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PFGPrincipal Financial Group · Insider ownership research

Principal Financial Group insiders sold $5.4M in the past 12 months. How much of their stake is that?

About 2.5% overall. As a group they ended with more shares than they started with. The biggest individual seller, Wee Cheong, gave up 33% of starting holdings.

Updated Oct 9, 2026 from SEC filings · covers Oct 10, 2025 to Oct 9, 2026
How this comparesMore of their stake sold than at 194 of the 539 other companies we can measure (#346 of 540)See ranking
1
buyer among officers and directors (1 trade), past 12 months
44%
of sales were under disclosed trading plans, past 12 months
3 of 24
officers and directors sold shares, past 12 months
Recent activity · past 30 days, Sep 10, 2026 to Oct 9, 2026

No officer or director trades were reported for the past 30 days. The most recent before that:

May 21, 2026Wee Cheong sold 7.5K shares ($777K) with no plan disclosed. That is 10% of the total stake held that day.
WhoSharesPrice% of total stakeTotal stake afterTrade dateFiled
Wee Cheong
President - Asia & Middle East
7,534$103.1610%66KMay 21, 2026May 22, 2026

"% of total stake" is the shares in this event against all the vested shares the person held that day, across every share class and holding entity, after that day's vesting. "n/a" means the person's holdings don't reconcile, or the row is a purchase. "Holdings record incomplete" means more shares were sold than the filings show the person held that day, so a percentage would be wrong.

Is this normal? In line with the past 5 years. 3 insiders sold; the average is 2 a year. Year by year
Latest filing: Filed Sep 29 for a stock award on Sep 25. Alfredo Rivera received an award of 137 shares. Filing
140 SEC ownership filings in the period · See the evidence

What stands out

Wee Cheong sold 33% of vested holdings: 28K shares for $2.8M, none under a disclosed plan.Largest sale, May 1, 2026
Claudio Muruzabal bought 5 shares for $485, first on Feb 9, 2026.Purchase, Feb 9, 2026

Percentages cover 17 of 24 officers and directors. 7 are left out

i
Left out: Deanna Strable-Soethout, Amy Friedrich, Kenneth McCullum, Joel Pitz, George Djurasovic and Alfredo Rivera (holdings couldn't be fully reconciled); Timothy Brown (held no vested shares at the start).
Disclosed company stock is not an insider's whole wealth.

Who sold, and how much of their stake

Officers and directors, past 12 months. Each bar is 100% of that person's own stake; not comparable between people. The stake is the vested shares held at the start of the period (Oct 9, 2025); the gold part is what they sold.

SoldRest of starting stake
Wee Cheong
President - Asia & Middle East
33% · $2.8MNo plan disclosed
Deanna Strable-Soethout
Chair, President and CEO
Sold $2.4M (plan status beside the amount). Share of stake not shown: holdings couldn't be fully reconciled. Why
$2.4MDisclosed plan
George Djurasovic
Interim General Counsel
Sold $259K (plan status beside the amount). Share of stake not shown: holdings couldn't be fully reconciled. Why
$259KNo plan disclosed
Amounts, filings and trading plans for each seller

Selling by month

Officers and directors, Oct 2025 to Oct 2026. Each sale is counted once: under a disclosed plan, else to cover taxes, else no plan disclosed.

Disclosed planNo plan disclosedOne dollar scale for every month; the tallest bar is labeled
OctNov 2025: $160K no plan disclosedNovDecJan 2026: $2.4M under a disclosed plan$2.4MJanFebMarApr 2026: $847K no plan disclosedAprMay 2026: $2.0M no plan disclosedMayJunJulAugSepOct

Common questions

Is the Principal Financial Group CEO selling stock?

Yes. Deanna Strable-Soethout sold 25K shares ($2.4M) in the past 12 months, all of it under a trading plan disclosed in the filings.

Why are Principal Financial Group insiders selling?

Filings rarely give a reason, and we don't guess at one. What they show is how the sales were made: 44% of sales by value ran under 10b5-1 trading plans disclosed in the filings and 56% had no disclosed plan. A trading plan schedules sales in advance.

Are any Principal Financial Group insiders buying?

Yes. 1 officer or director reported 1 purchase in the past 12 months (Form 4 code P; rows the filings describe as reinvested dividends, plan purchases, private deals or moves into the person's own trust are not counted).

How much of their stake did Principal Financial Group insiders sell?

