Every Form 4 that Principal Financial Group, Inc. (PFG) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow PFG and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full PFG filings page.
Principal Financial Group Inc. (PFG) director Jonathan Auerbach acquired 161 shares of Common Stock on September 25, 2026, through a grant of restricted stock units. The transaction is reported as direct, and his reported direct position after the award was 23,112 shares. The award is compensation-related, not a market purchase.
Mary E. Beams, a director of Principal Financial Group Inc., received a grant of 105 restricted stock units on September 25, 2026. Her reported direct holdings following the grant were 17,066 shares of common stock.
Principal Financial Group director Claudio Muruzabal received a grant of 97 restricted stock units on September 25, 2026. The transaction was reported at $0.00 per share, and his reported direct holdings following it were 13,699 shares.
Principal Financial Group Inc. director Diane C. Nordin received a grant of 211 shares, identified by the accompanying footnote as restricted stock units, on September 25, 2026. The reported position following the award was 31,548 shares of Common Stock, held directly. This was a compensation-related award, not a market purchase or sale.
Principal Financial Group Inc. reported that director Blair Pickerell received a grant of 273 restricted stock units on September 25, 2026. After the grant, Pickerell directly held 40,100 shares of common stock.
Principal Financial Group Inc. director Clare Stack Richer received a grant of 138 restricted stock units on September 25, 2026. The award was reported as a direct acquisition, and her reported direct holdings following the transaction were 21,550 shares.
Principal Financial Group Inc. (PFG) director H. Elizabeth Mitchell received a grant of 78 restricted stock units on September 25, 2026. The award was reported as a direct acquisition of common stock, and her reported direct common-stock holdings following the transaction were 13,278 shares.
Principal Financial Group Inc. director Miller Jocelyn Carter acquired 648 shares through a grant of restricted stock units on September 25, 2026. The grant was reported as a direct transaction. After the award, the reported direct common-stock position was 91,979 shares. This was an award acquisition, not a market purchase or sale.
Principal Financial Group Inc. director Alfredo Rivera acquired 113 restricted stock units and 24 phantom stock units on September 25, 2026. The phantom units convert to common stock one-for-one. Interests under the Principal Deferred Compensation Plan for Non-Employee Directors settle upon Rivera’s retirement and may be transferred at any time into another investment alternative under the plan.
Principal Financial Group Inc. (PFG) reported that Timothy W. Brown, EVP, General Counsel and Sec, received a grant of 163 restricted stock units on September 25, 2026. This was an award acquisition, not a reported market purchase. Brown's reported direct common-stock holdings following the transaction were 22,442 shares.
Principal Financial Group Inc. reported that EVP & Chief Growth Officer Vivek Agrawal acquired a grant of 226 restricted stock units on September 25, 2026. The transaction row lists a price of $0.00 per share. His reported direct position after the grant was 46,762 shares of common stock.
Principal Financial Group's President - Asia & Middle East, Wee Yee Cheong, reported a grant of restricted stock units covering 354 shares on September 25, 2026. The award was compensation-related, not a market purchase. His direct common-stock holdings following the transaction were 67,173 shares, including 1,771 shares acquired through the Employee Stock Purchase Plan.
Principal Financial Group Inc. (PFG) reported that President - RIS Christopher J. Littlefield received a grant of 538 restricted stock units on September 25, 2026. His reported direct common stock holdings after the grant were 77,279 shares, including an accumulated total of 3,286 shares acquired pursuant to the company’s Employee Stock Purchase Plan. The filing separately lists 11 shares held in a revocable trust.
Kenneth A. McCullum, EVP - Chief Risk Officer of Principal Financial Group Inc. (PFG), acquired 71 shares as a grant of restricted stock units on September 25, 2026. His reported direct holdings after the transaction were 41,141 shares, including 30 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan.
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).
Principal Financial Group (PFG) reported that Kamal Bhatia, President and CEO - PAM, received a grant of 415 restricted stock units on September 25, 2026. The transaction is recorded as a direct grant, rather than a market purchase or sale, and reported direct holdings following it were 65,869 shares of common stock.
Principal Financial Group Inc. reported that its EVP-Chief Information Officer, Kathleen B. Kay, received a grant of 383 restricted stock units on September 25, 2026. Her reported post-transaction position was 44,683 shares of Common Stock.
