Principal Financial director granted 203 shares

PRINCIPAL FINANCIAL GROUP INC director Jonathan Auerbach received an equity award.

Accepted by SEC EDGAR 03/31/2026 - 04:15 PM EDT

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Form Type

Rhea-AI Filing Summary

PRINCIPAL FINANCIAL GROUP INC director Jonathan Auerbach received an equity award. On March 27, 2026, he acquired 203 shares of Common Stock at $0.00 per share through a grant classified as restricted stock units. Following this award, his directly held position increased to 20,611 shares of Common Stock, indicating a routine, compensation-related addition to his stake rather than an open-market purchase or sale.

Insider Trade Summary

Grant/Award: 203 shares

Grant/Award 1 txn

Insider Auerbach Jonathan

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	203	$0.00	$0.00

Holdings After Transaction: Common Stock — 20,611 shares (Direct)

Holdings Before and After: Common Stock, 20,408 to 20,611 shares (Direct)

Footnotes (1)

F1. Grant of restricted stock units.

Key Figures

Equity award: 203 shares Grant price: $0.00 per share Shares after transaction: 20,611 shares

3 metrics

Equity award 203 shares Grant of Common Stock on March 27, 2026

Grant price $0.00 per share Restricted stock unit grant, non-cash compensation

Shares after transaction 20,611 shares Directly held Common Stock following the grant

Key Terms

restricted stock units, Form 4, equity grant, Common Stock

4 terms

restricted stock units financial

"The footnote explains that the transaction is a 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.

Form 4 regulatory

"What did PFG director Jonathan Auerbach report in this Form 4 filing?"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

equity grant financial

"Jonathan Auerbach reported receiving 203 shares of PRINCIPAL FINANCIAL GROUP INC Common Stock as an equity grant."

Common Stock financial

"he acquired 203 shares of Common Stock at $0.00 per share"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

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

What did PFG director Jonathan Auerbach report in this Form 4 filing?

Jonathan Auerbach reported receiving 203 shares of PRINCIPAL FINANCIAL GROUP INC Common Stock as an equity grant. The award, described as restricted stock units, is a compensation-related acquisition rather than an open-market trade, and increased his directly held stake to 20,611 shares.

Was the PFG Form 4 transaction a market purchase or sale of shares?

No, the Form 4 shows a grant classified as restricted stock units, not a market trade. Auerbach acquired 203 Common Stock shares at a price of $0.00 per share as part of his compensation, rather than buying or selling shares on the open market.

How many PFG shares does Jonathan Auerbach hold after this reported grant?

After the grant, Auerbach holds 20,611 shares of PRINCIPAL FINANCIAL GROUP INC Common Stock directly. The 203-share restricted stock unit award modestly increases his ownership position and reflects ongoing equity-based compensation rather than a large shift in his holdings.

What does the restricted stock unit footnote mean in the PFG Form 4?

The footnote explains that the transaction is a grant of restricted stock units. This means the 203-share award is part of equity compensation that typically vests over time, aligning the director’s interests with shareholders instead of representing an immediate cash transaction in the market.

Does this PFG Form 4 indicate any selling activity by the director?

No, the filing shows only an acquisition coded as a grant, award, or other acquisition. There are no reported sales or dispositions; the transaction direction is acquisition, increasing Auerbach’s directly held PFG Common Stock to a total of 20,611 shares post-transaction.

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

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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^*

Auerbach Jonathan

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/27/2026

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	03/27/2026		A		203	A	$0⁽¹⁾	20,611	D

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.

	Chris Agbe-Davies as Attorney-in-Fact	03/31/2026
	** 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