Principal Financial director awarded 669 RSUs

Principal Financial Group director Jocelyn Carter received an equity grant in the form of restricted stock units.

Rhea-AI Filing Summary

Principal Financial Group director Jocelyn Carter received an equity grant in the form of restricted stock units. The Form 4 reports an acquisition of 669 shares of Common Stock at no cash cost to her, described as a grant, award, or other acquisition. After this award, her direct holdings total 91,331 shares of Principal Financial Group common stock.

Insider Trade Summary

Grant/Award: 669 shares

Grant/Award 1 txn

Insider Carter Miller Jocelyn

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	669	$0.00	$0.00

Holdings After Transaction: Common Stock — 91,331 shares (Direct)

Footnotes (1)

1. F1. Grant of restricted stock units.

Key Figures

Equity grant size: 669 shares Holdings after transaction: 91,331 shares Grant price per share: $0.00 per share

3 metrics

Equity grant size 669 shares Grant of restricted stock units on Common Stock

Holdings after transaction 91,331 shares Directly held Principal Financial Group common stock after award

Grant price per share $0.00 per share Reported transaction price for the restricted stock unit grant

Key Terms

restricted stock units, Common Stock, Grant, award, or other acquisition

3 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.

Common Stock financial

"security_title: "Common Stock""

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.

Grant, award, or other acquisition financial

"transaction_code_description: "Grant, award, or other acquisition""

FAQ

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

What insider transaction did Principal Financial Group (PFG) report for Jocelyn Carter?

Principal Financial Group reported that director Jocelyn Carter received a grant of 669 restricted stock units as equity compensation. The Form 4 classifies this as a grant, award, or other acquisition rather than an open-market purchase or sale.

How many Principal Financial Group (PFG) shares does Jocelyn Carter hold after this Form 4?

After the reported grant, Jocelyn Carter directly holds 91,331 shares of Principal Financial Group common stock. This total reflects her position following the acquisition of 669 shares through the restricted stock unit award disclosed in the filing.

Was Jocelyn Carter’s Principal Financial Group (PFG) award an open-market purchase or sale?

The transaction was not an open-market trade. It is coded as a grant, award, or other acquisition at a price of $0.00 per share, indicating equity compensation rather than a voluntary buy or sell on the open market.

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

The footnote states that the transaction is a grant of restricted stock units. This means Carter received equity that typically vests over time, aligning her compensation with Principal Financial Group’s stock performance instead of receiving immediate cash.

Does the Jocelyn Carter Form 4 for Principal Financial Group (PFG) involve derivative securities?

The filing does not report any derivative security transactions. It lists only a non-derivative position in Principal Financial Group common stock, reflecting the 669-share award and the resulting 91,331 directly held shares after the transaction.

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

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 06/30/2026 - 01:42 PM Learn about SEC filing dates

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^*

Carter Miller Jocelyn

(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)
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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/26/2026		A		669	A	$0(1)	91,331	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Grant of restricted stock units.

	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)