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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/14/20 Principal Financial Group Inc 10-K 12/31/19 183:81M Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 10.07M
2: EX-4.5 Instrument Defining the Rights of Security Holders HTML 70K
3: EX-10.15 Material Contract HTML 261K
4: EX-21 Subsidiaries List HTML 87K
5: EX-23 Consent of Experts or Counsel HTML 52K
6: EX-31.1 Certification -- §302 - SOA'02 HTML 56K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 56K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 51K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 51K
151: R1 Document and Entity Information HTML 111K
87: R2 Consolidated Statements of Financial Position HTML 173K
26: R3 Consolidated Statements of Financial Position HTML 97K
(Parenthetical)
124: R4 Consolidated Statements of Operations HTML 130K
149: R5 Consolidated Statements of Comprehensive Income HTML 85K
85: R6 Consolidated Statements of Stockholders' Equity HTML 109K
23: R7 Consolidated Statements of Cash Flows HTML 197K
127: R8 Nature of Operations and Significant Accounting HTML 214K
Policies
145: R9 Goodwill and Other Intangible Assets HTML 145K
40: R10 Variable Interest Entities HTML 170K
59: R11 Investments HTML 1.23M
173: R12 Derivative Financial Instruments HTML 694K
108: R13 Closed Block HTML 171K
41: R14 Deferred Acquisition Costs HTML 76K
61: R15 Insurance Liabilities HTML 745K
174: R16 Debt HTML 216K
109: R17 Income Taxes HTML 244K
37: R18 Employee and Agent Benefits HTML 781K
63: R19 Contingencies, Guarantees, Indemnifications and HTML 142K
Leases
158: R20 Stockholders' Equity HTML 449K
140: R21 Fair Value Measurements HTML 1.77M
32: R22 Statutory Insurance Financial Information HTML 71K
100: R23 Segment Information HTML 281K
159: R24 Revenues from Contracts with Customers HTML 339K
141: R25 Stock-Based Compensation Plans HTML 178K
33: R26 Earnings Per Common Share HTML 98K
101: R27 Quarterly Results of Operations (Unaudited) HTML 106K
161: R28 Condensed Consolidating Financial Information HTML 2.69M
137: R29 Schedule I - Summary of Investments - Other Than HTML 143K
Investments in Related Parties
103: R30 Schedule II - Condensed Financial Information of HTML 235K
Registrant (Parent Only)
169: R31 Schedule III - Supplementary Insurance Information HTML 210K
66: R32 Schedule IV - Reinsurance HTML 153K
45: R33 Nature of Operations and Significant Accounting HTML 272K
Policies (Policies)
102: R34 Nature of Operations and Significant Accounting HTML 85K
Policies (Tables)
168: R35 Goodwill and Other Intangible Assets (Tables) HTML 145K
65: R36 Variable Interest Entities (Tables) HTML 157K
44: R37 Investments (Tables) HTML 1.24M
106: R38 Derivative Financial Instruments (Tables) HTML 678K
166: R39 Closed Block (Tables) HTML 171K
131: R40 Deferred Acquisition Costs (Tables) HTML 76K
156: R41 Insurance Liabilities (Tables) HTML 748K
81: R42 Debt (Tables) HTML 209K
17: R43 Income Taxes (Tables) HTML 240K
130: R44 Employee and Agent Benefits (Tables) HTML 777K
155: R45 Contingencies, Guarantees, Indemnifications and HTML 133K
Leases (Tables)
80: R46 Stockholders' Equity (Tables) HTML 456K
16: R47 Fair Value Measurements (Tables) HTML 1.74M
133: R48 Statutory Insurance Financial Information (Tables) HTML 65K
154: R49 Segment Information (Tables) HTML 267K
181: R50 Revenues from Contracts with Customers (Tables) HTML 332K
119: R51 Stock-Based Compensation Plans (Tables) HTML 174K
47: R52 Earnings Per Common Share (Tables) HTML 97K
69: R53 Quarterly Results of Operations (Unaudited) HTML 105K
(Tables)
182: R54 Condensed Consolidating Financial Information HTML 2.68M
(Tables)
121: R55 Nature of Operations and Significant Accounting HTML 97K
Policies - Recent Accounting Pronouncements
(Details)
48: R56 Nature of Operations and Significant Accounting HTML 56K
Policies - Cash and Cash Equivalents, Investments