About 2.5% overall. As a group they ended with more shares than they started with. The biggest individual seller, Wee Cheong, gave up 33% of starting holdings. That covers the 12 months to Oct 9, 2026 and counts vested shares reported on SEC Forms 3, 4 and 5, which is not an insider's whole wealth.

The evidence

Who sold3 officers and directors: amount, % of holdings, trading plan
Who soldAmount% of holdingsTrading plan
Wee Cheong
President - Asia & Middle East
$2.8M
28K shares
33%No plan disclosed
Deanna Strable-Soethout
Chair, President and CEO
$2.4M
25K shares
i
No percentage: holdings couldn't be fully reconciled.
Disclosed plan
George Djurasovic
Interim General Counsel
$259K
2.6K shares
i
No percentage: holdings couldn't be fully reconciled.
No plan disclosed
The full ownership picture18 of 24 insiders fully reconciled · 24 officers and directors

Vested shares across all share classes, held directly and through trusts, LLCs and family members, as reported on SEC Forms 3, 4 and 5. Unvested awards and options are never counted as owned shares.

InsiderHeld Oct 9, 2025SoldHeld Oct 9, 2026Still held
Daniel Houston
i
Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.
Executive Chairman, Director
447K0447Kno sales
Vesting, gifts, unvested awards and holding lines for Daniel Houston
0shares vested or exercised
0gifted (net of own trusts)
3.7K → 3.7Kunvested awards, start → end
  • Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock271,613271,613
TrustCommon Stock170,823170,823
401(k) PlanCommon Stock4,1174,117

Additional holdings last reported Dec 4, 2009, not confirmed since: 11,841 shares. Not included in any total or percentage on this page.

Deanna Strable-Soethout
!
Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +173,867 shares on Sep 25, 2026 (Direct). See the filing Sales and other transactions for Deanna Strable-Soethout are complete.
Chair, President and CEO
n/a−25Kn/an/a
Vesting, gifts, unvested awards and holding lines for Deanna Strable-Soethout
0shares vested or exercised
0gifted (net of own trusts)
−6.1Kwithheld by the company for taxes
none reportedunvested awards, start → end

Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +173,867 shares on Sep 25, 2026 (Direct). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock152,950174,460
SpouseCommon Stock62,47553,584
Natalie Lamarque
EVP, General Counsel, and Secr
101K0101Kno sales
Vesting, gifts, unvested awards and holding lines for Natalie Lamarque
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock100,573100,573
Amy Friedrich
!
Holdings couldn't be fully reconciled. Balance changed with no matching transaction and no footnote: +415 shares on Feb 23, 2026 (401(k)). See the filing Sales and other transactions for Amy Friedrich are complete.
President - Benefits & Protect
n/a0n/an/a
Vesting, gifts, unvested awards and holding lines for Amy Friedrich
0shares vested or exercised
−1.5Kgifted (net of own trusts)
−3.8Kwithheld by the company for taxes
none reportedunvested awards, start → end

Holdings couldn't be fully reconciled. Balance changed with no matching transaction and no footnote: +415 shares on Feb 23, 2026 (401(k)). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock92,668109,440
401(k) PlanCommon Stock3,8934,142
401(k)Common Stock3,5303,945

Stock options (not counted as shares):

Options heldStrike priceExpiresIntrinsic value (estimate)
3,203$62.78Feb 27, 2027$129K

Estimate: options held × ($103.16 − strike price), using the most recent insider trade price on Form 4 (May 21, 2026), not a market close.

Miller Carter
Director
87K092Kno sales
Vesting, gifts, unvested awards and holding lines for Miller Carter
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock86,91291,979
Wee Cheong
i
Minor difference of 30 shares. Difference is under 0.5% of holdings. Includes unvested RSUs, amount not disclosed.
President - Asia & Middle East
83K−28K67K81%
Vesting, gifts, unvested awards and holding lines for Wee Cheong
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
  • Includes unvested RSUs, amount not disclosed.
Held throughShare classOct 9, 2025Oct 9, 2026
Direct
includes unvested RSUs, amount not disclosed
Common Stock83,30867,173

Reconciliation: minor difference of 30 shares. Difference is under 0.5% of holdings.

