PFG director granted 805 restricted stock units

Carter Miller Jocelyn reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 03/31/2026 - 04:17 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Carter Miller Jocelyn reported acquisition or exercise transactions in this Form 4 filing.

Principal Financial Group director Jocelyn Carter Miller received a grant of 805 restricted stock units on Common Stock as compensation. The award carried no cash purchase price per share, reflecting a stock-based grant rather than an open-market transaction. Following this grant, Miller directly holds 88,487 shares of Principal Financial Group common stock.

Insider Trade Summary

Grant/Award: 805 shares

Grant/Award 1 txn

Insider Carter Miller Jocelyn

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	805	$0.00	$0.00

Holdings After Transaction: Common Stock — 88,487 shares (Direct)

Holdings Before and After: Common Stock, 87,682 to 88,487 shares (Direct)

Footnotes (1)

1. F1. Grant of restricted stock units.

Key Figures

RSU grant size: 805 shares Grant price per share: $0.0000 per share Shares owned after grant: 88,487 shares

3 metrics

RSU grant size 805 shares Restricted stock units granted on Common Stock

Grant price per share $0.0000 per share Reported transaction price for RSU grant

Shares owned after grant 88,487 shares Total direct Common Stock holdings after transaction

Key Terms

restricted stock units, Common Stock, Form 4, Grant, award, or other acquisition

4 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.

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, or other acquisition financial

"transaction_code_description: "Grant, award, or other acquisition""

FAQ

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

What did Principal Financial Group (PFG) director Jocelyn Carter Miller report on this Form 4?

Jocelyn Carter Miller reported receiving a grant of 805 restricted stock units tied to Principal Financial Group Common Stock. This compensation-related award increased her direct holdings to 88,487 shares, with no cash paid per share for the units granted.

How many shares were included in Jocelyn Carter Miller’s latest stock award at PFG?

The reported stock award to Jocelyn Carter Miller covered 805 restricted stock units. These units are linked to Principal Financial Group Common Stock and were added to her existing position, bringing her total direct holdings to 88,487 shares after the grant.

Was Jocelyn Carter Miller’s Form 4 transaction a market purchase or a stock grant at PFG?

The Form 4 shows a stock grant, not a market purchase. Miller received 805 restricted stock units at a reported price of $0.0000 per share, indicating a compensation-related award of Principal Financial Group Common Stock rather than open-market buying.

What is Jocelyn Carter Miller’s total direct ownership in Principal Financial Group after this Form 4?

After the reported grant, Jocelyn Carter Miller directly owns 88,487 shares of Principal Financial Group Common Stock. This total includes the newly awarded 805 restricted stock units reflected in the Form 4 filing as an acquisition of non-derivative Common Stock.

How is the 805-share award to PFG director Jocelyn Carter Miller classified in the Form 4?

The 805-share award is classified with transaction code “A” for a grant, award, or other acquisition. The filing describes it as a grant of restricted stock units, treated as an acquisition of non-derivative Common Stock by the director as part of equity compensation.

Does the Form 4 for PFG indicate any stock sales by Jocelyn Carter Miller?

The Form 4 indicates no stock sales by Jocelyn Carter Miller. It reports only one transaction: an acquisition of 805 restricted stock units, coded as a grant or award, which increased her direct holdings of Principal Financial Group Common Stock to 88,487 shares.

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^*

Carter Miller Jocelyn

(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		805	A	$0(1)	88,487	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)