(Details)
70: R57 Nature of Operations and Significant Accounting HTML 60K
Policies - Contractholder and Policyholder
Liabilities (Details)
183: R58 Nature of Operations and Significant Accounting HTML 96K
Policies - Other Various Policies (Details)
118: R59 Goodwill and Other Intangible Assets - Changes in HTML 77K
Goodwill (Details)
25: R60 Goodwill and Other Intangible Assets - Goodwill HTML 69K
Acquired (Details)
86: R61 Goodwill and Other Intangible Assets - HTML 78K
Finite-Lived Intangible Assets (Details)
148: R62 Goodwill and Other Intangible Assets - HTML 55K
Indefinite-Lived Intangible Assets (Details)
123: R63 Variable Interest Entities - Consolidated VIEs HTML 78K
(Details)
27: R64 Variable Interest Entities - Unconsolidated VIEs HTML 86K
(Details)
88: R65 Investments - Fixed Maturities and Equity HTML 94K
Securities (Details)
150: R66 Investments - Amortization by Expected Maturity HTML 88K
(Details)
125: R67 Investments - Net Investment Income (Details) HTML 82K
20: R68 Investments - Net Realized Capital Gains and HTML 102K
Losses (Details)
92: R69 Investments - Other-Than-Temporary Impairments HTML 67K
(Details)
77: R70 Investments - Accumulated Credit Losses for Fixed HTML 67K
Maturities with Bifurcated Credit Losses (Details)
51: R71 Investments - Gross Unrealized Losses for Fixed HTML 134K
Maturities (Details)
116: R72 Investments - Net Unrealized Gains and Losses on HTML 67K
Available-for-Sale Securities and Derivative
Instruments (Details)
177: R73 Investments - Mortgage Loans (Details) HTML 123K
76: R74 Investments - Mortgage Loan Credit Monitoring HTML 94K
(Details)
50: R75 Investments - Mortgage Loans, Non-Accrual and HTML 96K
Aging (Details)
115: R76 Investments - Mortgage Loan Valuation Allowance HTML 92K
(Details)
176: R77 Investments - Impaired Mortgage Loans (Details) HTML 89K
72: R78 Investments - Real Estate (Details) HTML 60K
55: R79 Investments - Other Investments (Details) HTML 84K
79: R80 Investments - Securities Posted as Collateral HTML 58K
(Details)
53: R81 Investments - Balance Sheet Offsetting, Assets HTML 66K
(Details)
117: R82 Investments - Balance Sheet Offsetting, HTML 61K
Liabilities (Details)
178: R83 Derivative Financial Instruments - Notional HTML 99K
Amounts and Credit Exposure (Details)
75: R84 Derivative Financial Instruments - Fair Value of HTML 79K
Derivatives (Details)
49: R85 Derivative Financial Instruments - Credit HTML 87K
Derivatives Sold (Details)
114: R86 Derivative Financial Instruments - Fair Value HTML 65K
Hedges (Details)
175: R87 Derivative Financial Instruments - Cash Flow HTML 75K
Hedges (Details)
73: R88 Derivative Financial Instruments - Effect of HTML 118K
Hedges on Consolidated Statements of Operations
(Details)
56: R89 Derivative Financial Instruments - Derivatives Not HTML 65K
Designated as Hedging Instruments (Details)
22: R90 Closed Block - Assets and Liabilities (Details) HTML 119K
83: R91 Closed Block - Revenues and Expenses (Details) HTML 84K
147: R92 Closed Block - Change in Maximum Future Earnings HTML 60K
(Details)
122: R93 Deferred Acquisition Costs (Details) HTML 66K
28: R94 Insurance Liabilities - Components of HTML 65K
Contractholder Funds (Details)
89: R95 Insurance Liabilities - Contractholder Funding HTML 88K
Agreements (Details)
152: R96 Insurance Liabilities - Liability for Unpaid HTML 85K
Claims (Details)
126: R97 Insurance Liabilities - Claims Development Tables HTML 150K
(Details)
19: R98 Insurance Liabilities - Reconciliation of Unpaid HTML 81K
Claims to Liability for Unpaid Claims Table
(Details)
91: R99 Insurance Liabilities - Claim Duration and Payout HTML 81K
Table (Details)
162: R100 Insurance Liabilities - Discounting Table HTML 73K
(Details)
138: R101 Debt - Short-Term Debt (Details) HTML 82K
35: R102 Debt - Components of Long-Term Debt (Details) HTML 97K
99: R103 Debt - Senior Notes and Junior Subordinated Notes HTML 171K
