PFG director receives 166-share equity award

Principal Financial Group director Jonathan Auerbach received a stock-based compensation award.

Rhea-AI Filing Summary

Principal Financial Group director Jonathan Auerbach received a stock-based compensation award. On June 26, 2026, he acquired 166 shares of Common Stock at no cost, described in the footnote as a grant of restricted stock units.

After this award, Auerbach directly holds 22,952 shares of Principal Financial Group stock. This type of equity grant is a routine form of non-cash compensation and does not involve any open-market buying or selling.

Insider Trade Summary

Grant/Award: 166 shares

Grant/Award 1 txn

Insider Auerbach Jonathan

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	166	$0.00	$0.00

Holdings After Transaction: Common Stock — 22,952 shares (Direct)

Footnotes (1)

1. F1. Grant of restricted stock units.

Key Figures

Shares granted: 166 shares Price per share: $0.00 per share Shares held after: 22,952 shares +1 more

4 metrics

Shares granted 166 shares Grant of restricted stock units on June 26, 2026

Price per share $0.00 per share Equity award, non-cash compensation

Shares held after 22,952 shares Direct holdings following reported transaction

Acquisition transactions 1 transaction Single grant/award acquisition reported

Key Terms

restricted stock units, Grant, award, or other acquisition, Common Stock, Form 4

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.

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

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.

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

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.

FAQ

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

What did Principal Financial Group (PFG) director Jonathan Auerbach report in this Form 4?

Jonathan Auerbach reported receiving 166 shares of Principal Financial Group Common Stock as a stock-based award. A footnote clarifies this was a grant of restricted stock units, a routine non-cash compensation item for board service.

Was Jonathan Auerbach buying or selling PFG shares in the market?

He was not trading in the open market. The Form 4 shows an acquisition coded as a grant or award, with a price of $0.00 per share, indicating stock-based compensation rather than a market purchase or sale.

How many Principal Financial Group (PFG) shares does Jonathan Auerbach hold after this transaction?

Following the award, Jonathan Auerbach directly holds 22,952 shares of Principal Financial Group Common Stock. This total includes the 166 shares linked to the June 26, 2026 restricted stock unit grant reported in the filing.

What is the size of Jonathan Auerbach’s latest equity award from Principal Financial Group?

The latest equity award is for 166 shares of Common Stock, referenced in the footnote as a grant of restricted stock units. It represents a modest addition to his existing holdings and is typical of director compensation structures.

Does this Form 4 for PFG indicate any derivative or option exercises by Jonathan Auerbach?

No derivative or option exercises are shown. The derivative section is empty, and the transaction summary lists only one acquisition classified as a grant or award, with zero derivative transactions or exercises reported in this filing.

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

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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^*

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)
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		166	A	$0(1)	22,952	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)