Principal Financial officer plans $6.1M stock sale

PFG executive Deanna Strable-Soethout filed a Rule 144 notice to sell 55,140 shares tied to a stock option exercise, following earlier 10b5-1 sales in June 2026.

Rhea-AI Filing Summary

PRINCIPAL FINANCIAL GROUP, INC. (PFG) officer Deanna Strable-Soethout filed a notice of proposed sale under Rule 144 for 55,140 shares of Common Stock, with a stated aggregate market value of $6,137,633.40, as of September 3, 2026, with Morgan Stanley Smith Barney LLC as broker.

The shares are to be sold on September 3, 2026 in connection with an exercise of stock options for cash. The filing also lists prior Rule 10b5-1 sales in the past three months totaling 49,475 shares on June 11 and June 12, 2026, for aggregate proceeds of $5,571,483.11.

Key Figures

Shares proposed to be sold: 55,140 shares Aggregate market value of proposed sale: $6,137,633.40 10b5-1 sale on June 12, 2026: 30,708 shares for $3,395,927.09 +3 more

6 metrics

Shares proposed to be sold 55,140 shares Common Stock under Rule 144, as of September 3, 2026

Aggregate market value of proposed sale $6,137,633.40 55,140 PFG common shares under Rule 144

10b5-1 sale on June 12, 2026 30,708 shares for $3,395,927.09 Common Stock sold under a 10b5-1 plan

10b5-1 sale on June 11, 2026 19,767 shares for $2,175,556.02 Common Stock sold under a 10b5-1 plan

Total shares sold in past 3 months 49,475 shares Sum of June 11 and June 12, 2026 10b5-1 sales

Aggregate value of past 3 months’ sales $5,571,483.11 Total proceeds from June 11 and June 12, 2026 10b5-1 sales

Key Terms

Rule 144, 10b5-1, Exercise of Stock Options, Form 144

4 terms

Rule 144 regulatory

"Name of Person for Whose Account the Securities are To Be Sold"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 regulatory

"10b5-1 Sales for DEANNA STRABLE-SOETHOUT 711 High Street"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Exercise of Stock Options financial

"Common | 09/03/2026 | Exercise of Stock Options | Issuer"

Form 144 regulatory

"144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

FAQ

What does the Form 144 filing disclose for PRINCIPAL FINANCIAL GROUP, INC. (PFG)?

It discloses that officer Deanna Strable-Soethout filed a Rule 144 notice to sell 55,140 shares of PFG common stock, with an aggregate market value of $6,137,633.40, in connection with a cash exercise of stock options on September 3, 2026.

How many PFG shares is Deanna Strable-Soethout planning to sell under this Form 144?

She plans to sell up to 55,140 shares of PRINCIPAL FINANCIAL GROUP, INC. common stock. The shares are associated with an exercise of stock options for cash, with the proposed sale date of September 3, 2026.

What is the aggregate market value of the PFG shares covered by this Form 144?

The filing states an aggregate market value of $6,137,633.40 for the 55,140 shares of PFG common stock proposed to be sold under Rule 144 as of September 3, 2026.

Were there recent 10b5-1 sales by Deanna Strable-Soethout in PFG stock?

Yes. The notice lists 30,708 shares sold on June 12, 2026 for $3,395,927.09 and 19,767 shares sold on June 11, 2026 for $2,175,556.02, both under 10b5-1 sales plans.

Which broker is listed for the planned PFG share sale under Form 144?

The broker listed is Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, New York, handling the proposed Rule 144 sale of 55,140 PFG common shares on the NASDAQ market.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/03/2026 - 04:48 PM Accepted by SEC EDGAR 09/03/2026 - 04:33 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001278726
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	PRINCIPAL FINANCIAL GROUP, INC
SEC File Number	001-16725
Address of Issuer	711 High Street Des Moines IOWA 50392
Phone	5152475111
Name of Person for Whose Account the Securities are To Be Sold	DEANNA STRABLE-SOETHOUT
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	55140	6137633.40	214104641	09/03/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	09/03/2026	Exercise of Stock Options	Issuer			55140	09/03/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for DEANNA STRABLE-SOETHOUT 711 High Street Des Moines IA 50392	Common	06/12/2026	30708	3395927.09
10b5-1 Sales for DEANNA STRABLE-SOETHOUT 711 High Street Des Moines IA 50392	Common	06/11/2026	19767	2175556.02

144: Remarks and Signature

Remarks
Date of Notice	09/03/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	02/28/2024
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Deanna Strable-Soethout
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)