PFG executive granted 509 shares in Form 4

Principal Financial Group executive Kamal Bhatia, President and CEO of PAM, reported an acquisition of 509 shares of Common Stock on a Form 4.

Accepted by SEC EDGAR 03/31/2026 - 04:08 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Principal Financial Group executive Kamal Bhatia, President and CEO of PAM, reported an acquisition of 509 shares of Common Stock on a Form 4. The filing describes this as a grant of restricted stock units, bringing Bhatia’s direct holdings to 65,024 shares after the transaction.

Insider Trade Summary

Grant/Award: 509 shares

Grant/Award 1 txn

Insider Bhatia Kamal

Role President and CEO - PAM

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	509	$0.00	$0.00

Holdings After Transaction: Common Stock — 65,024 shares (Direct)

Holdings Before and After: Common Stock, 64,515 to 65,024 shares (Direct)

Footnotes (1)

1. F1. Grant of restricted stock units.

Key Figures

Shares granted: 509 shares Shares owned after grant: 65,024 shares

2 metrics

Shares granted 509 shares Grant of restricted stock units on Common Stock

Shares owned after grant 65,024 shares Total direct holdings following the transaction

Key Terms

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

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.

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.

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 Kamal Bhatia report in the latest Form 4 for PFG?

Kamal Bhatia reported receiving 509 shares of Common Stock linked to a grant of restricted stock units. After this compensation-related acquisition, his direct ownership increased to 65,024 shares, as disclosed in the Form 4 filed for Principal Financial Group (PFG).

How many PFG shares did Kamal Bhatia acquire in this Form 4 filing?

The Form 4 shows Kamal Bhatia acquired 509 shares of Principal Financial Group Common Stock. These shares are associated with a grant of restricted stock units, increasing his directly held position to 65,024 shares following the reported transaction on March 27, 2026.

What is Kamal Bhatia’s share ownership in PFG after this transaction?

After the reported grant, Kamal Bhatia directly owns 65,024 shares of Principal Financial Group Common Stock. This total reflects the addition of 509 shares tied to a restricted stock unit grant disclosed in the Form 4 insider trading report.

What type of transaction was reported for PFG executive Kamal Bhatia?

The transaction reported was a grant or award acquisition, coded “A” on the Form 4. It reflects 509 shares of Common Stock received as a grant of restricted stock units, rather than an open-market purchase or sale of Principal Financial Group (PFG) shares.

Is the PFG Form 4 filing for Kamal Bhatia a buy or a compensation grant?

The Form 4 reflects a compensation grant, not an open-market buy. The transaction is coded as a grant or award acquisition, and the footnote specifies it is a grant of restricted stock units, adding 509 shares to Bhatia’s direct holdings in Principal Financial Group.

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^*

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President and CEO - PAM

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		509	A	$0(1)	65,024	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)