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Item 9.01 Financial Statements and Exhibits.Exhibit No.DescriptionExhibit 1.1Underwriting Agreement, dated November 3, 2016, among Principal Financial Group, Inc., Principal Financial Services, Inc. and Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc. and HSBC Securities (USA) Inc., as representatives of the underwriters named in Schedule I thereto, relating to the 3.100% Senior Notes due 2026 and the 4.300% Senior Notes due 2046.Exhibit 4.1Senior Indenture, dated as of May 21, 2009, among Principal Financial Group, Inc., as issuer, Principal Financial Services, Inc., as guarantor, and The Bank of New York Mellon Trust Company, as trustee (incorporated by reference to Exhibit 4.1 to Principal Financial Group Inc.s Current Report on Form 8-K filed on May 21, 2009).Exhibit 4.2Ninth Supplemental Indenture (including the form of 3.100% Senior Note due 2026), dated as of November 10, 2016, among Principal Financial Group, Inc., as issuer, Principal Financial Services, Inc., as guarantor, and The Bank of New York Mellon Trust Company, as trustee, relating to the 3.100% Senior Notes due 2026.Exhibit 4.3Tenth Supplemental Indenture (including the form of 4.300% Senior Note due 2046), dated as of November 10, 2016, among Principal Financial Group, Inc., as issuer, Principal Financial Services, Inc., as guarantor, and The Bank of New York Mellon Trust Company, as trustee, relating to the 4.300% Senior Notes due 2046.Exhibit 4.4Guarantee of Principal Financial Services, Inc. with respect to the 3.100% Senior Notes due 2026.Exhibit 4.5Guarantee of Principal Financial Services, Inc. with respect to the 4.300% Senior Notes due 2046.Exhibit 5.1Opinion of Debevoise & Plimpton LLP with respect to the 3.100% Senior Notes due 2026, the 4.300% Senior Notes due 2046 and the related Guarantees.Exhibit 5.2Opinion of Karen E. Shaff, Executive Vice President, General Counsel and Secretary of Principal Financial Group, Inc. and Principal Financial Services, Inc. with respect to the Guarantee with respect to the 3.100% Senior Notes due 2026 and with respect to the Guarantee with respect to the 4.300% Senior Notes due 2046.Exhibit 23.1Consent of Debevoise & Plimpton LLP (contained in Exhibit 5.1).Exhibit 23.2Consent of Karen E. Shaff, Executive Vice President, General Counsel and Secretary of Principal Financial Group, Inc. and Principal Financial Services, Inc. (contained in Exhibit 5.2).SIGNATURESPRINCIPAL FINANCIAL GROUP, INC.Date: November 10, 2016By:/s/ Karen E. ShaffName:Karen E. ShaffTitle:Executive Vice President, General Counsel and SecretarySCHEDULE IPrincipal Amount of 2026
Notes
to be PurchasedPrincipal Amount of 2046
Notes
to be PurchasedUnderwriterCredit Suisse Securities (USA) LLCCitigroup Global Markets Inc.HSBC Securities (USA) Inc.Barclays Capital Inc.Goldman, Sachs & Co.Merrill Lynch, Pierce, Fenner & Smith
IncorporatedU.S. Bancorp Investments, Inc.Wells Fargo Securities, LLCBNP Paribas Securities Corp.BNY Mellon Capital Markets, LLCRBC Capital Markets, LLCCredit Agricole Securities (USA) Inc.Deutsche Bank Securities Inc.Mizuho Securities USA Inc.Samuel A. Ramirez & Company, Inc.UBS Securities LLCThe Williams Capital Group, L.P.TotalFree Writing Prospectus (to theFiled Pursuant to Rule 433Preliminary ProspectusRegistration Statement Nos. 333-195749Supplement dated November 3, 2016)333-195749-04Final Term SheetIssuer:Principal Financial Group, Inc.Issue:3.100% Senior Notes due 2026 fully and unconditionally guaranteed by Principal Financial Services, Inc. (the 2026 Notes)4.300% Senior Notes due 2046 fully and unconditionally guaranteed by Principal Financial Services, Inc. (the 2046 Notes)Offering Size:Coupon:3.100% per annum4.300% per annumTrade Date:November 3, 2016Settlement Date:November 10, 2016 (T+5)**Maturity Date:November 15, 2026November 15, 2046Treasury Benchmark:UST 1.500% due August 15, 2026UST 2.500% due May 15, 2046US Treasury Price:97-05+97-25+US Treasury Yield:1.817%2.607%Spread to Treasury:130 basis points170 basis pointsExhibit 4.2PageArticle I The Series of SecuritiesSection 1.1.EstablishmentSection 1.2.DefinitionsSection 1.3.Payment of Principal, Premium, if any, and InterestSection 1.4.DenominationsSection 1.5.No Sinking FundSection 1.6.Global SecuritiesSection 1.7.TransferSection 1.8.DefeasanceSection 1.9.Optional RedemptionSection 1.10.Events of DefaultArticle II GuaranteeSection 2.1.GuaranteeArticle III MiscellaneousSection 3.1.Recitals by the CompanySection 3.2.Application of Supplemental IndentureSection 3.3.Executed in CounterpartsSection 3.4.Governing Law; Waiver of Jury TrialExhibit AForm of Global NoteExhibit BForm of GuaranteeMISCELLANEOUS/s/ Karen E. ShaffName: Karen E. ShaffTitle: Executive Vice President, General Counsel and SecretaryPRINCIPAL FINANCIAL SERVICES, INC., as GuarantorTHE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee/s/ Teresa PettaName: Teresa PettaTitle: Vice PresidentAuthorized SignatoryPRINCIPAL FINANCIAL SERVICES, INC.Exhibit 4.3Article I The Series of SecuritiesName: Karen E. ShaffTitle: Executive Vice President, General Counsel and SecretaryPrincipal Financial Group, Inc.Very truly yours,/s/ Debevoise and Plimpton LLPPK ! כ docProps/app.xml
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