Was the 559-share award to the PFG executive a purchase or a grant?

The 559 shares reported for Christopher Littlefield were granted as restricted stock units. Footnotes describe the transaction as a "Grant of restricted stock units," indicating a compensation award rather than an open-market stock purchase.

Principal Financial (PFG) president receives 559-share restricted stock grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Principal Financial Group executive reports new stock award. President - RIS Christopher J. Littlefield received a grant of 559 restricted stock units of Common Stock on June 26, 2026 at no cash price. Following this award, he holds 76,741 Common Stock shares directly, including 3,286 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. He also reports 11 Common Stock shares held indirectly in a revocable trust.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider LITTLEFIELD CHRISTOPHER J

Role President - RIS

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	559	$0.00	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 76,741 shares (Direct, null); Common Stock — 11 shares (Indirect, By Trust)

Footnotes (1)

Grant of restricted stock units. Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan. Held in revocable trust.

Key Figures

RSU grant size: 559 restricted stock units Direct holdings after grant: 76,741 shares Indirect holdings: 11 shares +2 more

5 metrics

RSU grant size 559 restricted stock units Grant to Christopher J. Littlefield on June 26, 2026

Direct holdings after grant 76,741 shares Common Stock directly held by Littlefield following the award

Indirect holdings 11 shares Common Stock held indirectly in a revocable trust

ESPP-acquired shares 3,286 shares Accumulated via Principal Financial Group, Inc. Employee Stock Purchase Plan

Grant price per share $0.0000 per share Reported price for the 559-share RSU grant

Key Terms

restricted stock units, Principal Financial Group, Inc. Employee Stock Purchase Plan, revocable trust, indirect ownership

4 terms

restricted stock units financial

"Grant of restricted stock units."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Principal Financial Group, Inc. Employee Stock Purchase Plan financial

"Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan."

revocable trust financial

"Held in revocable trust."

A revocable trust is a legal arrangement where the person who creates it keeps control and can change or cancel the trust at any time, while naming who will manage and receive the assets later. Think of it like a flexible folder for your investments and property that can be relabeled or reworked as circumstances change; it matters to investors because it determines how ownership is recorded, how easily assets transfer on incapacity or death, and whether holdings bypass public probate proceedings.

indirect ownership financial

"Common Stock ... indirect ... By Trust"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 06/30/2026 - 01:38 PM Accepted by SEC EDGAR 06/30/2026 - 01:37 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

LITTLEFIELD CHRISTOPHER J

(Last)

(First)

(Middle)

711 HIGH STREET

(Street)

DES MOINES

IOWA

50392

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
PRINCIPAL FINANCIAL GROUP INC [ PFG ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	President - RIS

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/26/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	06/26/2026		A		559	A	$0⁽¹⁾	76,741⁽²⁾	D
Common Stock								11⁽³⁾	I	By Trust

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Grant of restricted stock units.

2. Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

3. Held in revocable trust.

	Chris Agbe-Davies as Attorney-in-Fact	06/30/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did PFG executive Christopher Littlefield report in this Form 4?

Christopher Littlefield reported receiving a grant of 559 restricted stock units of Common Stock. This is a compensation-related award, not an open-market purchase or sale, and it increases his reported equity exposure to Principal Financial Group Inc.

How many Principal Financial Group (PFG) shares does Christopher Littlefield hold after this grant?

After the grant, Christopher Littlefield holds 76,741 shares of Common Stock directly. This total includes 3,286 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan, as well as the newly granted restricted stock units.

Does Christopher Littlefield have any indirect ownership of PFG shares?

Yes. In addition to his direct holdings, Christopher Littlefield reports 11 shares of Principal Financial Group Common Stock held indirectly. These shares are held in a revocable trust, reflecting indirect ownership through that trust structure.

What role does the Employee Stock Purchase Plan play in Littlefield’s PFG holdings?

A footnote states that 3,286 of Christopher Littlefield’s directly held shares were acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. This plan allows employees to accumulate company stock over time through structured purchase programs.