Principal Financial Group (PFG) reported that Amy Christine Friedrich, President - Benefits & Protect, received a grant of 577 restricted stock units on September 25, 2026. After the grant, she reported 109,440 shares of common stock held directly, including 3,331 shares acquired through the Employee Stock Purchase Plan. She also reported 4,142 shares held indirectly through a 401(k) plan.
Principal Financial Group Inc. director Scott Mills acquired 246 shares of common stock as a restricted-stock-unit grant and 150 phantom stock units on September 25, 2026. The phantom units convert to common stock one-for-one and were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors. Reported holdings following the respective transactions were 36,386 common shares and 20,643 phantom stock units.
Principal Financial Group Inc. (PFG) director Roger C. Hochschild acquired 285 restricted stock units on September 25, 2026, bringing his direct common-stock holdings to 41,762. On the same date, he acquired 218 phantom stock units, bringing his reported phantom-unit position to 29,892. The phantom units were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors; plan interests will be settled upon retirement and may be transferred to another investment alternative under the Plan.
Principal Financial Group Inc. (PFG) Chair, President and CEO Deanna D. Strable-Soethout had awards of 593 restricted stock units held directly and 42 held indirectly by her spouse reported on September 25, 2026. Following the awards, her reported direct holdings were 174,460 shares, and her spouse's reported indirect holdings were 53,584 shares.
PRINCIPAL FINANCIAL GROUP INC (PFG) reported insider activity by Chair, President and CEO Deanna D. Strable-Soethout on September 3, 2026. She exercised stock options relating to a total of 55,140 shares of common stock at an exercise price of $63.98 per share, in three equal tranches linked to option grants from 2019, 2020, and 2021 that all expire on February 26, 2028.
On the same date she acquired 55,140 shares of common stock and disposed of 55,140 shares back to the issuer at a weighted average price of $120.5992 per share, with individual sales prices ranging from $120.05 to $121.11. The sales were effected pursuant to a Rule 10b5-1 trading plan adopted on February 28, 2024, indicating the transactions followed a pre-established schedule.
Principal Financial Group Inc. officer Amy Christine Friedrich, President & Benefits & Protect, reported multiple equity transactions on 2026-08-07. She exercised three Employee Stock Options to acquire an aggregate of 35,680 shares of common stock at an exercise price of $63.98 per share. On the same date, 35,680 common shares were disposed of at a weighted average price of $113.80 per share in multiple trades within a $113.00–$114.60 range, executed pursuant to a Rule 10b5-1 trading plan adopted on 05/08/2026.
Principal Financial Group director Elizabeth H. Mitchell received a small equity grant. On the reported date, she acquired 80 shares of Common Stock at no cash cost as a grant or award, identified in the footnotes as restricted stock units. Following this grant, her directly held position increased to 13,200 shares, indicating a routine compensation-related award rather than an open-market purchase or sale.
Principal Financial Group director Alfredo Rivera reported routine equity-based compensation. He received a grant of 117 shares of common stock in the form of restricted stock units, which will convert into common stock on a one-for-one basis.
Rivera also acquired 25 phantom stock units tied to Principal Financial Group common stock at a reference price of $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors. After these awards, he holds 16,511 shares of common stock directly and 3,279 phantom stock units in the plan, which will be settled upon his retirement.
Principal Financial Group director Clare Stack Richer received a routine equity award. On June 26, 2026, she acquired 142 shares of Common Stock through a grant of restricted stock units at no cash cost. Following this award, she directly holds 21,412 Common Stock shares, reflecting a modest, compensation-related increase in her ownership.
Pickerell Blair reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Blair Pickerell received an equity award of 281 shares of Common Stock on a grant or award basis, at no cash cost per share. A footnote describes this as a grant of restricted stock units. Following the award, his directly owned position totals 39,827 shares, indicating a routine compensation-related increase rather than an open-market purchase or sale.
Director Diane C. Nordin of Principal Financial Group Inc received an equity compensation award of 217 shares of Common Stock, reported as a grant with no purchase price. The award is described in a footnote as a grant of restricted stock units.
After this grant, Nordin directly holds 31,337 shares of Common Stock. This is a routine compensation-related acquisition, not an open-market purchase or sale.