Kamal Bhatia
President and CEO - PAM
64K066Kno sales
Vesting, gifts, unvested awards and holding lines for Kamal Bhatia
0shares vested or exercised
0gifted (net of own trusts)
−3.8Kwithheld by the company for taxes
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock64,22365,869

Stock options (not counted as shares):

Options heldStrike priceExpiresIntrinsic value (estimate)
10,530$58.68Mar 5, 2031$468K

Estimate: options held × ($103.16 − strike price), using the most recent insider trade price on Form 4 (May 21, 2026), not a market close.

Christopher Littlefield
i
Minor difference of 329 shares. Difference is under 0.5% of holdings.
President - RIS
61K077Kno sales
Vesting, gifts, unvested awards and holding lines for Christopher Littlefield
0shares vested or exercised
0gifted (net of own trusts)
−3.7Kwithheld by the company for taxes
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock61,01677,279
TrustCommon Stock1111

Reconciliation: minor difference of 329 shares. Difference is under 0.5% of holdings.

Kenneth McCullum
!
Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +40,577 shares on Dec 19, 2025 (Direct). See the filing Sales and other transactions for Kenneth McCullum are complete.
EVP - Chief Risk Officer
n/a0n/an/a
Vesting, gifts, unvested awards and holding lines for Kenneth McCullum
0shares vested or exercised
0gifted (net of own trusts)
−1.2Kwithheld by the company for taxes
none reportedunvested awards, start → end

Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +40,577 shares on Dec 19, 2025 (Direct). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock40,57741,141
Roger Hochschild
Director
38K042Kno sales
Vesting, gifts, unvested awards and holding lines for Roger Hochschild
0shares vested or exercised
0gifted (net of own trusts)
27K → 30Kunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock38,31341,762
Joel Pitz
!
Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +357 shares on Jun 26, 2026 (Direct). See the filing Sales and other transactions for Joel Pitz are complete.
EVP & CFO
n/a0n/an/a
Vesting, gifts, unvested awards and holding lines for Joel Pitz
0shares vested or exercised
0gifted (net of own trusts)
−598withheld by the company for taxes
none reportedunvested awards, start → end

Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +357 shares on Jun 26, 2026 (Direct). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock32,74844,224
SpouseCommon Stock2,6672,930
401(k)Common Stock1,3041,362
Spouse 401(k)Common Stock101103
Blair Pickerell
Director
37K040Kno sales
Vesting, gifts, unvested awards and holding lines for Blair Pickerell
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock36,70540,100
Kathleen Kay
EVP-Chief Information Officer
35K045Kno sales
Vesting, gifts, unvested awards and holding lines for Kathleen Kay
0shares vested or exercised
0gifted (net of own trusts)
−1.9Kwithheld by the company for taxes
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock34,78144,683
Scott Mills
Director
33K036Kno sales
Vesting, gifts, unvested awards and holding lines for Scott Mills
0shares vested or exercised
0gifted (net of own trusts)
37K → 59Kunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock33,11136,386
Vivek Agrawal
EVP & Chief Growth Officer
33K047Kno sales
Vesting, gifts, unvested awards and holding lines for Vivek Agrawal
0shares vested or exercised
0gifted (net of own trusts)
28K → 28Kunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock33,05646,762
Diane Nordin
Director
28K032Kno sales
Vesting, gifts, unvested awards and holding lines for Diane Nordin
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock28,42831,548
Jonathan Auerbach
i
Minor difference of -1 share. Difference is under 0.5% of holdings.
Director
20K023Kno sales
Vesting, gifts, unvested awards and holding lines for Jonathan Auerbach
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock20,21423,112

Reconciliation: minor difference of -1 share. Difference is under 0.5% of holdings.

Clare Richer
i
Minor difference of -1 share. Difference is under 0.5% of holdings.
Director
19K022Kno sales
Vesting, gifts, unvested awards and holding lines for Clare Richer
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock18,75521,550

Reconciliation: minor difference of -1 share. Difference is under 0.5% of holdings.

