Morgan Stanley Smith Barney files Form 144 listing PFG share sales

Morgan Stanley Smith Barney LLC reports proposed sales of Company PFG common shares by an affiliate under a Form 144 notice.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC reports proposed sales of Company PFG common shares by an affiliate under a Form 144 notice. The filing lists recent sales of 9,183, 4,737 and 1,080 shares on 05/01/2026, 04/30/2026 and 04/29/2026, respectively, with earlier restricted stock vesting entries of 2,921 and 290 shares in 2025–2026.

Insights

Corporate Governance Analyst

Routine broker-affiliate disposals reported; transaction dates and sizes are explicit.

The filing lists multiple small-to-midsize dispositions by an affiliated broker on specific dates: 9,183 shares on 05/01/2026, 4,737 on 04/30/2026, and 1,080 on 04/29/2026. These are ordinary Form 144 sale notices across consecutive dates.

Future filings may clarify whether these were block trades, open-market sales, or otherwise; the filing shows restricted stock vesting events of 2,921 and 290 shares that appear separately as compensation-related vesting.

Key Figures

Sale on 05/01/2026: 9,183 shares Proceeds for 05/01/2026 sale: $929,891.70 Sale on 04/30/2026: 4,737 shares +5 more

8 metrics

Sale on 05/01/2026 9,183 shares sale date <date>05/01/2026</date>

Proceeds for 05/01/2026 sale $929,891.70 proceeds reported for 9,183 shares

Sale on 04/30/2026 4,737 shares sale date <date>04/30/2026</date>

Proceeds for 04/30/2026 sale $478,481.05 proceeds reported for 4,737 shares

Sale on 04/29/2026 1,080 shares sale date <date>04/29/2026</date>

Proceeds for 04/29/2026 sale $109,081.62 proceeds reported for 1,080 shares

Restricted stock vesting (2025) 2,921 shares vesting date <date>02/28/2025</date>

Restricted stock vesting (2026) 290 shares vesting date <date>02/23/2026</date>

Key Terms

Form 144, Restricted stock vesting, Proceeds reported

3 terms

Form 144 regulatory

"lists proposed sales of securities by an affiliate under Section 144"

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.

Restricted stock vesting financial

"Restricted stock vesting under a registered plan (02/28/2025 and 02/23/2026)"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

Proceeds reported financial

"dollar amounts paired with share counts for each sale date"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What sales does the PFG Form 144 list?

The Form 144 lists sales of 9,183, 4,737, and 1,080 common shares on 05/01/2026, 04/30/2026, and 04/29/2026, respectively. Each sale line includes the share count and the dollar value reported for that trade.

Who is the filer on the PFG Form 144?

The filer is identified as Morgan Stanley Smith Barney LLC with an address at 1 New York Plaza, New York. The filing shows the broker-affiliate as the reporting party for the listed share dispositions.

Does the filing show any vesting or restricted stock events for PFG?

Yes. The filing records restricted stock vesting under a registered plan of 2,921 shares on 02/28/2025 and 290 shares on 02/23/2026, each listed with the vesting date and service-rendered caption.

Are dollar values included for the reported PFG trades?

Yes. The filing pairs share counts with reported proceeds: $929,891.70 for 9,183 shares, $478,481.05 for 4,737 shares, and $109,081.62 for 1,080 shares, each shown next to the corresponding trade date.

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

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Accepted by SEC EDGAR 05/20/2026 - 04:15 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	0001871693
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	(515) 247-5111
Name of Person for Whose Account the Securities are To Be Sold	WEE YEE CHEONG
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	3211	330922.45	216012384	05/20/2026	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	02/28/2025	Restricted stock vesting under a registered plan	Issuer			2921	02/28/2025	Services Rendered
Common	02/23/2026	Restricted stock vesting under a registered plan	Issuer			290	02/23/2026	Services Rendered

* 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
WEE YEE CHEONG 711 High Street Des Moines IA 50392	Common	05/01/2026	9183	929891.70
WEE YEE CHEONG 711 High Street Des Moines IA 50392	Common	04/30/2026	4737	478481.05
WEE YEE CHEONG 711 High Street Des Moines IA 50392	Common	04/29/2026	1080	109081.62

144: Remarks and Signature

Remarks
Date of Notice	05/20/2026
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/ Wee Yee Cheong
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)