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.
Richer Clare Stack reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Clare Stack Richer received an equity award rather than buying shares on the market. On the reported date, she was granted restricted stock units covering 2,175 shares of Common Stock at no cash cost. Following this grant, she directly holds 21,270 Common Shares.
Pickerell Blair reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC director Blair Pickerell received an equity award of 2,175 shares of Common Stock on May 19, 2026. The transaction is coded as a grant or award and is described in the footnotes as a grant of restricted stock units.
Following this award, Pickerell’s direct holdings increased to 39,546 shares of Common Stock. This is a compensation-related equity grant rather than an open-market purchase or sale, so it reflects routine director compensation rather than a trading decision.
Mitchell H Elizabeth reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Elizabeth H. Mitchell received a grant of 2,175 shares of common stock as a restricted stock unit award. The grant was made at no cash cost per share and increased her directly owned stake to 13,120 common shares, reflecting routine equity-based compensation.
Nordin Diane C reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC director Diane C. Nordin received a grant of 2,175 shares of Common Stock on May 19, 2026 as a compensation-related award, reported at a price of $0.00 per share. Following this grant, she holds 31,120 shares of Principal Financial Group stock directly.
PRINCIPAL FINANCIAL GROUP INC director Claudio Muruzabal reported an equity compensation grant from the company. He acquired 2,175 shares of common stock through a grant or award, recorded at a price of $0.00 per share. Following this grant, his directly owned holdings increased to 13,502 shares of common stock.
Carter Miller Jocelyn reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc. director Jocelyn Carter Miller received a grant of restricted stock units representing 2,175 shares of Common Stock on May 19, 2026. The grant carried no purchase price and increased her direct holdings to 90,662 shares after the award.
HOCHSCHILD ROGER C reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Roger C. Hochschild received an equity award of 2,175 shares of Common Stock on May 19, 2026. The Form 4 identifies this as a grant or award, with no cash price per share and a footnote describing it as restricted stock units. Following the award, he directly holds 41,183 shares of Common Stock.
Mills Scott reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Scott Mills received a grant of 2,175 restricted stock units on Common Stock as compensation. The award was recorded at a price of $0.00 per share, indicating it was not an open-market purchase. Following this grant, Mills directly holds 35,887 shares of Common Stock.
Auerbach Jonathan reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group director Jonathan Auerbach received a grant of 2,175 shares of Common Stock as a compensation award. The award was reported at a price of $0.00 per share, indicating a non-cash grant. Following this grant, his directly held position in Principal Financial Group increased to 22,786 shares, reflecting a routine equity-based compensation event rather than an open-market purchase or sale.
Principal Financial Group Inc. executive Wee Yee Cheong reported selling Common Stock in two open-market transactions. On April 30, the president for Asia & Middle East sold 4,737 shares at a weighted average price of $101.01 per share. On May 1, an additional 9,183 shares were sold at a weighted average price of $101.26. These sales were executed in multiple trades within narrow price ranges around $101. Following the transactions, Cheong directly owns 77,188 shares of Principal Financial Group Common Stock, which continues to represent a substantial personal stake in the company.
Principal Financial Group executive Cheong Wee Yee, President - Asia & Middle East, reported an open-market sale of 1,080 shares of common stock. The weighted average sale price was about $101 per share, with actual trades occurring between $101.00 and $101.02.
After this transaction, Cheong directly holds 91,108 shares of Principal Financial Group common stock. This total includes 1,763 shares previously acquired through the company’s Employee Stock Purchase Plan.
Principal Financial Group interim general counsel George Djurasovic reported selling Common Stock in two open-market transactions. On 2026-04-28, he sold 2,571.0000 shares at a weighted average price of $100.8300 per share, with actual prices ranging from $100.78 to $100.87.
He then sold 0.9890 shares on 2026-04-30 at $99.6300 per share. Both sales were settled in cash and involved directly owned shares. After these transactions, he held 21,905.0100 shares of Principal Financial Group Common Stock directly.
Principal Financial Group director Alfredo Rivera reported equity-based compensation grants. He received 30 restricted stock units of common stock at a reference price of $87.01 per share, which convert to common stock on a one-for-one basis. He also acquired 144 phantom stock units under the Principal Deferred Compensation Plan for Non-Employee Directors, which remain within the plan’s investment alternatives and will be settled upon his retirement. Following these grants, his reported direct holdings include 3,255 common-share-equivalent units from the restricted stock program and 14,219 common-share-equivalent phantom stock units.