George Djurasovic
!
Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +5,142 shares on Apr 28, 2026 (Direct). See the filing Sales and other transactions for George Djurasovic are complete.
Interim General Counsel
n/a−2.6Kn/an/a
Vesting, gifts, unvested awards and holding lines for George Djurasovic
0shares vested or exercised
0gifted (net of own trusts)
−1.3Kwithheld by the company for taxes
none reportedunvested awards, start → end

Holdings couldn't be fully reconciled. Balance changed without a matching transaction, and the footnote does not state the amount: +5,142 shares on Apr 28, 2026 (Direct). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock16,79421,905
Mary Beams
Director
14K017Kno sales
Vesting, gifts, unvested awards and holding lines for Mary Beams
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock14,41517,066
Claudio Muruzabal
Director
11K014Kno sales
Vesting, gifts, unvested awards and holding lines for Claudio Muruzabal
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock11,07913,699
Elizabeth Mitchell
Director
11K013Kno sales
Vesting, gifts, unvested awards and holding lines for Elizabeth Mitchell
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock10,75013,278
Alfredo Rivera
!
Holdings couldn't be fully reconciled. A footnote describes a transfer or distribution between related entities, but the amounts could not be matched to the balance change. Largest: -13,345 shares on Sep 25, 2026 (Direct). See the filing Sales and other transactions for Alfredo Rivera are complete.
Director
n/a0n/an/a
Vesting, gifts, unvested awards and holding lines for Alfredo Rivera
0shares vested or exercised
0gifted (net of own trusts)
7.9K → 7.9Kunvested awards, start → end

Holdings couldn't be fully reconciled. A footnote describes a transfer or distribution between related entities, but the amounts could not be matched to the balance change. Largest: -13,345 shares on Sep 25, 2026 (Direct). The balances below are as reported, not verified totals.

Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock3,1973,303
Timothy Brown
EVP, General Counsel and Sec
0022Kno sales
Vesting, gifts, unvested awards and holding lines for Timothy Brown
0shares vested or exercised
0gifted (net of own trusts)
none reportedunvested awards, start → end
Held throughShare classOct 9, 2025Oct 9, 2026
DirectCommon Stock022,442

18 of 24 insiders fully reconciled: starting holdings plus reported transactions match ending holdings (14 exactly, 4 with a minor or footnoted difference). For 6 we show sales but not holdings; the ! icon on their rows explains why. Percentages cover 17 of 24 officers and directors. Left out: Deanna Strable-Soethout, Amy Friedrich, Kenneth McCullum, Joel Pitz, George Djurasovic and Alfredo Rivera (holdings couldn't be fully reconciled); Timothy Brown (held no vested shares at the start). "Still held" compares ending with starting vested shares; a plus sign means the holding grew.

What explains the selling$5.4M of sales by plan status, purpose, seller and month

Officer and director open-market sales: $5.4M across 55,169 shares. Plan status and stated purpose are separate questions, and a sale can have both.

By plan status

The lighter segment is sales with no plan disclosed in the filing ($3.0M), including tax-related sales outside a plan.

No plan disclosed · $3.0M

Sales with no 10b5-1 plan and no tax reference in the filing. $2.8M of it is Wee Cheong. No plan disclosed is a statement about the filing, not about why the sale happened. Largest such sale: Wee Cheong, May 1, 2026

Taxes

22,361 shares ($2.1M) were withheld by the company for taxes, which isn't a market sale.

Purchases · 1 buyer (1 trade)

1 officer or director bought shares in this period, in 1 trade(Form 4 code P, leaving out rows the filings describe as reinvested dividends, plan purchases, private deals or moves into the person's own trust). Across all their filings on record there are 2 purchase trades.

SellerShares soldProceedsUnder a disclosed planShare of totalSales dates
Wee Cheong
President - Asia & Middle East
28K$2.8M0%52%Nov 12, 2025 to May 21, 2026
Deanna Strable-Soethout
Chair, President and CEO
25K$2.4M100%44%Jan 8, 2026 to Jan 30, 2026
George Djurasovic
Interim General Counsel
2.6K$259K0%5%Apr 28, 2026 to Apr 30, 2026

Sales by month

MonthSale proceedsDisclosed planTo cover taxesNo plan disclosed
Oct 2025$0$0$0$0
Nov 2025$160K$0$0$160K
Dec 2025$0$0$0$0
Jan 2026$2.4M$2.4M$0$0
Feb 2026$0$0$0$0
Mar 2026$0$0$0$0
Apr 2026$847K$0$0$847K
May 2026$2.0M$0$0$2.0M
Jun 2026$0$0$0$0
Jul 2026$0$0$0$0
Aug 2026$0$0$0$0
Sep 2026$0$0$0$0
Oct 2026$0$0$0$0
Is this normal? Selling year by year5 earlier years to compare with

In line with the past 5 years. 3 insiders sold; the average is 2 a year.

