PFG Principal Financial Group Inc - Registered Shares

Filed: 20 Jul 21, 2:50pm





Washington, D.C. 20549








Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of Report: July 20, 2021

(Date of earliest event reported)



(Exact name of registrant as specified in its charter)


(State or other jurisdiction(Commission file number)(I.R.S. Employer
of incorporation) Identification Number)


711 High Street, Des Moines, Iowa 50392

(Address of principal executive offices)


(515) 247-5111

(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:


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

¨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 ¨

¨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.


Title of each class Trading symbol(s) Name of each exchange on which registered
Common Stock PFG Nasdaq Global Select Market








Item 7.01Regulation FD Disclosure


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 June 30, 2021 when that document is posted to the Company's investor relations web site on or about July 27, 2021.


As of June 30, 2021, the assets under management by asset manager were $532.3 billion for Principal Global Investors and $164.7 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.




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.


 By:/s/ John Egan
 Name:John Egan
 Title:Vice President – Investor Relations


Date:  July 20, 2021