Principal Financial SEC Filings

Principal Financial Group director Alfredo Rivera received equity awards under the company's director compensation plans. The Form 4 reports acquisition of 145 restricted stock units that convert one-for-one into common shares and 30 phantom stock units tied to common stock with an assigned value of $82.62 per unit. After these transactions Mr. Rivera beneficially owns 13,938 shares of common stock and 3,197 shares relating to derivative/phantom units, held directly. The phantom units are held under the Principal Deferred Compensation Plan for Non-Employee Directors and are transferable into other plan investment alternatives, with settlement scheduled upon the reporting person’s retirement.

Christopher J. Littlefield, President - RIS at Principal Financial Group, reported a grant and his resulting holdings. On 09/26/2025 he was issued 548 restricted stock units with a $0 purchase price, increasing his direct beneficial ownership to 61,016 shares. The filing notes that the total includes 2,931 shares acquired through the company Employee Stock Purchase Plan. Additionally, 11 shares are held indirectly in a revocable trust. The Form 4 was signed on 09/30/2025 by an attorney-in-fact, Chris Agbe-Davies.

Kay Kathleen B, Executive Vice President and Chief Information Officer of Principal Financial Group Inc. (PFG), reported a grant of restricted stock units. On 09/26/2025 she was issued 404 shares (restricted stock units) with no cash price paid, increasing her reported beneficial ownership to 34,781 shares of common stock. The filing is a Form 4 statement of changes in beneficial ownership and was signed by an attorney-in-fact on 09/30/2025. The document notes the transaction type as a grant of restricted stock units.

Cheong Wee Yee, Executive Vice President, Principal Asia at Principal Financial Group, reported a transaction on 09/26/2025 showing receipt of 613 restricted stock units (RSUs) issued at no cash price. After the grant the reporting person beneficially owned 83,308 shares of Principal Financial Group common stock. The filing notes that 1,741 of those shares were acquired under the company’s Employee Stock Purchase Plan. The Form 4 is signed by an attorney-in-fact on behalf of the reporting person.

Principal Financial Group insider transaction: The Form 4 filed for Kamal Bhatia, President and CEO, reports a grant of 521 restricted stock units on 09/26/2025 at a reported price of $0 (noted as a grant). After the award, Mr. Bhatia beneficially owns 64,223 shares of Principal Financial Group, Inc. The filing was signed by an attorney-in-fact on 09/30/2025. The document lists the reporting person’s address in Des Moines, IA, and the role as President and CEO. The filing contains no other transactions, derivative activity, or explanatory details beyond the restricted stock unit grant.

Principal Financial Group insider filing: Vivek Agrawal, EVP & Chief Growth Officer, reported acquisition of 191 common stock shares on 09/26/2025 through a grant of restricted stock units at a $0 price. Following the transaction he beneficially owns 33,056 shares, held directly. The Form 4 was signed on 09/30/2025 by an attorney-in-fact, Chris Agbe-Davies. The filing discloses a routine equity award rather than a market purchase or sale.

Principal Financial Group, Inc. (PFG) Form 3 reports that George Djurasovic, identified as a director and Interim General Counsel, beneficially owns 16,637 shares of the issuer's common stock. The event requiring the statement occurred on 09/03/2025 and the Form 3 is signed by an attorney-in-fact, Chris Agbe-Davies, on 09/05/2025. No derivative securities are reported and the ownership is listed as direct. The form serves as the initial statement of beneficial ownership under Section 16.

Principal Financial Group (PFG) filed a 13F combination report for the quarter ended 06-30-2025. The filing reports 4,603 information-table entries with a total market value of $189,179,400,236. It is a combination report that lists five other included managers. The report was signed by Jill Hittner, Chief Financial Officer.