(Details)
160: R104 Debt - Non-Recourse Mortgages and Notes Payable HTML 68K
(Details)
136: R105 Debt - Future Maturities of Long-Term Debt HTML 72K
(Details)
34: R106 Debt - Contingent Funding Agreements (Details) HTML 82K
97: R107 Income Taxes - Income Tax Expense and Income HTML 90K
Before Income Taxes (Details)
157: R108 Income Taxes - Effective Income Tax Rate (Details) HTML 84K
139: R109 Income Taxes - Unrecognized Tax Benefits (Details) HTML 71K
105: R110 Income Taxes - Deferred Income Taxes and Other HTML 155K
(Details)
165: R111 Employee and Agent Benefits - Plan Information HTML 53K
(Details)
67: R112 Employee and Agent Benefits - Benefit Obligation HTML 135K
and Funded Status (Details)
42: R113 Employee and Agent Benefits - Pension Plan Changes HTML 71K
and Plan Gains/Losses (Details)
107: R114 Employee and Agent Benefits - ABO in Excess of HTML 69K
Plan Assets (Details)
167: R115 Employee and Agent Benefits - Net Periodic Benefit HTML 130K
Cost (Details)
68: R116 Employee and Agent Benefits - Weighted Average HTML 111K
Assumptions (Details)
43: R117 Employee and Agent Benefits - Fair Value of Plan HTML 149K
Assets (Details)
104: R118 Employee and Agent Benefits - Target Plan Asset HTML 73K
Allocation (Details)
170: R119 Employee and Agent Benefits - Contributions and HTML 75K
Estimated Future Benefit Payments (Details)
94: R120 Employee and Agent Benefits - Supplemental HTML 134K
Information, Qualified and Nonqualified Plans
(Details)
30: R121 Employee and Agent Benefits - Defined Contribution HTML 81K
and Deferred Compensation Plans (Details)
142: R122 Contingencies, Guarantees, Indemnifications and HTML 70K
Leases - Guarantees and Indemnifications (Details)
163: R123 Contingencies, Guarantees, Indemnifications and HTML 176K
Leases - Leases (Details)
95: R124 Stockholders' Equity - Common Stock Dividends and HTML 70K
Reconciliation of Outstanding Common Shares
(Details)
31: R125 Stockholders' Equity - Other Comprehensive Income HTML 138K
(Loss) (Details)
143: R126 Stockholders' Equity - AOCI and Noncontrolling HTML 141K
Interest (Details)
164: R127 Stockholders' Equity - Dividend Limitations HTML 58K
(Details)
96: R128 Fair Value Measurements - Assets and Liabilities HTML 163K
Measured at Fair Value on Recurring Basis
(Details)
29: R129 Fair Value Measurements - Changes in Level 3 Fair HTML 200K
Value Measurements (Details)
38: R130 Fair Value Measurements - Transfers (Details) HTML 90K
64: R131 Fair Value Measurements - Quantitative Information HTML 198K
for Level 3 Measurements (Details)
172: R132 Fair Value Measurements - Fair Value Option on HTML 79K
Consolidated VIEs and Equity Method Investments
(Details)
111: R133 Fair Value Measurements - Financial Instruments HTML 94K
Not Reported at Fair Value (Details)
36: R134 Statutory Insurance Financial Information HTML 65K
(Details)
62: R135 Segment Information - Reconciliation of Segment HTML 64K
Assets to Consolidated (Details)
171: R136 Segment Information - Reconciliation of Segment HTML 124K
Operating Revenues and Earnings to Consolidated
(Details)
110: R137 Segment Information - Net Realized Capital Gains HTML 75K
(Losses) (Details)
39: R138 Segment Information - Income Tax Expense by HTML 81K
Segment (Details)
58: R139 Segment Information - Depreciation and HTML 65K
Amortization Expense by Segment (Details)
21: R140 Revenues from Contracts with Customers - HTML 93K
Disaggregation by Segment (Details)
93: R141 Revenues from Contracts with Customers - HTML 151K
Disaggregation within Segments (Details)
146: R142 Revenues from Contracts with Customers - Contract HTML 60K
Costs (Details)
129: R143 Stock-Based Compensation Plans - Stock-Based HTML 76K
Awards (Details)
18: R144 Stock-Based Compensation Plans - Nonqualified HTML 101K
Stock Options, Activity (Details)
90: R145 Stock-Based Compensation Plans - Nonqualified HTML 82K