Muruzabal Claudio reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Claudio Muruzabal received a small equity award. On June 26, 2026, he was granted 100 shares of Common Stock at $0.00 per share as a compensation-related grant of restricted stock units. After this award, he directly holds 13,602 shares of Principal Financial Group common stock.
Mills Scott reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Scott Mills reported routine equity compensation grants. He received 253 shares of Common Stock as a grant of restricted stock units, bringing his direct Common Stock holdings to 36,140 shares.
He was also granted 152 Phantom Stock Units at $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors, increasing his phantom unit balance to 20,493 units. The phantom units track Common Stock on a one-for-one basis and interests under the plan will be settled upon his retirement.
PRINCIPAL FINANCIAL GROUP INC director equity awards: Director Roger C. Hochschid reported compensation-related equity grants in the form of common stock and phantom stock units. On 2026-06-26, he received 294 shares of Common Stock at $0.00 per share as a restricted stock unit grant.
He also acquired 219 Phantom Stock Units linked to Common Stock at a reference value of $107.75 per unit under the Principal Deferred Compensation Plan for Non-Employee Directors. Each unit converts to one share of common stock. After these awards, he directly holds 41,477 shares of Common Stock and 29,674 phantom stock units. Plan interests are scheduled to be settled upon his retirement.
Principal Financial Group director Jocelyn Carter received an equity grant in the form of restricted stock units. The Form 4 reports an acquisition of 669 shares of Common Stock at no cash cost to her, described as a grant, award, or other acquisition. After this award, her direct holdings total 91,331 shares of Principal Financial Group common stock.
Beams Mary E. reported acquisition or exercise transactions in this Form 4 filing.
Director Mary E. Beams of Principal Financial Group Inc. received a grant of 109 shares of common stock in the form of restricted stock units. The award was recorded at a price of $0.00 per share, indicating a compensation-related grant rather than a market purchase. Following this grant, she directly holds 16,961 shares of the company’s common stock.
Principal Financial Group director Jonathan Auerbach received a stock-based compensation award. On June 26, 2026, he acquired 166 shares of Common Stock at no cost, described in the footnote as a grant of restricted stock units.
After this award, Auerbach directly holds 22,952 shares of Principal Financial Group stock. This type of equity grant is a routine form of non-cash compensation and does not involve any open-market buying or selling.
Principal Financial Group EVP & CFO Joel Pitz reported new equity compensation and updated retirement-plan holdings. On June 26, 2026, he acquired 234 shares of common stock through a grant of restricted stock units held directly, and 2 shares through a similar grant held indirectly by his spouse.
The filing also updates indirect holdings in 401(k) plans, showing 1,362 shares in his own 401(k) and 103 shares in his spouse’s 401(k), along with 2,928 shares held by his spouse and 43,998 shares held directly after these awards.
Bhatia Kamal reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group executive Kamal Bhatia received an equity grant of 430 shares of Common Stock in the form of restricted stock units. This is a compensation-related award, not a market purchase. After the grant, Bhatia directly owns 65,454 shares of Principal Financial Group stock.
Principal Financial Group executive reports new stock award. President - RIS Christopher J. Littlefield received a grant of 559 restricted stock units of Common Stock on June 26, 2026 at no cash price. Following this award, he holds 76,741 Common Stock shares directly, including 3,286 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. He also reports 11 Common Stock shares held indirectly in a revocable trust.
Principal Financial Group EVP-Chief Information Officer Kathleen B. Kay received a stock-based award in company shares. On June 26, 2026, she acquired 398 shares of Common Stock at a price of $0.00 per share, characterized as a grant or award acquisition.
A footnote describes this as a grant of restricted stock units, meaning the award is compensation rather than an open-market purchase. After this transaction, she directly owned 44,300 shares of Principal Financial Group common stock, reflecting her equity stake following the grant.
Principal Financial Group executive Amy Christine Friedrich, President – Benefits & Protect, received an award of 599 shares of Common Stock, reported as a grant of restricted stock units. This is a compensation-related acquisition, not an open-market purchase.
After this grant, she directly owns 108,863 shares of Common Stock and indirectly holds 4,142 shares through a 401(k) plan.
Principal Financial Group executive receives equity grant. President – Asia & Middle East Wee Yee Cheong was granted 368 shares of Principal Financial Group common stock as a compensation-related award at a stated price of $0.00 per share. Following this grant, Cheong directly holds 66,819 common shares, which include 1,771 shares previously acquired through the company’s Employee Stock Purchase Plan. This is a routine share-based compensation grant rather than an open-market purchase or sale.
