Principal Financial CFO Joel Pitz Receives 226 Shares

The reported positions also include Employee Stock Purchase Plan shares and shares held through Joel Pitz's and his spouse's 401(k) accounts.

Rhea-AI Filing Summary

Principal Financial Group Inc. EVP & CFO Joel Pitz reported a grant of 226 shares held directly and 2 shares held indirectly by his spouse on September 25, 2026; the grant is identified as restricted stock units. After the grant, direct holdings were 44,224 shares, including 10,470 shares acquired pursuant to the Employee Stock Purchase Plan, and spouse holdings were 2,930 shares, including 2,630 shares acquired pursuant to that plan. Other reported indirect holdings were 1,362 shares through Pitz's 401(k) and 103 through his spouse's 401(k).

Insider Trade Summary

Grant/Award: 228 shares

Grant/Award 4 txns

Insider Pitz Joel

Role EVP & CFO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	226	$0.00	$0.00
Grant/Award	Common Stock F1, F3	2	$0.00	$0.00
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 44,224 shares (Direct); Common Stock — 2,930 shares (Indirect, By Spouse); Common Stock — 1,362 shares (Indirect, By 401(k)); Common Stock — 103 shares (Indirect, By Spouse 401(k))

Footnotes (3)

1. F1. Grant of restricted stock units.
2. F2. Includes 10,470 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
3. F3. Includes 2,630 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

Key Figures

Direct grant: 226 shares Spouse's indirect grant: 2 shares Direct holdings after grant: 44,224 shares +3 more

6 metrics

Direct grant 226 shares Restricted stock unit grant on September 25, 2026

Spouse's indirect grant 2 shares Restricted stock unit grant on September 25, 2026

Direct holdings after grant 44,224 shares Includes 10,470 shares acquired pursuant to the Employee Stock Purchase Plan

Spouse's holdings after grant 2,930 shares Includes 2,630 shares acquired pursuant to the Employee Stock Purchase Plan

Shares through Pitz's 401(k) 1,362 shares Indirect holdings reported September 25, 2026

Shares through spouse's 401(k) 103 shares Indirect holdings reported September 25, 2026

Key Terms

restricted stock units, Employee Stock Purchase Plan, 401(k)

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.

Employee Stock Purchase Plan financial

"acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

401(k) financial

"By 401(k)"

A 401(k) is a type of retirement savings plan offered by employers that allows workers to set aside a portion of their paycheck before taxes are taken out. The money saved in a 401(k) can grow over time through investments, helping individuals build funds for their future retirement. It matters to investors because it provides a tax-advantaged way to save and invest for long-term financial security.

FAQ

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

How many shares did PFG EVP & CFO Joel Pitz receive in the award?

Joel Pitz reported a grant covering 226 shares held directly and 2 shares held indirectly by his spouse on September 25, 2026. The associated footnote identifies the transaction as a grant of restricted stock units.

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

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Available on EDGAR 09/29/2026 - 04:34 PM Accepted by SEC EDGAR 09/29/2026 - 04:34 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^*

Pitz Joel

(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)
	EVP & CFO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/25/2026

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	09/25/2026		A		226	A	$0(1)	44,224(2)	D
Common Stock	09/25/2026		A		2	A	$0(1)	2,930(3)	I	By Spouse
Common Stock								1,362	I	By 401(k)
Common Stock								103	I	By Spouse 401(k)

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.

2. Includes 10,470 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

3. Includes 2,630 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

	Chris Agbe-Davies as Attorney-in-Fact	09/29/2026
	** 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)