20211019 189.67 kB 1 <?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/20211019"> <head> <title>Form 8-K filed by on 2021-10-19</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="From2021-10-19to2021-10-19" name="dei:EntityCentralIndexKey">0001126328</ix:nonNumeric> <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" format="ixt:booleanfalse" name="dei:AmendmentFlag">false</ix:nonNumeric> </ix:hidden> <ix:references> <link:schemaRef xlink:href="#pfg-20211019.xsd" xlink:type="simple" /> </ix:references> <ix:resources> <xbrli:context id="From2021-10-19to2021-10-19"> <xbrli:entity> <xbrli:identifier scheme="http://www.sec.gov/CIK">0001126328</xbrli:identifier> </xbrli:entity> <xbrli:period> <xbrli:startDate>2021-10-19</xbrli:startDate> <xbrli:endDate>2021-10-19</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: 12pt; 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="From2021-10-19to2021-10-19" 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="From2021-10-19to2021-10-19" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate">October 19, 2021</ix:nonNumeric> (Date of earliest event reported)   <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" 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: 100%; text-align: left; margin-right: auto; margin-left: auto; border-collapse: collapse"> <tr style="vertical-align: middle"> <td style="text-align: center; width: 34%"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode">Delaware</ix:nonNumeric></td> <td style="text-align: center; width: 33%"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:EntityFileNumber">1-16725</ix:nonNumeric></td> <td style="text-align: center; width: 33%"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:EntityTaxIdentificationNumber">42-1520346</ix:nonNumeric></td></tr> <tr style="vertical-align: middle"> <td style="text-align: center">(State or other jurisdiction</td> <td style="text-align: center">(Commission file number)</td> <td style="text-align: center">(I.R.S. Employer</td></tr> <tr> <td style="vertical-align: middle; text-align: center">of incorporation)</td> <td style="vertical-align: bottom"> </td> <td style="vertical-align: middle; text-align: center">Identification Number)</td></tr> </table>   <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:EntityAddressAddressLine1">711 High Street</ix:nonNumeric>, <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:EntityAddressCityOrTown">Des Moines</ix:nonNumeric>, <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" format="ixt-sec:stateprovnameen" name="dei:EntityAddressStateOrProvince">Iowa</ix:nonNumeric> <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:EntityAddressPostalZipCode">50392</ix:nonNumeric> (Address of principal executive offices)   (<ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:CityAreaCode">515</ix:nonNumeric>) <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" 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="From2021-10-19to2021-10-19" 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="From2021-10-19to2021-10-19" 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="From2021-10-19to2021-10-19" 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="From2021-10-19to2021-10-19" 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> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif"> <tr style="vertical-align: top"> <td style="width: 0.25in">¨</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). </td></tr> </table> Emerging growth company <ix:nonNumeric contextRef="From2021-10-19to2021-10-19" format="ixt:booleanfalse" name="dei:EntityEmergingGrowthCompany">¨</ix:nonNumeric> <table cellspacing="0" cellpadding="0" style="font: 10pt Times New Roman, Times, Serif"> <tr style="vertical-align: top"> <td style="width: 0.25in">¨</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>   <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: 32%">Title of each class</td> <td style="padding-bottom: 1pt; width: 2%"> </td> <td style="border-bottom: Black 1pt solid; padding-top: 2px; padding-right: 2px; padding-left: 2px; text-align: center; width: 32%">Trading symbol(s)</td> <td style="padding-bottom: 1pt; width: 2%"> </td> <td style="border-bottom: Black 1pt solid; padding-top: 2px; padding-right: 2px; padding-left: 2px; text-align: center; width: 32%">Name of each exchange on which registered</td></tr> <tr style="vertical-align: middle"> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:Security12bTitle">Common Stock</ix:nonNumeric></td> <td> </td> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" name="dei:TradingSymbol">PFG</ix:nonNumeric></td> <td> </td> <td style="padding: 2px; text-align: center"><ix:nonNumeric contextRef="From2021-10-19to2021-10-19" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName">Nasdaq Global Select Market</ix:nonNumeric></td></tr> </table>   <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="break-before: page; margin-top: 6pt; margin-bottom: 12pt"> </div>    <table cellpadding="0" cellspacing="0" style="font: italic 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>Regulation FD Disclosure</td></tr> </table>   This report is filed quarterly to disclose assets under management (“AUM”) by asset manager, prior to the availability of Principal Financial Group, Inc's (the "Company") quarterly earnings release. The amounts presented herein will be consistent with the format of AUM by asset manager and presented again in such format within the Company's financial supplement for the quarter ended September 30, 2021 when that document is posted to the Company's investor relations web site on or about October 27, 2021.   As of September 30, 2021, the assets under management by asset manager were $535.4 billion for Principal Global Investors and $152.7 billion for Other Entities of Principal Financial Group. Other Entities of Principal Financial Group includes Principal International, Principal Bank, assets managed by segments of the insurance company and sub-advised assets within the RIS segment.   Note:  Principal Global Investors delivers products and services through our network of focused investment teams.  During times of market dislocations and a wider dispersion of returns, it is important to note our exposure to small and mid-cap products in US equity AUM and high yield and preferred securities exposure in fixed income AUM.  Other Entities of Principal Financial Group includes AUM associated with Principal International where AUM is translated to U.S. dollar equivalents using end of reporting period spot foreign exchange rates.      <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>   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: bottom"> <td> </td> <td colspan="2" style="font-size: 10pt">PRINCIPAL FINANCIAL GROUP, INC.</td></tr> <tr style="vertical-align: bottom"> <td> </td> <td colspan="2" style="font-size: 10pt"> </td></tr> <tr style="vertical-align: bottom"> <td style="width: 50%"> </td> <td style="font-size: 10pt; width: 2%">By:  </td> <td style="border-bottom: Black 1pt solid; font-size: 10pt">/s/ John Egan</td></tr> <tr style="vertical-align: bottom"> <td> </td> <td colspan="2" style="font-size: 10pt">Name: John Egan</td></tr> <tr style="vertical-align: bottom"> <td> </td> <td colspan="2" style="font-size: 10pt">Title:   Vice President – Investor Relations</td></tr> </table>   Date:    October 19, 2021    <div style="border-bottom: Black 1pt solid; margin-top: 12pt; margin-bottom: 6pt"> </div>      </body> </html>