SEC Form SC 13G/A filed by Principal Financial Group Inc (Amendment)
$PFG
Accident &Health Insurance
Finance
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No.
01)*
PRINCIPAL FINANCIAL GROUP, INC.
(Name of Issuer)
Common Stock
74251V102
December 31, 2023
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
⌧
Rule 13d-1(b)
□
Rule 13d-1(c)
□
Rule 13d-1(d)
*
The remainder of this cover page shall be filled out for a reporting person’s
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The
information required in the remainder of this cover page shall not be deemed to
be “filed” for the purpose of Section 18 of the Securities Exchange Act of
1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
| CUSIP No. | 74251V102 |
| 1 |
NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) |
||||
| MANAGED ACCOUNT ADVISORS LLC 000000000 | |||||
| 2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
| (a) □ | |||||
| (b) ⌧ | |||||
| 3 | SEC USE ONLY | ||||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
| Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER | |||
| 0 | |||||
| 6 | SHARED VOTING POWER | ||||
| 0 | |||||
| 7 | SOLE DISPOSITIVE POWER | ||||
| 8,051,105 | |||||
| 8 | SHARED DISPOSITIVE POWER | ||||
| 0 | |||||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
| 8,051,105 | |||||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
| □ | |||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
| 3.4 % | |||||
| 12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
| IA | |||||
FOOTNOTES | |||||
Item 1.
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(a)
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Name of Issuer
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PRINCIPAL FINANCIAL GROUP, INC.
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(b)
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Address of Issuer’s Principal Executive Offices
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711 HIGH STREET
DES MOINES, IA 50392 |
Item 2.
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(a)
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Name of Person Filing
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MANAGED ACCOUNT ADVISORS LLC
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(b)
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Address of Principal Business Office or, if none, Residence
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101 HUDSON STREET
9TH FLOOR JERSEY CITY, NJ 07302 |
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(c)
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Citizenship
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Delaware
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(d)
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Title of Class of Securities
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Common Stock
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(e)
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CUSIP Number
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74251V102
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c),
check whether the person filing is a:
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(a)
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□
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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□
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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□
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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□
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
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(e)
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⌧
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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□
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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□
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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□
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
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(k)
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A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
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Item
4.
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Ownership.
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Provide
the following information regarding the aggregate number and percentage of the
class of securities of the issuer identified in Item 1.
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(a)
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Amount beneficially owned:
8,051,105
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(b)
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Percent of class: 3.4 %
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
0
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(ii)
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Shared power to vote or to direct the vote:
0
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(iii)
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Sole power to dispose or to direct the disposition of:
8,051,105
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(iv)
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Shared power to dispose or to direct the disposition of:
0
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Item 5.
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Ownership of Five Percent or Less of a Class
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If
this statement is being filed to report the fact that as of the date hereof the
reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following
⌧.
Ownership is 3.4%
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not Applicable
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Item 7.
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Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported
on By the Parent Holding Company
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Not Applicable
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Item 8.
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Identification and Classification of Members of the Group
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Not Applicable
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Item 9.
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Notice of Dissolution of Group
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Not Applicable
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Item 10.
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Certification
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| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that
the information set forth in this statement is true, complete and correct.
| MANAGED ACCOUNT ADVISORS LLC | |||
|
Date:
February 7, 2024
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By:
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/s/ Carlos A. Torres | |
| Carlos A. Torres | |||
| Title: Carlos A. Torres, Authorized Signatory | |||
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Footnotes:
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Attention:
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Intentional
misstatements or omissions of fact constitute Federal criminal violations (See
18 U.S.C. 1001)
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