Principal Financial Group (PFG)

FINANCE: INSURANCE
SIC: ACCIDENT & HEALTH INSURANCE

711 HIGH STREET DES MOINES, IA 50392

Principal helps people and companies around the world build, protect and advance their financial well-being through retirement, insurance and asset management solutions that fit their lives. Its employees are passionate about helping clients of all income and portfolio sizes achieve their goals - offering innovative ideas, investment expertise and real-life solutions to make financial progress possible.

Data as of 2021-06-19 11:05:38 -0400
Market Cap16.25 Billion Shares Outstanding272.012 Million Avg 30-day Volume1.302 Million
P/E Ratio10.00617 Dividend Yield3.779 EPS5.88
Price/Sales1.2 Debt to Equity19.19 EBITDA2.231 Billion
Price to Book Value1.05 Forward PE9.83 Enterprise Value16.25 Billion
Total Cash Current Debt277.843 Billion Gross Profit13.53 Billion
BETA1.20606 52-week High/Low67.34 / 35.93 Next Earnings Date2021-07-27 Price to Cash FLow (P/CF) 33.5154
Data provided by IEX Cloud
View SEC Filings from PFG instead.
Q1 2021 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 3 2 50.0% 1 (0.06%) 0 (0.0%)
Funds Holding: 614 597 2.85% 111 (6.51%) 111 (6.44%) 0.0%
13F shares: 187.073 Million 190.648 Million -1.88% 27.895 Million 29.944 Million -6.84%
% Ownership 68.6218 69.3951 -1.11% 10.2325 10.8993 -6.12%
New Positions: 88 107 -17.76% 20 21 -4.76%
Increased Positions 197 181 8.84% 37 33 12.12%
Closed Positions 62 53 16.98% 19 18 5.56%
Reduced Positions 209 207 0.97% 41 47 -12.77%
Total Calls 430.72 Thousand 315.94 Thousand 36.33% 250.6 Thousand 90.7 Thousand 176.3%
Total Puts 348.831 Thousand 231.27 Thousand 50.83% 224.1 Thousand 105.4 Thousand 112.62%
PUT/CALL Ratio 0.81 0.73 10.96% 0.89 1.16 -23.28%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding PFG (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding PFG BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

38.7 Thousand total shares from 2 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

DAN MICHAEL T

  • Director
12,418 2021-05-28 7

HOCHSCHILD ROGER C

  • Director
16,663 2021-05-28 7

MILLS SCOTT

  • Director
10,321 2021-05-28 7

TALLETT ELIZABETH E

  • RETIRED DIRECTOR
44,432 2021-05-20 5

CARTER MILLER JOYCELYN

  • Director
64,971 2021-05-18 5

HELTON SANDRA L

  • Director
62,976 2021-05-18 5

PICKERELL BLAIR

  • Director
22,156 2021-05-18 7

NORDIN DIANE C

  • Director
15,121 2021-05-18 5

AUERBACH JONATHAN

  • Director
7,857 2021-05-18 5

RICHER CLARE STACK

  • Director
6,857 2021-05-18 5

RIVERA ALFREDO

  • Director
2,526 2021-05-18 3

BEAMS MALIZ E

  • Director
3,160 2021-05-18 3

STRABLE-SOETHOUT DEANNA D EVP & CHIEF FINANCIAL OFFICER

  • Officer
92,391 2021-05-03 9

HOUSTON DANIEL JOSEPH CHAIRMAN, PRESIDENT & CEO

  • Officer
  • Director
219,116 2021-03-26 7

SCHAAF RENEE V. PRESIDENT - RIS

  • Officer
24,232 2021-03-26 6

KAY KATHLEEN B CHIEF INFORMATION OFFICER

  • Officer
3,959 2021-03-26 5

MCCULLUM KENNETH A. SVP & CHIEF RISK OFFICER

  • Officer
32,209 2021-03-26 4

VALDES LUIS E. PRES - INT'L ASSET MGMT&ACCUM

  • Officer
119,052 2021-03-05 2

FRIEDRICH AMY CHRISTINE PRESIDENT - USIS

  • Officer
82,663 2021-03-05 5

HALTER PATRICK GREGORY PRES-PRINCIPAL GLOBAL ASSET MG

  • Officer
158,306 2021-03-05 5

LITTLEFIELD CHRISTOPHER J EVP, GENERAL COUNSEL

  • Officer
31,561 2021-03-05 2

DUNBAR TIMOTHY MARK

  • RETIRED OFFICER
58,698 2021-02-25 6

LAWLER JULIA M

  • RETIRED OFFICER
49,998 2021-02-22 8

BERNARD BETSY J

  • Director
54,068 2020-12-21 1

GELATT DANIEL

  • Director
193,824 2020-06-26 2

SHAFF KAREN E EVP, GEN'L COUNSEL, SECRETARY

  • Officer
  • 10% Owner
106,081 2020-06-26 1

SCHOLTEN GARY P EVP & CH INFO OFFICER

  • Officer
0 2020-03-27 0

EVERETT NORA MARY PRESIDENT - RIS

  • Officer
49,240 2019-03-29 0

MCCAUGHAN JAMES P PRESIDENT - GLOBAL ASSET MGMT.

