20210225 287.74 kB 2 <?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/20210225"> <head> <title>Form 8-K filed by on 2021-02-25</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="From2021-02-25to2021-02-25" name="dei:EntityCentralIndexKey">0001126328</ix:nonNumeric> <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:AmendmentFlag">false</ix:nonNumeric> </ix:hidden> <ix:references> <link:schemaRef xlink:href="#pfg-20210225.xsd" xlink:type="simple" /> </ix:references> <ix:resources> <xbrli:context id="From2021-02-25to2021-02-25"> <xbrli:entity> <xbrli:identifier scheme="http://www.sec.gov/CIK">0001126328</xbrli:identifier> </xbrli:entity> <xbrli:period> <xbrli:startDate>2021-02-25</xbrli:startDate> <xbrli:endDate>2021-02-25</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="From2021-02-25to2021-02-25" 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="From2021-02-25to2021-02-25" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate">February 25, 2021</ix:nonNumeric> (Date of earliest event reported)   <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" 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="From2021-02-25to2021-02-25" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode">Delaware</ix:nonNumeric></td> <td style="padding: 2px; text-align: center; width: 33%"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:EntityFileNumber">1-16725</ix:nonNumeric></td> <td style="padding: 2px; text-align: center; width: 33%"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" 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="From2021-02-25to2021-02-25" name="dei:EntityAddressAddressLine1">711 High Street</ix:nonNumeric>, <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:EntityAddressCityOrTown">Des Moines</ix:nonNumeric>, <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt-sec:stateprovnameen" name="dei:EntityAddressStateOrProvince">Iowa</ix:nonNumeric> <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:EntityAddressPostalZipCode">50392</ix:nonNumeric> (Address of principal executive offices)   (<ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:CityAreaCode">515</ix:nonNumeric>) <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" 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 cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 4%; text-align: left"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:WrittenCommunications">¨</ix:nonNumeric></td><td style="text-align: justify; width: 96%">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td> </tr> <tr style="vertical-align: top; text-align: justify"> <td style="text-align: left"> </td><td style="text-align: justify"> </td></tr> </table> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 4%; text-align: left"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:SolicitingMaterial">¨</ix:nonNumeric></td><td style="text-align: justify; width: 96%">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td> </tr> <tr style="vertical-align: top; text-align: justify"> <td style="text-align: left"> </td><td style="text-align: justify"> </td></tr> </table> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 4%; text-align: left"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:PreCommencementTenderOffer">¨</ix:nonNumeric></td><td style="text-align: justify; width: 96%">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</td> </tr> <tr style="vertical-align: top; text-align: justify"> <td style="text-align: left"> </td><td style="text-align: justify"> </td></tr> </table> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"><tr style="vertical-align: top; text-align: justify"> <td style="width: 4%; text-align: left"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:PreCommencementIssuerTenderOffer">¨</ix:nonNumeric></td><td style="text-align: justify; width: 96%">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</td> </tr> <tr style="vertical-align: top; text-align: justify"> <td style="text-align: left"> </td><td style="text-align: justify"> </td></tr> </table> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"> <tr style="vertical-align: top"> <td style="width: 4%">¨</td> <td style="text-align: justify; width: 96%">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).</td></tr> </table>    Emerging growth company    <ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt:booleanfalse" name="dei:EntityEmergingGrowthCompany">¨</ix:nonNumeric>   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; margin-left: 0.25in; width: 97%"> <tr style="vertical-align: top"> <td style="width: 4%">¨</td> <td style="text-align: justify; width: 96%">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 </td></tr> </table>   Section 13(a) of the Exchange Act.   <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif; width: 100%; text-align: left; margin-right: auto; margin-left: auto; border-collapse: collapse"> <tr style="vertical-align: middle"> <td style="border-bottom: Black 1pt solid; padding-top: 2px; padding-right: 2px; padding-left: 2px; text-align: center; width: 25%">Title of each class</td> <td style="width: 2%"> </td> <td style="border-bottom: Black 1pt solid; padding-top: 2px; padding-right: 2px; padding-left: 2px; text-align: center; width: 25%">Trading symbol(s)</td> <td style="width: 2%"> </td> <td style="border-bottom: Black 1pt solid; padding-top: 2px; padding-right: 2px; padding-left: 2px; text-align: center; width: 46%">Name of each exchange on which registered</td></tr> <tr style="vertical-align: middle"> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:Security12bTitle">Common Stock</ix:nonNumeric></td> <td> </td> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" name="dei:TradingSymbol">PFG</ix:nonNumeric></td> <td> </td> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-02-25to2021-02-25" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName">Nasdaq Global Select Market</ix:nonNumeric></td></tr> </table>   <div style="margin-top: 0; margin-bottom: 0; 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="break-before: page; 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: 1in">Item 7.01</td><td style="text-align: justify">Regulation FD Disclosure</td></tr></table>   The following information is being furnished under Item 7.01 "Regulation FD Disclosure." This information shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.   On February 25, 2021, Principal Financial Group, Inc. announced its outlook for 2021 operating earnings. The text of the announcement is included herewith as Exhibit 99.   <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: 1in">Item 9.01</td><td style="text-align: justify">Financial Statements and Exhibits</td></tr> <tr style="vertical-align: top"> <td> </td><td style="text-align: justify"> </td></tr> <tr style="vertical-align: top"> <td><a href="#tm217472d4_ex99.htm">Exhibit 99</a></td><td style="text-align: justify"><a href="#tm217472d4_ex99.htm">Press Release Concerning 2021 Outlook Dated February 25, 2021</a></td></tr> </table>   <table cellpadding="0" cellspacing="0" style="font: 10pt Times New Roman, Times, Serif; width: 100%; margin-top: 0pt; margin-bottom: 0pt"> <tr> <td style="vertical-align: top; text-align: left; font-size: 10pt; width: 1in">104</td> <td style="text-align: left; font-size: 10pt">Cover Page Interactive Data File (the cover page XBRL tags are embedded in the Inline XBRL document).</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="font: 10pt Times New Roman, Times, Serif; border-collapse: collapse; width: 100%"> <tr style="vertical-align: top; text-align: left"> <td> </td> <td colspan="2">PRINCIPAL FINANCIAL GROUP, INC.</td></tr> <tr style="vertical-align: top; text-align: left"> <td> </td> <td colspan="2"> </td></tr> <tr style="vertical-align: top; text-align: left"> <td> </td> <td colspan="2"> </td></tr> <tr style="vertical-align: top; text-align: left"> <td style="width: 50%"> </td> <td style="width: 5%">By:</td> <td style="border-bottom: Black 1pt solid; padding-left: 0.375in; width: 45%">/s/ John Egan</td></tr> <tr style="vertical-align: top; text-align: left"> <td> </td> <td>Name:</td> <td>John Egan</td></tr> <tr style="vertical-align: top; text-align: left"> <td> </td> <td>Title:</td> <td>Vice President – Investor Relations</td></tr> </table>   Date:      February 25, 2021    <div style="border-bottom: Black 1pt solid; margin-top: 12pt; margin-bottom: 6pt"></div>    </body> </html>