Principal Financial Group Inc. director Clare Stack Richer received a grant of 174 shares of Common Stock as a compensation award. The shares were awarded at a stated price of $0.00 per share as a grant or other acquisition, rather than an open-market purchase. Following this award, Richer directly holds 19,095 shares of Principal Financial Group Inc. common stock.
Pickerell Blair reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc. director Blair Pickerell received a grant of 340 restricted stock units of Common Stock. The units were awarded at no cash cost per share as a compensation-related grant, increasing Pickerell’s direct holdings to 37,371 shares following the transaction.
Principal Financial Group director receives equity award. Director Diane C. Nordin acquired 264 shares of Principal Financial Group Inc. common stock on a grant or award basis, with no cash price per share. This grant is reported as restricted stock units. After the award, she directly holds 28,945 shares.
Mitchell H Elizabeth reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC director Elizabeth H. Mitchell received a grant of 100 shares of Common Stock as equity compensation. The award, described in the footnotes as a grant of restricted stock units, increased her directly held position to 10,945 shares following the transaction.
This was a compensation-related grant at no cash cost per share, rather than an open-market purchase or sale.
Muruzabal Claudio reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group Inc director Claudio Muruzabal received an equity-based compensation award in the form of 124 shares of Common Stock on March 27, 2026, reported as a grant of restricted stock units. Following this award, he directly owns 11,327 shares, indicating a relatively small, routine increase in his holdings.
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.
Principal Financial Group director Mary E. Beams received an equity award in the form of restricted stock units. On March 27, 2026, she acquired 134 shares of Common Stock at a stated price of $0.00 per share, reflecting a grant or award rather than a market purchase.
Following this compensation-related acquisition, her direct holdings increased to 14,677 Common Stock shares. The footnote clarifies the transaction was a grant of restricted stock units, a routine element of director equity compensation rather than an open-market trade.
Principal Financial Group director Roger C. Hochschild reported routine equity awards. He received 262 Phantom Stock Units at $87.0100 per unit and 355 shares of Common Stock as a grant. Following these awards, he directly holds 28,766 Phantom Stock Units and 39,008 shares of Common Stock. The phantom units are under the Principal Deferred Compensation Plan for Non-Employee Directors, convert to common stock on a one-for-one basis, and will be settled upon his retirement.
Principal Financial Group director Scott Mills reported routine equity awards rather than open-market trades. He received 182 phantom stock units tied to common stock at a reference price of $87.01 per unit, and a grant of 307 shares of common stock as restricted stock units converting one-for-one into shares.
After these awards, his reported direct holdings increased to 33,712 shares of common stock and 19,926 phantom stock units. The phantom units were acquired under the Principal Deferred Compensation Plan for Non-Employee Directors and will be settled in common stock upon his retirement, with flexibility to shift among investment alternatives within the plan.
PRINCIPAL FINANCIAL GROUP INC director Jonathan Auerbach received an equity award. On March 27, 2026, he acquired 203 shares of Common Stock at $0.00 per share through a grant classified as restricted stock units. Following this award, his directly held position increased to 20,611 shares of Common Stock, indicating a routine, compensation-related addition to his stake rather than an open-market purchase or sale.
Principal Financial Group executive Kenneth A. McCullum, EVP and Chief Risk Officer, received a grant of 88 shares of Common Stock as a restricted stock unit award on March 27, 2026. The award was granted at no cash cost per share.
After this grant, McCullum directly holds a total of 40,996 Common Stock shares, which includes 29 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout received equity awards in the form of restricted stock units on March 27, 2026. She acquired 680 shares of common stock, increasing her direct holdings to 173,255 shares. An additional 52 shares were awarded to an account held by her spouse, bringing that indirect position to 53,498 shares.
Principal Financial Group EVP & CFO Joel Pitz reported equity awards in company stock. On March 27, 2026, he received an award of 278 shares of Common Stock at no cost, described in a footnote as a grant of restricted stock units, as part of his compensation.
On the same date, an additional 3 shares were acquired as an award and are held indirectly through his spouse. Following these transactions, he holds 43,407 shares directly, with further indirect holdings through a spouse account and retirement plans. These are compensation-related grants, not open-market purchases.
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.
Kay Kathleen B reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group executive Kathleen B. Kay received an equity award from the company. On this Form 4, she was granted 469 shares of Common Stock at no cash cost, reported as a grant of restricted stock units used as part of her compensation. Following this award, she directly owns 43,902 Common Stock shares.
Principal Financial Group executive Amy Christine Friedrich received a compensation-related equity grant. On March 27, 2026, she acquired 707 shares of Common Stock as a grant of restricted stock units, with no cash paid per share.