Agrawal Vivek reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group EVP & Chief Growth Officer Vivek Agrawal received an equity grant of 234 shares of Common Stock. The award was reported at a price of $0.00 per share and is described in the footnotes as a grant of restricted stock units. Following this compensation-related grant, Agrawal directly holds 46,536 shares of Principal Financial Group common stock.
STRABLE-SOETHOUT DEANNA D reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout reported compensation-related stock awards rather than market purchases. On June 26, 2026, she received 612 shares of Common Stock as a direct grant, at a stated price of $0.00 per share, described as a grant of restricted stock units.
On the same date, an additional 44 shares of Common Stock, also from a grant of restricted stock units, were reported as indirectly owned through her spouse. After these awards, her reported holdings increased to 173,867 directly held shares and 53,542 shares held indirectly by her spouse, highlighting that the filing reflects routine equity compensation grants, not open‑market trading.
Principal Financial Group EVP and Chief Risk Officer Kenneth A. McCullum received an equity grant tied to company stock. On the reported date, he was awarded 73 shares of Common Stock at a stated price of $0.0000 per share, described in a footnote as a grant of restricted stock units. Following this grant, his directly held position increased to 41,070 shares, which includes 30 shares previously acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. This filing reflects a routine compensation-related award rather than an open-market purchase or sale.
Principal Financial Group’s Chair, President and CEO Deanna Strable-Soethout reported a mix of stock option exercises, share grants, and share dispositions involving Common Stock on June 11–12, 2026.
She exercised options covering 16,825 and 13,883 shares at an exercise price of $62.78 per share, converting derivative awards into common shares. She also received multiple share grants, including 16,825, 13,883 and 2,942 shares, as compensation-related acquisitions.
On the same dates, she disposed of 19,767 shares at $110.06, 26,445 shares at $110.48, and 4,263 shares at $111.25 per share in transactions classified as “Disposition to issuer.” After these transactions, she directly held 173,255 common shares, with an additional 53,498 shares held indirectly by her spouse.
Principal Financial Group EVP and General Counsel Timothy W. Brown received an equity grant of 22,279 common-share-based restricted stock units. The Form 4 reports an acquisition of 22,279 units at a stated price of $0.00 per share, reflecting compensation rather than an open-market purchase. Following the award, Brown directly holds 22,279 common shares reported in this filing.
HOCHSCHILD ROGER C reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Roger C. Hochschield received a grant of 689 Phantom Stock Units, each convertible into one share of common stock. These units were credited under the Principal Deferred Compensation Plan for Non-Employee Directors, raising his deferred balance to 29,455 units, generally settled at retirement.
Principal Financial Group director Scott Mills received a grant of 416 Phantom Stock Units on common stock. The units were awarded at a reference price of $105.22 per unit and increase his holdings in this deferred form of equity-based compensation.
The Phantom Stock Units convert into an equal number of Principal Financial Group common shares on a one-for-one basis. They were granted under the Principal Deferred Compensation Plan for Non-Employee Directors, with interests under the plan to be settled upon Mills’s retirement.
Principal Financial Group’s President – Asia & Middle East, Wee Yee Cheong, reported open-market sales of company common stock. The insider sold a total of 10,745 shares across two days at weighted average prices just above $103 per share.
The transactions consisted of 3,211 shares sold on May 20, 2026 at a weighted average price of $103.06 and 7,534 shares sold on May 21, 2026 at a weighted average price of $103.16. After these sales, Cheong directly holds 66,443 shares of Principal Financial Group common stock.
Principal Financial Group Inc. director Mary E. Beams reported an equity award on Form 4. On May 19, 2026, she acquired 2,175 shares of Common Stock through a grant classified as a "grant, award, or other acquisition," noted in the footnotes as a grant of restricted stock units.
After this award, Beams directly holds 16,852 shares of Principal Financial Group common stock. This is a compensation-related equity grant, not an open-market purchase or sale.
RIVERA ALFREDO reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Alfredo Rivera received a grant of 2,175 shares of Common Stock in the form of restricted stock units. The award was recorded at a price of $0.00 per share, indicating it is compensation rather than an open-market purchase. Following this grant, Rivera directly holds 16,394 shares of Principal Financial Group common stock.