PFG executive receives 707-share stock grant

Principal Financial Group executive Amy Christine Friedrich received a compensation-related equity grant.

Accepted by SEC EDGAR 03/31/2026 - 04:09 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Principal Financial Group executive Amy Christine Friedrich received a compensation-related equity grant. On March 27, 2026, she acquired 707 shares of Common Stock as a grant of restricted stock units, with no cash paid per share.

Following the grant, she directly held 108,239 Common shares, which the disclosure notes includes 3,306 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. She also indirectly held 4,096 Common shares through a 401(k) plan.

Insider Trade Summary

Grant/Award: 707 shares

Grant/Award 1 txn

Insider Friedrich Amy Christine

Role President - Benefits & Protect

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	707	$0.00	$0.00
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 108,239 shares (Direct); Common Stock — 4,096 shares (Indirect, By 401(k) plan)

Holdings Before and After: Common Stock, 107,532 to 108,239 shares (Direct)

Footnotes (2)

1. F1. Grant of restricted stock units.
2. F2. Includes 3,306 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Key Figures

RSU grant size: 707 shares Direct holdings after grant: 108,239 shares Indirect 401(k) holdings: 4,096 shares +2 more

5 metrics

RSU grant size 707 shares Grant of restricted stock units on March 27, 2026

Direct holdings after grant 108,239 shares Common Stock directly held following the RSU grant

Indirect 401(k) holdings 4,096 shares Common Stock held indirectly through a 401(k) plan

ESPP-acquired shares included 3,306 shares Included within direct holdings, acquired via Employee Stock Purchase Plan

Grant price per share $0.00 per share Compensation-related award, no cash paid for granted shares

Key Terms

restricted stock units, Employee Stock Purchase Plan, indirect, 401(k) plan

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.

Employee Stock Purchase Plan financial

"Includes 3,306 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

indirect financial

"total_shares_following_transaction": "4096.0000", "direct_or_indirect": "I", "nature_of_ownership": "By 401(k) plan""

401(k) plan financial

"nature_of_ownership": "By 401(k) plan""

A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.

FAQ

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

What did PFG executive Amy Christine Friedrich report in this Form 4?

Amy Christine Friedrich reported receiving 707 shares of Principal Financial Group Common Stock as a grant of restricted stock units. The grant is compensation-related, with no cash paid per share, and increases her reported direct equity holdings in the company.

How many PFG shares did Amy Christine Friedrich receive in the latest equity grant?

She received 707 shares of Principal Financial Group Common Stock through a grant of restricted stock units. This award is part of her compensation and does not represent an open-market stock purchase or sale, but rather an equity-based incentive from the company.

What are Amy Christine Friedrich’s total direct PFG share holdings after this transaction?

After the grant, she directly held 108,239 shares of Principal Financial Group Common Stock. This figure includes 3,306 shares acquired via the company’s Employee Stock Purchase Plan, reflecting accumulated ownership from both compensation and employee share purchase programs.

Does Amy Christine Friedrich hold PFG shares indirectly through retirement plans?

Yes. The filing shows 4,096 shares of Principal Financial Group Common Stock held indirectly through a 401(k) plan. These retirement-plan holdings are reported separately from her direct holdings and contribute to her overall economic exposure to the company’s stock.

Is the reported PFG stock transaction an open-market buy or sell?

No. The 707-share transaction is coded as a grant or award, specifically a grant of restricted stock units. This means the shares were awarded as compensation, rather than purchased or sold in the open market by the executive.

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^*

Friedrich Amy Christine

(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 - Benefits & Protect

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/27/2026		A		707	A	$0(1)	108,239(2)	D
Common Stock								4,096	I	By 401(k) plan

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Grant of restricted stock units.

2. Includes 3,306 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

	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)