Principal Financial director granted 174 PFG shares

Principal Financial Group Inc. director Clare Stack Richer received a grant of 174 shares of Common Stock as a compensation award.

Accepted by SEC EDGAR 03/31/2026 - 04:19 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Principal Financial Group Inc. director Clare Stack Richer received a grant of 174 shares of Common Stock as a compensation award. The shares were awarded at a stated price of $0.00 per share as a grant or other acquisition, rather than an open-market purchase. Following this award, Richer directly holds 19,095 shares of Principal Financial Group Inc. common stock.

Insider Trade Summary

Grant/Award: 174 shares

Grant/Award 1 txn

Insider Richer Clare Stack

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	174	$0.00	$0.00

Holdings After Transaction: Common Stock — 19,095 shares (Direct)

Holdings Before and After: Common Stock, 18,921 to 19,095 shares (Direct)

Footnotes (1)

1. F1. Grant of restricted stock units.

Key Figures

Share grant: 174 shares Grant price: $0.00 per share Post-transaction holdings: 19,095 shares

3 metrics

Share grant 174 shares Grant or award of Common Stock on March 27, 2026

Grant price $0.00 per share Stated transaction price for awarded shares

Post-transaction holdings 19,095 shares Total Common Stock directly held after the grant

Key Terms

restricted stock units, grant, award, or other acquisition, Common Stock

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.

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.

FAQ

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

What did PFG director Clare Stack Richer report in this Form 4 filing?

Clare Stack Richer reported receiving a grant of 174 shares of Principal Financial Group Inc. common stock. The filing classifies this as a grant or award acquisition, meaning the shares were given as compensation rather than bought in the open market.

How many Principal Financial Group (PFG) shares were granted to the director?

The director was granted 174 shares of Principal Financial Group common stock. This award is described as a grant or other acquisition, indicating it was part of compensation arrangements and not a cash purchase on the stock market.

What is Clare Stack Richer’s total PFG ownership after this reported grant?

After the 174-share grant, Clare Stack Richer directly holds 19,095 shares of Principal Financial Group common stock. This total reflects her direct ownership position immediately following the reported compensation-related share award.

Was the PFG stock grant to the director an open-market purchase?

No, the 174-share increase came from a grant or award, not an open-market purchase. The transaction code “A” and the reported price of $0.00 per share indicate these shares were issued as part of compensation, not bought for cash.

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

The footnote states the transaction is a grant of restricted stock units. This means the award is subject to conditions, such as vesting, before all units convert into fully unrestricted common shares that the director can freely sell.

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

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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^*

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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/27/2026

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	03/27/2026		A		174	A	$0(1)	19,095	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	03/31/2026
	** 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)