Stock Options, Range of Exercise Prices (Details)
144: R146 Stock-Based Compensation Plans - Nonqualified HTML 78K
Stock Options, Assumptions and Other Disclosures
(Details)
128: R147 Stock-Based Compensation Plans - Performance Share HTML 106K
Awards and Restricted Stock Units (Details)
24: R148 Stock-Based Compensation Plans - Employee Stock HTML 69K
Purchase Plan (Details)
84: R149 Earnings Per Common Share (Details) HTML 100K
71: R150 Quarterly Results of Operations (Unaudited) HTML 82K
(Details)
54: R151 Condensed Consolidating Financial Information - HTML 240K
Guarantor, Statements of Financial Position
(Details)
112: R152 Condensed Consolidating Financial Information - HTML 204K
Guarantor, Statements of Operations (Details)
179: R153 Condensed Consolidating Financial Information - HTML 178K
Guarantor, Statements of Cash Flows (Details)
74: R154 Condensed Consolidating Financial Information - HTML 234K
Shelf Registration Guarantor, Statements of
Financial Position (Details)
57: R155 Condensed Consolidating Financial Information - HTML 193K
Shelf Registration Guarantor, Statements of
Operations (Details)
113: R156 Condensed Consolidating Financial Information - HTML 172K
Shelf Registration Guarantor, Statements of Cash
Flows (Details)
180: R157 Schedule I - Summary of Investments - Other Than HTML 120K
Investments in Related Parties (Details)
78: R158 Schedule II - Condensed Financial Information of HTML 131K
Registrant (Parent Only) - Statements of Financial
Position (Details)
52: R159 Schedule II - Condensed Financial Information of HTML 68K
Registrant (Parent Only) - Statements of Financial
Position - Parenthetical (Details)
132: R160 Schedule II - Condensed Financial Information of HTML 98K
Registrant (Parent Only) - Statements of
Operations (Details)
153: R161 Schedule II - Condensed Financial Information of HTML 149K
Registrant (Parent Only) - Statements of Cash
Flows (Details)
82: R162 Schedule II - Condensed Financial Information of HTML 62K
Registrant (Parent Only) - Financial Statement
Footnotes (Details)
15: R163 Schedule III - Supplementary Insurance Information HTML 100K
(Details)
135: R164 Schedule IV - Reinsurance (Details) HTML 86K
60: XML IDEA XML File -- Filing Summary XML 357K
98: XML XBRL Instance -- pfg-20191231x10k0da4e5_htm XML 30.42M
120: EXCEL IDEA Workbook of Financial Reports XLSX 360K
11: EX-101.CAL XBRL Calculations -- pfg-20191231_cal XML 715K
12: EX-101.DEF XBRL Definitions -- pfg-20191231_def XML 2.55M
13: EX-101.LAB XBRL Labels -- pfg-20191231_lab XML 4.68M
14: EX-101.PRE XBRL Presentations -- pfg-20191231_pre XML 3.74M
10: EX-101.SCH XBRL Schema -- pfg-20191231 XSD 622K
134: JSON XBRL Instance as JSON Data -- MetaLinks 1,024± 1.77M
46: ZIP XBRL Zipped Folder -- 0001104659-20-021174-xbrl Zip 1.51M
| pfg_Ex31_1 |
Exhibit 31.1
CERTIFICATIONS
I, Daniel J. Houston, certify that:
1. I have reviewed this annual report on Form 10-K of Principal Financial Group, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
5. The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.
Date: February 14, 2020
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Chairman, President and Chief Executive Officer |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
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| Filed on: | 2/14/20 | SC 13G, SC 13G/A | ||
| For Period end: | 12/31/19 | 11-K, 13F-HR, 4 | ||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/20/24 Principal Financial Group Inc. 10-K 12/31/23 227:87M Toppan Merrill/FA 2/16/23 Principal Financial Group Inc. 10-K 12/31/22 180:64M Toppan Merrill/FA 2/11/22 Principal Financial Group Inc. 10-K 12/31/21 173:64M Toppan Merrill/FA 2/12/21 Principal Financial Group Inc. 10-K 12/31/20 180:73M Toppan Merrill/FA 8/04/20 Principal Financial Group Inc. 424B5 1:546K Toppan Merrill-FA 8/03/20 Principal Financial Group Inc. 424B5 1:541K Toppan Merrill-FA |