Principal Financial Group grants 538 stock units

The reported post-grant position includes 77,279 directly held shares and 11 shares in a revocable trust.

Rhea-AI Filing Summary

Principal Financial Group Inc. (PFG) reported that President - RIS Christopher J. Littlefield received a grant of 538 restricted stock units on September 25, 2026. His reported direct common stock holdings after the grant were 77,279 shares, including an accumulated total of 3,286 shares acquired pursuant to the company’s Employee Stock Purchase Plan. The filing separately lists 11 shares held in a revocable trust.

Insider Trade Summary

Grant/Award: 538 shares

Grant/Award 2 txns

Insider LITTLEFIELD CHRISTOPHER J

Role President - RIS

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	538	$0.00	$0.00
holding	Common Stock F3	--	--	--

Holdings After Transaction: Common Stock — 77,279 shares (Direct); Common Stock — 11 shares (Indirect, By Trust)

Footnotes (3)

1. F1. Grant of restricted stock units.
2. F2. Includes an accumulative total of 3,286 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
3. F3. Held in revocable trust.

Key Figures

Restricted stock units granted: 538 shares Direct common stock holdings: 77,279 shares Shares held in revocable trust: 11 shares +1 more

4 metrics

Restricted stock units granted 538 shares September 25, 2026

Direct common stock holdings 77,279 shares Following the grant on September 25, 2026

Shares held in revocable trust 11 shares Reported after the September 25, 2026 transaction

Employee Stock Purchase Plan shares included 3,286 shares Accumulated total included in the reported direct holdings

Key Terms

restricted stock units, Employee Stock Purchase Plan, revocable trust

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.

Employee Stock Purchase Plan financial

"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.

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.

FAQ

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

How many shares did PFG’s President - RIS receive?

President - RIS Christopher J. Littlefield received 538 restricted stock units on September 25, 2026. His reported direct common stock holdings after the grant were 77,279 shares, including an accumulated total of 3,286 shares acquired pursuant to Principal Financial Group Inc.’s Employee Stock Purchase Plan. The filing separately lists 11 shares held in a revocable trust.

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

Available on EDGAR 09/29/2026 - 04:38 PM Accepted by SEC EDGAR 09/29/2026 - 04:37 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^*

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)
09/25/2026

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	09/25/2026		A		538	A	$0(1)	77,279(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)
				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 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	09/29/2026
	** 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)