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  4. [Form 4] PRINCIPAL FINANCIAL GROUP INC Insider Trading Activity

Principal Financial (NYSE: PFG) executive awarded 430-share restricted stock grant

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

Rhea-AI Filing Summary

Bhatia Kamal reported acquisition or exercise transactions in this Form 4 filing.

Principal Financial Group executive Kamal Bhatia received an equity grant of 430 shares of Common Stock in the form of restricted stock units. This is a compensation-related award, not a market purchase. After the grant, Bhatia directly owns 65,454 shares of Principal Financial Group stock.

Positive

  • None.

Negative

  • None.
Insider Bhatia Kamal
Role President and CEO - PAM
Type Security Shares Price Value
Grant/Award Common Stock 430 $0.00 --
Holdings After Transaction: Common Stock — 65,454 shares (Direct, null)
Footnotes (1)
  1. [object Object]
Equity grant 430 shares Restricted stock unit grant of Common Stock
Price per share $0.00 per share Grant, award, or other acquisition
Shares held after 65,454 shares Total direct ownership after 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.
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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*
Bhatia Kamal
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
President and CEO - PAM
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 Stock06/26/2026A430A$0(1)65,454D
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 insider transaction did PFG executive Kamal Bhatia report on this Form 4?

Kamal Bhatia reported receiving a grant of 430 shares of Principal Financial Group Common Stock as restricted stock units. The award was recorded at a price of $0.00 per share, reflecting a compensation grant rather than a market purchase or sale.

Was the PFG Form 4 transaction a stock purchase or sale by Kamal Bhatia?

The transaction was not a market purchase or sale. It was coded as an acquisition under a grant or award, meaning Bhatia received 430 restricted stock units as part of compensation, with no cash paid and no open-market trading involved.

How many PFG shares does Kamal Bhatia hold after this reported grant?

Following the grant of 430 restricted stock units, Kamal Bhatia directly holds 65,454 shares of Principal Financial Group Common Stock. This figure reflects his total direct ownership after the compensation award reported in this Form 4 filing.

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

The footnote clarifies that the transaction is a grant of restricted stock units. These units typically convert into shares of Common Stock over time, subject to vesting conditions, and represent a form of equity-based compensation rather than an immediate cash transaction.

How is the Form 4 transaction by Kamal Bhatia classified by the SEC codes?

The transaction uses code A, indicating a grant, award, or other acquisition. It is classified as a non-derivative transaction in Common Stock, with 430 shares acquired at $0.00 per share, and is identified as a grant or award acquisition in the filing data.