Principal exec gets 660-share stock award at PFG

LITTLEFIELD CHRISTOPHER J reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

LITTLEFIELD CHRISTOPHER J reported acquisition or exercise transactions in this Form 4 filing.

Principal Financial Group executive Christopher J. Littlefield received an equity award rather than buying shares on the market. As President - RIS, he was granted 660 shares of Common Stock as a restricted stock unit award at no cost, increasing his directly held position to 75,880 shares, which includes 2,984 shares accumulated through the company’s Employee Stock Purchase Plan. An additional 11 shares are held indirectly in a revocable trust.

Insider Trade Summary

Grant/Award: 660 shares

Grant/Award 2 txns

Insider LITTLEFIELD CHRISTOPHER J

Role President - RIS

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	660	$0.00	$0.00
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 75,880 shares (Direct); Common Stock — 11 shares (Indirect, By Trust)

Footnotes (3)

1. F1. Grant of restricted stock units.
2. F2. Includes an accumulative total of 2,984 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.
3. F3. Held in revocable trust.

Key Figures

Equity grant size: 660 shares Grant price: $0.00 per share Direct holdings after grant: 75,880 shares +2 more

5 metrics

Equity grant size 660 shares Restricted stock unit grant of Common Stock

Grant price $0.00 per share Equity award, no cash paid by executive

Direct holdings after grant 75,880 shares Common Stock held directly after 660-share award

ESPP-acquired shares 2,984 shares Accumulated via Employee Stock Purchase Plan, included in direct holdings

Indirect trust holdings 11 shares Common Stock held in revocable trust

Key Terms

restricted stock units, Employee Stock Purchase Plan, revocable trust

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.

revocable trust financial

"Held in revocable trust."

A revocable trust is a legal arrangement where the person who creates it keeps control and can change or cancel the trust at any time, while naming who will manage and receive the assets later. Think of it like a flexible folder for your investments and property that can be relabeled or reworked as circumstances change; it matters to investors because it determines how ownership is recorded, how easily assets transfer on incapacity or death, and whether holdings bypass public probate proceedings.

FAQ

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

What did PFG executive Christopher Littlefield report in this Form 4?

Christopher J. Littlefield reported receiving a grant of 660 shares of Principal Financial Group Common Stock as a restricted stock unit award. The grant was at no cost and reflects equity-based compensation rather than an open-market purchase or sale of shares.

How many Principal Financial Group (PFG) shares does Christopher Littlefield now hold directly?

After the grant, Christopher J. Littlefield directly holds 75,880 shares of Principal Financial Group Common Stock. This total includes 2,984 shares acquired over time through the Principal Financial Group, Inc. Employee Stock Purchase Plan, according to the filing’s footnotes.

Is Christopher Littlefield’s 660-share award in PFG a market transaction?

No, the 660-share award is not a market transaction. It is a grant of restricted stock units, recorded at a price of $0.00 per share, indicating compensation provided by Principal Financial Group rather than shares bought or sold in the open market.

Does Christopher Littlefield have any indirect holdings of PFG stock?

Yes. In addition to his direct holdings, the Form 4 shows 11 shares of Principal Financial Group Common Stock held indirectly in a revocable trust. This indirect position is reported separately from his directly owned shares in the filing.

What role does the Employee Stock Purchase Plan play in Littlefield’s PFG holdings?

The filing notes that 2,984 of Christopher J. Littlefield’s directly held PFG shares were acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. This indicates a portion of his ownership accumulated via periodic employee purchases rather than one-time grants.

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

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Accepted by SEC EDGAR 03/31/2026 - 04:10 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^*

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)
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		660	A	$0(1)	75,880(2)	D
Common Stock								11(3)	I	By Trust

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 an accumulative total of 2,984 shares acquired pursuant to the Principal Financial Group, Inc. Employee Stock Purchase Plan.

3. Held in revocable trust.

	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)