Following the grant, she directly held 108,239 Common shares, which the disclosure notes includes 3,306 shares acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan. She also indirectly held 4,096 Common shares through a 401(k) plan.
Djurasovic George reported acquisition or exercise transactions in this Form 4 filing.
PRINCIPAL FINANCIAL GROUP INC interim general counsel George Djurasovic received a grant of 176 shares of common stock on March 27, 2026. The shares were awarded at $0.00 per share as compensation in the form of restricted stock units. After this grant, his directly held position in the company’s common stock increased to 19,335 shares, indicating a relatively small, routine equity award rather than a large ownership change.
Principal Financial Group executive Cheong Wee Yee received an equity award tied to company stock. On the reported date, Cheong acquired 667 shares of Common Stock through a grant classified as a grant or award acquisition. The transaction price per share was listed as zero, consistent with compensation-related stock grants.
After this award, Cheong directly beneficially owns 92,188 shares of Principal Financial Group common stock, according to the filing. This total includes 1,763 shares previously acquired through the Principal Financial Group, Inc. Employee Stock Purchase Plan.
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.
Agrawal Vivek reported acquisition or exercise transactions in this Form 4 filing.
Principal Financial Group EVP & Chief Growth Officer Vivek Agrawal received a grant of 278 shares of Common Stock on a compensation basis. The award is described in a footnote as a grant of restricted stock units. Following this grant, Agrawal directly holds 46,302 shares, indicating the award is relatively small compared with his overall direct ownership.
Principal Financial Group director Claudio Muruzabal reported several small open-market trades in the company’s common stock. He bought 5 shares on February 9, 2026 at $97.09 per share and 5 shares on January 2, 2025 at $77.49 per share, and sold 5 shares on April 21, 2025 at $70.05 per share. After the most recent purchase, he directly owned 11,203 shares of common stock. All transactions occurred in accounts managed by a financial advisor with full investment control, and the footnotes state they were executed without Muruzabal’s knowledge or direction. The footnotes also note that the activity did not create any short-swing profits requiring disgorgement under Section 16(b) of the Exchange Act.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout reported tax-related share dispositions under an equity award. She delivered 5,321 shares of common stock at $95.42 per share for tax withholding, leaving 172,575 shares held directly. An additional 781 shares were delivered for tax withholding from stock held indirectly by her spouse at $95.42 per share, leaving 53,446 shares held indirectly by her spouse.
Principal Financial Group EVP and CFO Joel Pitz reported tax-withholding dispositions of common stock on February 27, 2026. The transactions used 556 shares held directly and 42 shares held by his spouse at $95.42 per share to cover tax obligations. After these moves, he held 43,038 shares directly and 2,740 shares indirectly through his spouse, plus additional indirect holdings of 1,316 shares via a 401(k) and 101 shares via his spouse’s 401(k).
Principal Financial Group executive Christopher J. Littlefield reported a tax-related share disposition. On February 27, 2026, he disposed of 3,693 shares of Common Stock at $95.42 per share through a tax-withholding transaction rather than an open-market trade.
After this transaction, Littlefield directly held 75,193 Common shares. He also had 11 shares held indirectly in a revocable trust. His reported holdings include 2,957 shares acquired under the Principal Financial Group, Inc. Employee Stock Purchase Plan, showing a mix of plan-based and directly held ownership.
Principal Financial Group executive reports tax-related share disposition
Principal Financial Group’s EVP and Chief Information Officer, Kathleen B. Kay, reported a disposition of 1,870 shares of common stock at $95.42 per share on a tax-withholding basis. After this transaction, she directly holds 43,433 shares of Principal Financial Group common stock.
Principal Financial Group executive Amy Christine Friedrich, President - Benefits & Protect, reported a tax-withholding disposition of 3,801 shares of common stock on February 27, 2026. The shares were valued at $95.42 per share and were used to satisfy tax obligations, rather than sold in an open-market trade.
After this transaction, Friedrich directly holds 107,502 common shares, which includes 3,276 shares previously acquired through the company’s Employee Stock Purchase Plan. She also indirectly holds 3,945 shares through a 401(k) account.
Principal Financial Group's Interim General Counsel George Djurasovic reported a Form 4 transaction involving company common stock. On February 27, 2026, he disposed of 1,288 shares at $95.42 per share in a tax-withholding disposition related to equity compensation. After this transaction, he directly owned 19,159 shares of Principal Financial Group common stock.
