Principal Financial insider returns 51,285 shares

The three option records list February 24, 2021, February 24, 2022 and February 24, 2023 as exercise dates, and February 24, 2030 as the expiration date.

Available on EDGAR 11/05/2026 - 03:14 PM EST Accepted by SEC EDGAR 11/05/2026 - 03:13 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Principal Financial Group Inc. (PFG) President - RIS Christopher J. Littlefield reported three employee stock option exercises on November 4, 2026, each covering 17,095 shares at a $51.73 exercise price. He also reported acquiring 51,285 common shares and returning 51,285 common shares to the issuer at a $116.30 weighted-average price. A footnote says the shares were sold in multiple transactions at prices from $116.12 to $116.61. No Rule 10b5-1 plan is reported.

Insider Trade Summary

51,285 shares exercised/converted

Exercise 5 txns

Insider LITTLEFIELD CHRISTOPHER J

Role President - RIS

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (Right to Buy)	17,095	$51.73	$884K
Exercise	Employee Stock Option (Right to Buy)	17,095	$51.73	$884K
Exercise	Employee Stock Option (Right to Buy)	17,095	$51.73	$884K
Grant/Award	Common Stock	51,285	$51.73	$2.65M
Disposition	Common Stock F1	51,285	$116.30	$5.96M

Holdings After Transaction: Employee Stock Option (Right to Buy) — 0 contracts (Direct); Common Stock — 77,279 shares (Direct)

Holdings Before and After: Employee Stock Option (Right to Buy), 51,285 to 0 contracts (Direct); Common Stock, 77,279 to 77,279 shares (Direct)

Footnotes (1)

1. F1. The price reported in Column 4 is weighted average price. These shares were sold in multiple transactions at prices ranging from $116.12 to $116.61. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Key Figures

Shares in each option exercise: 17,095 shares Exercise price: $51.73 per share Common shares acquired: 51,285 shares +3 more

6 metrics

Shares in each option exercise 17,095 shares Each of three reported option exercises on November 4, 2026

Exercise price $51.73 per share Employee stock option transactions

Common shares acquired 51,285 shares Reported November 4, 2026

Common shares returned to issuer 51,285 shares Reported November 4, 2026

Weighted-average price $116.30 per share Common-share disposition reported November 4, 2026

Price range $116.12 to $116.61 per share Footnote describes multiple transactions

Key Terms

Employee Stock Option (Right to Buy), weighted average price, Disposition to issuer, Rule 10b5-1

4 terms

Employee Stock Option (Right to Buy) technical

"Employee Stock Option (Right to Buy)"

weighted average price financial

"price reported in Column 4 is weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

Disposition to issuer technical

"Disposition to issuer"

Rule 10b5-1 regulatory

"Rule 10b5-1 plan"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

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

How many options did PFG's President - RIS exercise?

The three option transactions each covered 17,095 shares at a $51.73 exercise price, with transactions dated November 4, 2026. The records list February 24, 2021, February 24, 2022 and February 24, 2023 as exercise dates. No Rule 10b5-1 plan is reported.

How many shares did PFG's President - RIS return to the issuer?

Christopher J. Littlefield reported returning 51,285 common shares to the issuer on November 4, 2026, at a $116.30 weighted-average price per share. The footnote states that the shares were sold in multiple transactions at prices ranging from $116.12 to $116.61.

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

Form 4 Insider Transactions: What Each Field Means →

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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)
11/04/2026

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	11/04/2026		A		51,285	A	$51.73	128,564	D
Common Stock	11/04/2026		D		51,285	D	$116.3(1)	77,279	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
Employee Stock Option (Right to Buy)	$51.73	11/04/2026		M			17,095	02/24/2021	02/24/2030	Common Stock	17,095	$51.73	0	D
Employee Stock Option (Right to Buy)	$51.73	11/04/2026		M			17,095	02/24/2022	02/24/2030	Common Stock	17,095	$51.73	0	D
Employee Stock Option (Right to Buy)	$51.73	11/04/2026		M			17,095	02/24/2023	02/24/2030	Common Stock	17,095	$51.73	0	D

Explanation of Responses:

1. The price reported in Column 4 is weighted average price. These shares were sold in multiple transactions at prices ranging from $116.12 to $116.61. The reporting person undertakes to provide Principal Financial Group, Inc., any security holder of Principal Financial Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

	Chris Agbe-Davies as Attorney-in-Fact	11/05/2026
	** 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)