  • Officer
149,329 2018-09-04 0

FERRO DENNIS H

  • Director
27,228 2018-03-29 0

ELMING GREGORY BERNARD SVP & CHIEF RISK OFFICER

  • Officer
20,843 2017-12-28 0

LILLIS TERRANCE J. EVP

  • Officer
99,759 2017-03-31 0

COSTLEY GARY E

  • Director
38,822 2016-03-25 0

ZIMPLEMAN LARRY D

  • Director
263,514 2016-03-25 0

KEYSER RICHARD L

  • Director
36,308 2015-03-27 0

MAESTRI LUCA

  • Director
12,007 2015-03-27 0

EUCHER RALPH CRAIG EVP

  • Officer
59,916 2015-02-23 0

OKEEFE MARY A SR. VP & CHIEF MKTG. OFF.

  • Officer
No longer subject to file 2014-06-27 0

MATHRANI ARJUN K

  • Director
21,654 2012-03-30 0

SORENSEN NORMAN R CHAIRMAN-PRINCIPAL INTERNAT'L

  • Officer
50,940 2012-02-27 0

LAMALE ELLEN Z SR. VP & CHIEF RISK OFFICER

  • Officer
0 2011-02-28 0

GRISWELL J BARRY

  • Director
156,465 2010-04-05 0

KERR WILLIAM T

  • Director
0 2009-12-15 0

ASCHENBRENNER JOHN E PRESIDENT - INS. & FIN. SVCS.

  • Officer
92,197 2009-12-04 0

GERSIE MICHAEL H EXECUTIVE VICE PRESIDENT

  • Officer
0 2008-12-05 0

VAUGHAN THERESE M

  • Director
5,324 2008-12-05 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

HOCHSCHILD ROGER C - Director

2021-06-02 12:40:07 -0400 2021-05-28 A 1,032 $65.39 a 16,663 direct

DAN MICHAEL T - Director

2021-06-02 12:38:23 -0400 2021-05-28 A 421 $65.39 a 12,418 direct

MILLS SCOTT - Director

2021-06-02 12:41:53 -0400 2021-05-28 A 918 $65.39 a 10,321 direct

TALLETT ELIZABETH E RETIRED DIRECTOR

2021-05-21 14:11:19 -0400 2021-05-20 S 22,800 $64.94 d 44,432 direct yes 0.1523 -0.4112 0.1523 2 -2.5434 3

RICHER CLARE STACK - Director

2021-05-20 11:52:02 -0400 2021-05-18 A 2,512 a 6,857 direct 1.0776 0.4772 1.2315 3 -1.4932 4

NORDIN DIANE C - Director

2021-05-20 11:50:04 -0400 2021-05-18 A 2,512 a 15,121 direct 1.0776 0.4772 1.2315 3 -1.4932 4

HELTON SANDRA L - Director

2021-05-20 11:47:31 -0400 2021-05-18 A 2,512 a 62,976 direct 1.0776 0.4772 1.2315 3 -1.4932 4

CARTER MILLER JOYCELYN - Director

2021-05-20 11:45:37 -0400 2021-05-18 A 2,512 a 64,971 direct 1.0776 0.4772 1.2315 3 -1.4932 4

RIVERA ALFREDO - Director

2021-05-20 11:52:48 -0400 2021-05-18 A 2,512 a 2,526 direct 1.0776 0.4772 1.2315 3 -1.4932 4

PICKERELL BLAIR - Director

2021-05-20 11:51:08 -0400 2021-05-18 A 2,512 a 22,156 direct 1.0776 0.4772 1.2315 3 -1.4932 4

HOCHSCHILD ROGER C - Director

2021-05-20 11:48:27 -0400 2021-05-18 A 2,512 a 23,526 direct 1.0776 0.4772 1.2315 3 -1.4932 4

AUERBACH JONATHAN - Director

2021-05-20 11:25:50 -0400 2021-05-18 A 2,512 a 7,857 direct 1.0776 0.4772 1.2315 3 -1.4932 4

MILLS SCOTT - Director

2021-05-20 11:49:17 -0400 2021-05-18 A 2,512 a 19,094 direct 1.0776 0.4772 1.2315 3 -1.4932 4

DAN MICHAEL T - Director

2021-05-20 11:46:41 -0400 2021-05-18 A 2,512 a 49,854 direct 1.0776 0.4772 1.2315 3 -1.4932 4

BEAMS MALIZ E - Director

2021-05-20 11:44:56 -0400 2021-05-18 A 2,512 a 3,160 direct 1.0776 0.4772 1.2315 3 -1.4932 4

STRABLE-SOETHOUT DEANNA D - Officer EVP & CHIEF FINANCIAL OFFICER

2021-05-04 15:09:56 -0400 2021-05-03 S 15,915 $65.07 d 40,716 direct yes 1.5929 0.232 0.665 3.4185 10 -1.9168 7

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 22:15:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 21:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 21:15:02 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 20:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 20:15:04 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 19:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 19:15:02 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 18:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 18:15:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 17:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 17:15:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 16:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 16:15:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 15:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 15:15:02 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 14:45:04 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 14:15:02 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 13:45:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 13:15:03 UTC -0.3606 0.4406 7600000
PRINCIPAL FINANCIAL GROUP PFG 2021-06-22 12:45:04 UTC -0.3606 0.4406 7600000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
TRANSAMERICA FUNDS- Transamerica Long/Short Strategy PFG -600.0 shares, $-31770.0 2020-01-31 N-PORT
AGF Investments Trust- AGFIQ U.S. Market Neutral Anti-Beta Fund PFG -7656.0 shares, $-459053.76 2021-03-31 N-PORT
AQR Funds- AQR Alternative Risk Premia Fund PFG -1052.0 shares, $-63077.92 2021-03-31 N-PORT

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