PFG Form 144: Sale of 3,071 Performance Units

Morgan Stanley Smith Barney LLC submitted a Form 144 to sell 3,071 common shares described as Performance Stock Units.

Accepted by SEC EDGAR 02/25/2026 - 04:29 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 to sell 3,071 common shares described as Performance Stock Units. The form notes prior 10b5-1 sales of 5,130 common shares on 12/10/2025 for $462,119.63. The proposed sale is recorded under broker details showing New York Plaza, and the securities are listed for Nasdaq disposition.

Insights

Securities Counsel

Form 144 records a broker-facilitated resale of 3,071 performance-based common units.

The filing lists 3,071 Performance Stock Units for sale through Morgan Stanley Smith Barney LLC and cites prior 10b5-1 sales of 5,130 shares on 12/10/2025 for $462,119.63.

Timing and method reference a broker and 10b5-1 plan structure; cash-flow treatment is tied to resale by the selling holder and is not further detailed in the excerpt.

FAQ

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

What does PFG's Form 144 disclose about the proposed sale?

The Form 144 discloses a proposed sale of 3,071 common shares described as Performance Stock Units through Morgan Stanley Smith Barney LLC. It also records prior 10b5-1 sales of 5,130 shares on 12/10/2025 for $462,119.63.

When were the prior 10b5-1 sales for PFG recorded and for how much?

The filing shows prior 10b5-1 sales on 12/10/2025 of 5,130 common shares for $462,119.63. Those past transactions are listed separately from the current proposed sale of 3,071 Performance Stock Units.

Who is handling the proposed resale of PFG shares in this Form 144?

The proposed resale is recorded under Morgan Stanley Smith Barney LLC with an address at 1 New York Plaza. The broker is identified as the executing intermediary for the sale of the 3,071 Performance Stock Units disclosed in the form.

Does the Form 144 indicate how proceeds will be used for PFG?

The excerpt lists the broker and share counts but does not specify use of proceeds. The filing identifies a resale through a broker and prior 10b5-1 sales; details about allocation or company receipt of proceeds are not provided in the excerpt.

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

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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	0001830834
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	KEN MCCULLUM
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	3071	291284.35	216835141	02/25/2026	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	12/31/2025	Performance Stock Units	Issuer			3071	12/31/2025	N/A

* 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 KEN MCCULLUM 711 High Street Des Moines IA 50392	Common	12/10/2025	5130	462119.63

144: Remarks and Signature

Remarks
Date of Notice	02/25/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/13/2025
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/ Kenneth A. McCullum
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)