12 months endingShares soldInsiders who soldProceeds
Oct 9, 2026
Latest 12 months
55K3$5.4M
Oct 9, 2025
1 year earlier
51$350
Oct 9, 2024
2 years earlier
00$0
Oct 10, 2023
3 years earlier
15K1$1.2M
Oct 10, 2022
4 years earlier
80K5$6.1M
Oct 10, 2021
5 years earlier
107K4$6.2M

Open-market sales (Form 4 code S) by people who were officers or directors, in split-adjusted shares. Earlier years include people who have since left. A sale that an outside holder also reports (a family trust, a fund) is counted with outside holders in every year. Shares, not dollars, are compared, so a change in the stock price doesn't look like a change in selling. Years the filings don't fully cover are shown but left out of the average.

Known gaps and uncertainty6 insiders whose holdings couldn't be fully reconciled

Deanna Strable-Soethout: holdings couldn't be fully reconciled (difference of 134,121 shares). Balance changed without a matching transaction, and the footnote does not state the amount: +173,867 shares on Sep 25, 2026 (Direct). Filing, Sep 25, 2026

Footnote: "Grant of restricted stock units."

Amy Friedrich: holdings couldn't be fully reconciled (difference of 718 shares). Balance changed with no matching transaction and no footnote: +415 shares on Feb 23, 2026 (401(k)). Filing, Feb 23, 2026

Kenneth McCullum: holdings couldn't be fully reconciled (difference of 5,131 shares). Balance changed without a matching transaction, and the footnote does not state the amount: +40,577 shares on Dec 19, 2025 (Direct). Filing, Dec 19, 2025

Footnote: "Grant of restricted stock units. | Includes 29 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan."

Joel Pitz: holdings couldn't be fully reconciled (difference of 801 shares). Balance changed without a matching transaction, and the footnote does not state the amount: +357 shares on Jun 26, 2026 (Direct). Filing, Jun 26, 2026

Footnote: "Grant of restricted stock units. | Includes 10,470 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan."

George Djurasovic: holdings couldn't be fully reconciled (difference of 5,142 shares). Balance changed without a matching transaction, and the footnote does not state the amount: +5,142 shares on Apr 28, 2026 (Direct). Filing, Apr 28, 2026

Footnote: "The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.78 to $100.87, inclusive. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote."

Alfredo Rivera: holdings couldn't be fully reconciled (difference of -2,687 shares). A footnote describes a transfer or distribution between related entities, but the amounts could not be matched to the balance change. Largest: -13,345 shares on Sep 25, 2026 (Direct). Filing, Sep 25, 2026

Footnote: "The units convert to common stock on a one-for-one basis. | The reported phantom stock units were acquired pursuant to the Principal Deferred Compensation Plan for Non-Employee Directors and may be transferred at any time into another investment alternative under the Plan. Interests under the Plan will be settled upon the reporting person's retirement."

Wee Cheong: minor difference of 30 shares. Difference is under 0.5% of holdings.

Christopher Littlefield: minor difference of 329 shares. Difference is under 0.5% of holdings.

Jonathan Auerbach: minor difference of -1 share. Difference is under 0.5% of holdings.

Clare Richer: minor difference of -1 share. Difference is under 0.5% of holdings.

Inferred rename: "Gelatt Corporation" is treated as the same holder as "Ginkgo LLC", because the old name was never reported again and the new one opened with the same balance (121,506 shares). Old name, new name

Inferred rename: "401(k) Plan" is treated as the same holder as "401k plan", because the old name was never reported again and the new one opened with the same balance (0 shares). Old name, new name

Inferred typo: the share class "Peformance Units" is treated as the same class as "Performance Units" on 1 holding line, because the two spellings are nearly identical and each balance carried over exactly. Example (Mary Okeefe, 14,219 shares): old title, new title

External context: we only cite outside events when a documented connection exists. None is shown for this period.

Sources and methodology3,825 filings from SEC EDGAR, and how we read them

All 3,825 Forms 3, 4 and 5 filed for Principal Financial Group (SEC CIK 1126328) from Oct 1, 2002 to Sep 29, 2026, retrieved from SEC EDGAR on Oct 9, 2026. Prices are the ones reported in each filing, often weighted averages. 8 filings were left out because Principal Financial Group filed them as an owner of another company's stock. 173 older filings exist only on paper and could not be read.

