Principal Financial SEC Filings

Principal Financial Group, Inc. (PFG) filed a Form 4 disclosing that Executive Chairman and Director Daniel J. Houston acquired additional equity on 06/27/2025.

• 859 restricted stock units (RSUs) were granted at a stated price of $0, increasing Houston’s direct share count to 271,613 common shares.
• He also reported 18 phantom stock units valued at $79.19 each, bringing total phantom holdings to 1,909 units; these convert 1-for-1 into common stock upon settlement.
• Indirect ownership remains unchanged at 45,823 shares (Joan M. Houston 2021 Trust), 125,000 shares (Daniel J. Houston 2019 DGT Exempt Trust) and 4,117 shares via the 401(k) plan.

The transactions reflect routine equity compensation and deferred-compensation elections rather than open-market purchases or sales. No shares were disposed of, and there is no indication of material impact on PFG’s float or governance structure.

Principal Financial Group, Inc. (PFG) filed a Form 4 disclosing that Executive Chairman and Director Daniel J. Houston acquired additional equity on 06/27/2025.

• 859 restricted stock units (RSUs) were granted at a stated price of $0, increasing Houston’s direct share count to 271,613 common shares.
• He also reported 18 phantom stock units valued at $79.19 each, bringing total phantom holdings to 1,909 units; these convert 1-for-1 into common stock upon settlement.
• Indirect ownership remains unchanged at 45,823 shares (Joan M. Houston 2021 Trust), 125,000 shares (Daniel J. Houston 2019 DGT Exempt Trust) and 4,117 shares via the 401(k) plan.

The transactions reflect routine equity compensation and deferred-compensation elections rather than open-market purchases or sales. No shares were disposed of, and there is no indication of material impact on PFG’s float or governance structure.

Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025

President – Retirement & Income Solutions (RIS) Christopher J. Littlefield reported an equity award granted on 06/27/2025. The filing shows the acquisition of 550 shares of common stock, recorded at $0 per share, consistent with a restricted stock unit (RSU) grant (see Footnote 1). Following this transaction, Littlefield directly owns 60,441 PFG shares. He also reports indirect ownership of 11 shares held in a revocable trust.

The footnotes clarify that the direct total includes 2,904 shares accumulated through the company’s Employee Stock Purchase Plan. No derivative securities or sales were disclosed and there were no other transactional codes besides “A” (acquisition).

The transaction represents a routine equity compensation grant to a senior executive and does not, by itself, signal a material change in ownership or company outlook.

Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025

President – Retirement & Income Solutions (RIS) Christopher J. Littlefield reported an equity award granted on 06/27/2025. The filing shows the acquisition of 550 shares of common stock, recorded at $0 per share, consistent with a restricted stock unit (RSU) grant (see Footnote 1). Following this transaction, Littlefield directly owns 60,441 PFG shares. He also reports indirect ownership of 11 shares held in a revocable trust.

The footnotes clarify that the direct total includes 2,904 shares accumulated through the company’s Employee Stock Purchase Plan. No derivative securities or sales were disclosed and there were no other transactional codes besides “A” (acquisition).

The transaction represents a routine equity compensation grant to a senior executive and does not, by itself, signal a material change in ownership or company outlook.

Principal Financial Group (PFG) Form 4 filing: Executive Vice President & Chief Information Officer Kathleen B. Kay reported the grant of 405 restricted stock units (RSUs) on 27 June 2025. The RSUs were acquired at $0 cost, reflecting a routine equity award rather than an open-market purchase. Following the award, Kay’s direct beneficial ownership increased to 34,377 common shares. No derivative securities transactions or dispositions were disclosed, and the filing contains no additional financial metrics or company-level information.

The transaction is modest in size when compared with PFG’s ~250 million shares outstanding and appears to be part of the company’s regular long-term incentive program, aligning executive compensation with shareholder interests. There is no indication of selling activity or material change in insider sentiment. Accordingly, the market impact is expected to be neutral.

Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025. Executive Vice-President, Principal Asia, Wee Yee Cheong reported the award of 617 restricted stock units (treated as an acquisition of common stock at a stated price of $0) on 06/27/2025. Following the grant, the executive’s direct beneficial ownership totals 82,684 common shares, which already includes 1,730 shares accumulated through the company’s Employee Stock Purchase Plan. No derivative securities transactions were reported, and there was no open-market buying or selling activity disclosed. The filing reflects routine equity compensation designed to align management incentives with shareholder interests rather than a discretionary purchase. No other insiders were listed, and no amendments to prior filings were noted.

Principal Financial Group, Inc. (PFG) – Form 4 filing dated 07/01/2025. Executive Vice-President, Principal Asia, Wee Yee Cheong reported the award of 617 restricted stock units (treated as an acquisition of common stock at a stated price of $0) on 06/27/2025. Following the grant, the executive’s direct beneficial ownership totals 82,684 common shares, which already includes 1,730 shares accumulated through the company’s Employee Stock Purchase Plan. No derivative securities transactions were reported, and there was no open-market buying or selling activity disclosed. The filing reflects routine equity compensation designed to align management incentives with shareholder interests rather than a discretionary purchase. No other insiders were listed, and no amendments to prior filings were noted.

Principal Financial Group, Inc. (PFG) – Form 4 filing: EVP & Chief Growth Officer Vivek Agrawal reported the grant of 192 restricted stock units (RSUs) on 06/27/2025. The RSUs were recorded at a transaction price of $0, indicating they were part of the company’s equity-based compensation program rather than an open-market purchase. Following this award, Agrawal’s direct beneficial ownership rose to 32,865 common shares. No derivative transactions were disclosed. The filing is a routine Section 16 disclosure with no indication of open-market buying or selling and therefore carries limited market impact.

Principal Financial Group, Inc. (PFG) – Form 4 filing: EVP & Chief Growth Officer Vivek Agrawal reported the grant of 192 restricted stock units (RSUs) on 06/27/2025. The RSUs were recorded at a transaction price of $0, indicating they were part of the company’s equity-based compensation program rather than an open-market purchase. Following this award, Agrawal’s direct beneficial ownership rose to 32,865 common shares. No derivative transactions were disclosed. The filing is a routine Section 16 disclosure with no indication of open-market buying or selling and therefore carries limited market impact.