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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 7/29/22 Principal Financial Group Inc. 8-K:7 7/29/22 10:185K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 28K 5: R1 Cover HTML 46K 8: XML IDEA XML File -- Filing Summary XML 11K 6: XML XBRL Instance -- tm2222072d1_8k_htm XML 14K 7: EXCEL IDEA Workbook of Financial Reports XLSX 8K 3: EX-101.LAB XBRL Labels -- pfg-20220729_lab XML 96K 4: EX-101.PRE XBRL Presentations -- pfg-20220729_pre XML 64K 2: EX-101.SCH XBRL Schema -- pfg-20220729 XSD 12K 9: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 10: ZIP XBRL Zipped Folder -- 0001104659-22-083757-xbrl Zip 15K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report: i July 29, 2022
(Date of earliest event reported)
i PRINCIPAL FINANCIAL GROUP, INC.
(Exact name of registrant as specified in its charter)
| i Delaware | i 1-16725 | i 42-1520346 |
| (State or other jurisdiction | (Commission file number) | (I.R.S. Employer |
| of incorporation) | Identification Number) |
i 711 High Street, i Des Moines, i Iowa i 50392
(Address of principal executive offices)
(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:
| i ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ¨ | 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). |
| ¨ | 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 | ||
| i Common Stock | i PFG | i Nasdaq Global Select Market |
| Item 7.01 | Regulation 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, 2022 when that document is posted to the Company's investor relations web site on or about August 8, 2022.
As of June 30, 2022, the assets under management by asset manager were $469.8 billion for Principal Global Investors and $161.9 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.
| · | Effective 2Q22, a net $19.9 billion of PGI Managed AUM was transferred to third parties per the transaction to reinsure our in-force U.S. retail fixed annuity and universal life insurance with secondary guarantee blocks of business. |
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.
C:
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.
| PRINCIPAL FINANCIAL GROUP, INC. |
| By: | /s/ Humphrey Lee | |
| Name: | Humphrey Lee | |
| Title: | Vice President – Investor Relations |
Date: July 29, 2022
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 8/8/22 | None on these Dates | |||
| Filed as of / For Period end: | 7/29/22 | |||
| Filed on: | 7/28/22 | |||
| 6/30/22 | ||||
| List all Filings | ||||