Principal Financial Group Inc. executive Kenneth A. McCullum, EVP and Chief Risk Officer, reported dispositions of company common stock. On February 27, he disposed of 1,228 shares to cover tax obligations at a weighted average price of $95.42. On March 2, he reported additional issuer dispositions of 1,316 shares at $96.01 and 300 shares at $96.93 pursuant to a Rule 10b5-1 trading plan adopted on March 13, 2025. Footnotes state these shares were sold in multiple transactions within disclosed price ranges. After these transactions, he directly owned 40,908 shares of Principal Financial Group Inc. common stock.
Principal Financial Group President and CEO – PAM, Kamal Bhatia, reported disposing of a total of 6,680 shares of Common Stock in late February and early March. Two dispositions on March 2, 2026 covered 2,299 shares at a weighted average price of $95.99 and 600 shares at $96.95, executed under a Rule 10b5-1 trading plan. On February 27, 2026, 3,781 shares were disposed of to cover tax obligations through share delivery. After these transactions, Bhatia directly owned 64,515 shares.
Principal Financial Group executive reports automatic share disposition. EVP and Chief Risk Officer Kenneth A. McCullum disposed of 3,071 shares of Common Stock on February 25, 2026 at a weighted average price of $94.55 per share under a Rule 10b5-1 trading plan, leaving 43,752 shares directly owned. The transactions occurred in multiple trades between $94.28 and $94.72 per share.
PRINCIPAL FINANCIAL GROUP INC President and CEO - PAM Kamal Bhatia reported a disposition of 5,570 shares of common stock back to the issuer on February 25, 2026. The shares were transferred at a weighted average price of $94.55 per share, leaving him with 71,195 shares held directly.
This transaction was executed under a pre-established Rule 10b5-1 trading plan adopted on May 14, 2025. The filing notes that the shares were executed in multiple trades within a price range from $94.17 to $94.74, and detailed trade-level information is available upon request.
Principal Financial Group Chair, President and CEO Deanna D. Strable-Soethout reported equity awards in company stock. On February 23, 2026, she acquired 27,511 shares of common stock at a price of $0.00 per share as a grant of restricted stock units. The same day, she acquired an additional 13,557 shares at $0.00 per share upon settlement of performance-based restricted stock units originally granted on February 27, 2023.
After these acquisitions, her directly held common stock positions reported in this filing were 164,339 shares and 177,896 shares in the respective award lines. The filing also reports 54,227 shares of common stock held indirectly by her spouse.
Principal Financial Group EVP and CFO Joel Pitz reported equity awards of 10,668 shares of common stock on February 23, 2026. These shares were acquired at $0.00 per share through grants and settlement of restricted stock units, increasing his directly held stake to 43,683 shares.
He also reported indirect ownership, including shares held by his spouse and in 401(k) accounts, with reported balances of 2,782, 1,316 and 101 shares, respectively. No open-market purchases or sales were reported in this filing.
McCullum Kenneth A. reported acquisition or exercise transactions in this Form 4 filing.
Kenneth A. McCullum, EVP - Chief Risk Officer of Principal Financial Group, reported two stock grants on February 23, 2026, receiving 3,093 and 3,071 shares of common stock at no cash cost as equity awards. Following these awards, he holds 46,823 shares of Principal Financial common stock directly. Footnotes describe these awards as related to restricted stock units, an employee stock purchase plan, and settlement of performance-based restricted stock units granted February 27, 2023.
Principal Financial Group executive Christopher J. Littlefield received stock awards that increased his holdings. On February 23, 2026, he acquired 7,975 and 9,375 shares of common stock through grant or award transactions at $0.00 per share, reflecting equity compensation.
After these awards, his directly held common stock rose to 78,912 shares, which includes 2,957 shares previously acquired under the company’s Employee Stock Purchase Plan. An additional 11 shares are held indirectly in a revocable trust.
Principal Financial Group EVP-Chief Information Officer Kathleen B. Kay reported acquiring company stock through equity awards. On February 23, 2026, she received 5,417 shares via a grant of restricted stock units and 4,721 shares from settlement of performance-based restricted stock units originally granted on February 27, 2023. Both holdings are reported as direct ownership of common stock.
Principal Financial Group Inc. reported that executive Amy Christine Friedrich, President - Benefits & Protect, received stock-based compensation awards. On February 23, 2026, she acquired 9,959 and 9,653 shares of common stock at a price of $0.00 per share through grant or award transactions. Footnotes state these involve a grant of restricted stock units, settlement of performance-based restricted stock units granted on February 27, 2023, and shares acquired under the company’s employee stock purchase plan. Following these changes, she also reports 3,945 shares held indirectly through a 401(k) plan.