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Principal Financial (PFG) director receives restricted stock grant in latest Form 4

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Principal Financial Group director Clare Stack Richer received a routine equity award. On June 26, 2026, she acquired 142 shares of Common Stock through a grant of restricted stock units at no cash cost. Following this award, she directly holds 21,412 Common Stock shares, reflecting a modest, compensation-related increase in her ownership.

Positive

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Negative

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Insider Richer Clare Stack
Role null
Type Security Shares Price Value
Grant/Award Common Stock 142 $0.00 --
Holdings After Transaction: Common Stock — 21,412 shares (Direct, null)
Footnotes (1)
  1. [object Object]
RSU shares granted 142 shares Grant of restricted stock units settling in Common Stock on June 26, 2026
Grant price per share $0.00 per share Equity award, no cash paid by director
Shares held after transaction 21,412 shares Direct Common Stock holdings following RSU grant
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" in the reported transaction"
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.
grant/award acquisition financial
"transaction_action: "grant/award acquisition" for this entry"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Richer Clare Stack
(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)
XDirector10% 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)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock06/26/2026A142A$0(1)21,412D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Grant of restricted stock units.
Chris Agbe-Davies as Attorney-in-Fact06/30/2026
** Signature of Reporting PersonDate
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

FAQ

What did Principal Financial Group (PFG) disclose in this Form 4 for Clare Stack Richer?

Principal Financial Group reported that director Clare Stack Richer received a grant of 142 restricted stock units, settling in Common Stock. This is a compensation-related equity award, not an open-market purchase or sale of PFG shares.

How many Principal Financial Group shares did Clare Stack Richer acquire in this transaction?

Clare Stack Richer acquired 142 shares of Principal Financial Group Common Stock through a restricted stock unit grant. The Form 4 shows this award increased her directly held position to 21,412 Common Stock shares after the transaction was recorded.

Did Clare Stack Richer buy or sell Principal Financial Group (PFG) stock for cash?

She did not buy or sell shares for cash. The Form 4 reports a grant of restricted stock units, with 142 shares of Common Stock awarded at a price of $0.00 per share as part of her director compensation.

What are Clare Stack Richer’s Principal Financial Group holdings after this Form 4 transaction?

After the reported grant, Clare Stack Richer directly holds 21,412 shares of Principal Financial Group Common Stock. The Form 4 shows this post-transaction balance, which includes the 142-share restricted stock unit award disclosed in the filing.

Is this Principal Financial Group Form 4 transaction a routine equity award for a director?

Yes. The Form 4 describes the event as a grant of restricted stock units to director Clare Stack Richer. Such RSU awards are a common form of non-cash compensation used by companies to align director interests with shareholders over time.