Holdings. Each holding line (a share class plus an owner, such as a trust or LLC) carries its last reported balance forward. Entities first reported during the period start at zero, so transfers between an insider's own trusts don't count as selling. Lines not reported for three years or more are listed separately and left out of totals.

Sales. A sale counts as under a 10b5-1 plan if its footnote cites one or the filing's Rule 10b5-1 box is checked, and as tax-related if its footnote cites tax obligations or sell-to-cover. Shares withheld by the company for taxes are listed separately. Sales with neither attribute are labeled "no plan disclosed".

Full methodology

Former or inactive filers (38)No filing in 18 months; last reported balances, not in any total
NameLast filedLast reported balance
Patrick HalterApr 1, 2024141,092 shares, last reported balance as of Mar 28, 2024
Luis ValdesDec 22, 202327,668 shares, last reported balance as of Dec 20, 2023
Roberto WalkerJul 5, 202340,433 shares, last reported balance as of Jun 30, 2023
Michael DanApr 4, 202364,970 shares, last reported balance as of Mar 31, 2023
Sandra HeltonOct 21, 202235,747 shares, last reported balance as of Oct 19, 2022
Renee SchaafAug 17, 202232,830 shares, last reported balance as of Aug 15, 2022
Mark LagomarcinoJun 28, 202210,818 shares, last reported balance as of Jun 24, 2022
Elizabeth TallettJun 29, 202144,432 shares, last reported balance as of May 20, 2021
Timothy DunbarMar 1, 202158,698 shares, last reported balance as of Feb 25, 2021
Julia LawlerFeb 24, 202149,998 shares, last reported balance as of Feb 22, 2021
Betsy BernardDec 23, 202054,068 shares, last reported balance as of Dec 21, 2020
Daniel GelattJul 1, 2020826,836 shares, last reported balance as of Jun 26, 2020
Karen ShaffJun 30, 2020106,081 shares, last reported balance as of Jun 26, 2020
Gary ScholtenMar 31, 202088,342 shares, last reported balance as of Feb 24, 2020
Nora EverettApr 2, 201949,240 shares, last reported balance as of Mar 29, 2019
James McCaughanSep 5, 2018301,660 shares, last reported balance as of Sep 4, 2018
Dennis FerroApr 2, 201827,228 shares, last reported balance as of Mar 29, 2018
Gregory ElmingJan 2, 201821,059 shares, last reported balance as of Dec 28, 2017
Terrance LillisApr 4, 2017102,688 shares, last reported balance as of Mar 31, 2017
Larry ZimplemanMar 29, 2016272,084 shares, last reported balance as of Mar 25, 2016
Gary CostleyMar 29, 201638,822 shares, last reported balance as of Mar 25, 2016
Richard KeyserMar 31, 201536,308 shares, last reported balance as of Mar 27, 2015
Luca MaestriMar 31, 201512,007 shares, last reported balance as of Mar 27, 2015
Ralph EucherFeb 25, 201559,916 shares, last reported balance as of Feb 23, 2015
Mary OkeefeJul 1, 201466,847 shares, last reported balance as of Feb 24, 2014
Arjun MathraniApr 3, 201221,654 shares, last reported balance as of Mar 30, 2012
Norman SorensenFeb 29, 201258,960 shares, last reported balance as of Feb 27, 2012
Ellen LamaleMar 2, 201132,491 shares, last reported balance as of Dec 3, 2010
Barry GriswellApr 9, 2010156,465 shares, last reported balance as of Apr 5, 2010
William KerrDec 16, 200913,826 shares, last reported balance as of Dec 4, 2009
John AschenbrennerDec 8, 200992,297 shares, last reported balance as of Dec 4, 2009
Michael GersieDec 9, 20087,702 shares, last reported balance as of Feb 28, 2008
Therese VaughanDec 9, 20085,324 shares, last reported balance as of Dec 5, 2008
David DruryMar 14, 200797,400 shares, last reported balance as of Mar 12, 2007
Charles JohnsonMar 17, 20066,044 shares, last reported balance as of Dec 16, 2005
Federico PenaDec 20, 20055,808 shares, last reported balance as of Dec 16, 2005
PRINCIPAL FINANCIAL GROUP INCFeb 3, 2004355,149 shares, last reported balance as of Jan 30, 2004
Victor LoewensteinDec 10, 20031,691 shares, last reported balance as of Dec 8, 2003

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