</ix:nonNumeric>, <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt-sec:stateprovnameen" name="dei:EntityAddressStateOrProvince">Iowa</ix:nonNumeric> <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:EntityAddressPostalZipCode">50392</ix:nonNumeric> (Address of principal executive offices)   (<ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:CityAreaCode">515</ix:nonNumeric>) <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:LocalPhoneNumber">247-5111</ix:nonNumeric> (Registrant’s telephone number, including area code)   Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:   <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 0; width: 100%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 0in"></td><td style="width: 0.25in; text-align: left"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:WrittenCommunications">¨</ix:nonNumeric></td><td style="text-align: justify">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td> </tr></table> <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 0; width: 100%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 0in"></td><td style="width: 0.25in; text-align: left"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:SolicitingMaterial">¨</ix:nonNumeric></td><td style="text-align: justify">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td> </tr></table> <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 0; width: 100%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 0in"></td><td style="width: 0.25in; text-align: left"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:PreCommencementTenderOffer">¨</ix:nonNumeric></td><td style="text-align: justify">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</td> </tr></table> <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 0; width: 100%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 0in"></td><td style="width: 0.25in; text-align: left"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:PreCommencementIssuerTenderOffer">¨</ix:nonNumeric></td><td style="text-align: justify">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</td> </tr></table>   Securities registered pursuant to Section 12(b) of the Act:   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; width: 624px; text-align: left; margin-right: auto; margin-left: auto; border-collapse: collapse"> <tr style="vertical-align: middle"> <td style="border-top: Black 1pt solid; border-bottom: Black 1pt solid; border-left: Black 1pt solid; padding: 2px; text-align: center; width: 28%">Title of each class</td> <td style="border-top: Black 1pt solid; border-bottom: Black 1pt solid; border-left: Black 1pt solid; padding: 2px; text-align: center; width: 26%">Trading Symbol(s)</td> <td style="border: Black 1pt solid; padding: 2px; text-align: center; width: 46%">Name of each exchange on which registered</td></tr> <tr style="vertical-align: middle"> <td style="border-bottom: Black 1pt solid; border-left: Black 1pt solid; padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:Security12bTitle">Common Stock</ix:nonNumeric></td> <td style="border-bottom: Black 1pt solid; border-left: Black 1pt solid; padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" name="dei:TradingSymbol">PFG</ix:nonNumeric></td> <td style="border-right: Black 1pt solid; border-bottom: Black 1pt solid; border-left: Black 1pt solid; padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName">Nasdaq Global Select Market</ix:nonNumeric></td></tr> </table>   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif"> <tr style="vertical-align: top"> <td style="width: 48px">¨</td> <td style="text-align: left">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§203.405 of this chapter) or rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).                                Emerging growth company    <ix:nonNumeric contextRef="From2020-09-24to2020-09-24" format="ixt:booleanfalse" name="dei:EntityEmergingGrowthCompany">¨</ix:nonNumeric></td></tr> </table>   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif"> <tr style="vertical-align: top"> <td style="width: 48px">¨</td> <td style="text-align: left">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.                                                     </td></tr> </table>   <div style="margin: 3pt auto; width: 25%"><div style="border-top: Black 1pt solid; font-size: 1pt"> </div></div>   <div style="margin-top: 3pt; margin-bottom: 12pt; width: 100%"><div style="border-top: Black 1pt solid; border-bottom: Black 2pt solid; font-size: 1pt"> </div></div>  <div style="border-bottom: Black 1pt solid; margin-top: 12pt; margin-bottom: 6pt"> </div> <div style="page-break-before: always; margin-top: 6pt; margin-bottom: 12pt"> </div>      <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; width: 100%; margin-top: 0pt; margin-bottom: 0pt"><tr style="vertical-align: top"> <td style="width: 0%"></td><td style="width: 0.75in">Item 5.02</td><td>Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</td></tr></table>   On September 24, 2020, the Board of Directors of Principal Financial Group, Inc. appointed Pat Halter, chief executive officer and president of Principal Global Investors, to the position of president of Principal Global Asset Management. Kamal Bhatia, president of Principal Funds, is being appointed to chief operating officer for Principal Global Investors. Halter and Bhatia will assume their new responsibilities effective November 7, 2020. Tim Dunbar, the current president of Principal Global Asset Management, announced his intention to retire at the end of 2020. A press release on this topic is included with this report as Exhibit 99.   Item 9.01 Financial Statements and Exhibits   <table cellpadding="0" cellspacing="0" style="border-collapse: collapse; width: 100%"> <tr style="vertical-align: bottom"> <td style="font: 10pt Times New Roman, Times, Serif; width: 3%; text-align: left"><a href="#tm2031730d1_ex99.htm" style="-sec-extract: exhibit">99</a></td> <td style="font: 10pt Times New Roman, Times, Serif; width: 97%; text-align: left"><a href="#tm2031730d1_ex99.htm" style="-sec-extract: exhibit">Press Release of Principal Financial Group, Inc. dated September 24, 2020</a></td></tr> <tr style="vertical-align: bottom"> <td style="font: 10pt Times New Roman, Times, Serif; vertical-align: bottom; white-space: nowrap; text-align: left">104   </td> <td style="font: 10pt Times New Roman, Times, Serif; vertical-align: bottom; white-space: nowrap; text-align: left">Cover Page to this Current Report on Form 8-K in Inline XBRL </td></tr> </table>   SIGNATURE   Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.   <table cellpadding="0" cellspacing="0" style="border-collapse: collapse; width: 100%"> <tr style="vertical-align: bottom"> <td style="font-size: 10pt"> </td> <td colspan="2" style="font: 10pt Times New Roman, Times, Serif; text-align: left">PRINCIPAL FINANCIAL GROUP, INC.</td></tr> <tr style="font-size: 10pt; vertical-align: bottom"> <td style="font-size: 10pt"> </td> <td style="font: 10pt Times New Roman, Times, Serif"> </td> <td style="font-size: 10pt; text-align: right"> </td></tr> <tr style="font-size: 10pt; vertical-align: bottom"> <td style="font-size: 10pt; width: 50%"> </td> <td style="font: 10pt Times New Roman, Times, Serif; width: 5%">By:</td> <td style="border-bottom: Black 1pt solid; font: 10pt Times New Roman, Times, Serif; width: 45%; text-align: left">/s/ John Egan</td></tr> <tr style="font-size: 10pt; vertical-align: bottom"> <td style="font-size: 10pt"> </td> <td style="font: 10pt Times New Roman, Times, Serif; text-align: left">Name:</td> <td style="font-size: 10pt; text-align: left">John Egan</td></tr> <tr style="font-size: 10pt; vertical-align: top"> <td style="font-size: 10pt"></td><td style="font-size: 10pt">Title:</td><td style="font-size: 10pt">Vice President – Investor Relations</td></tr></table>   Date:   September 24, 2020    <div style="border-bottom: Black 1pt solid; margin-top: 12pt; margin-bottom: 6pt">2</div>  </body> </html>