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Table of Contents No ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Delaware ( State or other jurisdiction of incorporation or organization ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K to Commission file number 1-16725 PRINCIPAL FINANCIAL GROUP , INC . ( Exact name of Registrant as specified in its charter ) 711 High Street , Des Moines , Iowa 50392 ( Address of principal executive offices ) ( 515 ) 247-5111 ( Registrant's telephone number , including area code ) Trading symbol ( s ) PFG Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class Name of each exchange on which registered Nasdaq Global Select Market Common Stock , par value $ 0.01 Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes > Registrant . 42-1520346 ( I.R.S. Employer Identification Number ) Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Exchange Act . Yes No Indicate by check mark whether the Registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the Registrant was required to file such reports ) and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the Registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , smaller reporting company or an emerging growth company . See the definitions of " large accelerated filer " , " accelerated filer , " " smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer - Accelerated filer Non - accelerated Smaller reporting company Emerging growth company filer 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 . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act . ) Yes No As of January 29 , 2021 , there were outstanding 272,613,683 shares of Common Stock , $ 0.01 par value per share of the The aggregate market value of the shares of the Registrant's common equity held by non - affiliates of the Registrant was approximately $ 11.4 billion based on the closing price of $ 41.54 per share of Common Stock on June 30 , 2020 . Documents Incorporated by Reference The information required to be furnished pursuant to Part III of this Form 10 - K is set forth in , and is hereby incorporated by reference herein from , the Registrant's definitive proxy statement for the annual meeting of stockholders to be held on May 18 , 2021 , to be filed by the Registrant with the United States Securities and Exchange Commission pursuant to Regulation 14A not later than 120 days after the year ended December 31 , 2020 .