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DIRECTORS' COMPENSATIONAnnual Cash Retainers (1)- Board- Audit Committee Chair- Human Resources Committee Chair- Finance Committee Chair- Nominating & Governance Committee Chair- Other Committee Chairs- Lead DirectorAnnual Restricted Stock Unit Retainer (2)Meeting Attendance Fees- Regularly Scheduled Board MeetingNo Meeting fees- Non-regularly Scheduled Board Meetings (in person)$2,500 per day- Non-regularly Scheduled Board Meetings (Telephonic)- Committee Meeting- Telephonic Committee MeetingFees Earned by Directors in 2013Director NameFees Earned or
Paid in CashStock Awards
(1)TotalBetsy J. BernardJocelyn Carter-MillerGary E. CostleyMichael T. DanDennis H. FerroC. Daniel GelattSandra L. HeltonRichard L. KeyserLuca MaestriElizabeth E. TallettRestricted Stock Unit GrantsTotal Stock Options Outstanding
Fiscal year End 2013
(shares)(1)Total RSUs outstanding
Fiscal Year End 2013
(shares)New Plan Benefits TableNameDollar Equivalent of 2014
Restricted Stock Unit
AwardsBase SalaryNamed Executive OfficerPercent Increase
2012 to 2013Zimpleman2.8%Lillis5.3%Houston4.0%McCaughan2.5%ValdésAnnual Incentive Targets (as a percentage of base salary)Named Executive Officer150%175%250%300%125%n/a75%100%Final Annual Incentive Pay Award DeterminationNamed Executive
Officer2013 Salary2013
TargetFinal
Award% of
TargetReduction from
Maximum Award132%126%120%114%Long term Incentive Compensation2013 Long Term Incentive Target & Grant (as % of base salary)Target %Award Granted525%275%350%325%375%225%235%Average pretax operating ROE:2013-2015 PSU Performance ScalePerformance LevelThreshold
AwardTarget
AwardMaximum Award
(150% of Target)Payout (% of Target) (1)50%Average ROE7.5%15%19.5%Average BV/ShareSummary Compensation TableYearSalary
(1)BonusStock
Awards
(2)(3)Option
Awards
(2)Non Equity
Incentive
Compensation
(4)Change in
Pension Value
and
Non qualified
Deferred
Compensation
Earnings (5)All Other
Compensation
(6)Total
(7)Chairman,President & CEOExecutive VicePresident & CFO-$50,354Pres. Retirement,Ins. & Financial SvsPres. GlobalAsset ManagementPres. - Int'l AssetMgmt & AccumIncludes 2013 salary deferred into the qualified 401(k) plan and the Excess Plan, as shown below (information detailing deferrals for 2012 was included in last year's proxy statement):401(k) Employee
ContributionExcess Plan Employee
ContributionsTotal Employee
ContributionsGrant DateExercise
PriceVolatilityExpected
TermDividend
YieldRisk Free
Interest RateFebruary 28, 201167.88%6 years1.605%2.48%February 27, 201270.03%2.550%1.10%February 25, 201353.30%6.5 years2.997%1.13%The grant date fair value per share of each RSU or PSU granted on the same date as an option listed in the above table was equal to the exercise price reported for options granted on such date.Grant Date Value of 2013 PSUs at Maximum PayoutAmount by Which Aggregate Grant Date Values Reported Would be IncreasedThe amounts shown represent annual incentive compensation awards earned in 2013 and paid in 2014 and include the following amounts deferred into the qualified 401(k) Plan and Excess Plan:Employee Contributions
on Incentive PayAll Other Compensation for the Named Executive Officers consists of the following:Perquisites and Other
Personal Benefits
(a)Principal Life Contributions to
Defined Contribution Plans
(b)(b)401(k) Matching
Contribution Made by
Principal LifeExcess Plan Matching
Contribution Made by
Principal LifeGrants of Plan Based Awards for Fiscal Year End December 31, 2013Estimated Future Payouts
Under Non Equity
Incentive Plan AwardsEstimated Future Payouts
Under Equity
Incentive Plan Awards
(2)All Other
Stock
Awards:
Number
of
SharesAll Other
Option
Awards:
Number of
SecuritiesExercise
or Base
Price ofGrant
Date Fair
Value of
Stock andGrant
DateThresholdTargetMaximum
(1)Maximumof Stock
or Units
(3)Underlying
Options
(4)Option
Awards
(5)Option
Awards
(6)N/A02/25/2013Outstanding Equity Awards at Fiscal Year End December 31, 2013Option AwardsStock AwardsNumber of
Securities
Underlying
Unexercised
Options
Exercisable
(1)Number of
Securities
Underlying
Unexercised
Options
UnexercisableOption
Exercise
PriceOption
Expiration
DateNumber of
Shares or
Units of
Stock that
Have Not
Vested
(2)Market
Value of
Shares or
Units of
Stock
that Have
Not
VestedEquity Incentive
Plan Awards:
Number of
Unearned
Shares, Units or
Other Rights that
Have Not Vested
(3)Equity Incentive
Plan Awards:
Market or
Payout Value of
Unearned
Shares, Units or
Other Rights
that Have Not
Vested (4)Zimpleman (5)02/27/201606/01/201602/26/201702/26/201802/24/201902/23/202002/28/202102/27/202202/25/2023Lillis (6)05/19/201802/24/201402/28/2015Option Exercises and Stock VestingOPTION AWARDSSTOCK AWARDSNamed
Executive
OfficerNumber of Shares
Acquired on
ExerciseValue Realized
on Exercise
(1)Number of Shares
Acquired on
VestingValue Realized
on Vesting
(2)Zimpleman (3)Lillis (3)McCaughan (3)Valdés (3)Pension BenefitsPlan NameNumber of
Years Credited
Service
(1)Present Value of
Accumulated Benefit at
Normal Retirement Age
(2)Payments
During Last
Fiscal YearQualified Pension
NQDB$1,955,459
$15,569,541$0
$0$1,739,714
$3,603,945$574,196
$1,912,625Qualified pension
NQDB$183,055
$1,512,518$46,618
$86,344Non Qualified Deferred CompensationExecutive
Contributions in
Last Fiscal year
(1)Principal Life
Contributions in
Last Fiscal Year
(2)Aggregate
Earnings in Last
Fiscal YearAggregate
Withdrawals /
DistributionsAggregate Balance
at Last
Fiscal Year End
(3)The end of year 2013 aggregate balances includes the following deferrals and matching contributions from years prior to 2012:Employee Deferral
Prior to 1/1/2013Principal Life Match
Prior to 1/1/2013Investment Option1 Year Rate Of Return
(12/31/2013)Principal Equity Income Institutional Fund27.21%Principal LargeCap Value Institutional Fund31.21%Principal LargeCap S&P 500 Index Institutional Fund32.06%Principal LargeCap Growth Institutional Fund34.11%Principal LargeCap Growth I Institutional Fund36.68%Principal MidCap Institutional Fund33.60%Principal MidCap Growth III Institutional Fund35.62%Principal SmallCap Value II Institutional Fund39.20%Principal SmallCap S&P 600 Index Institutional Fund40.90%Principal Small Cap Growth I Institutional Fund43.00%Principal Real Estate Securities Institutional Fund4.05%Principal International Emerging Markets Institutional Fund-4.60%Principal Diversified International Institutional Fund18.73%Principal LifeTime Strategic Income Institutional Fund5.39%Principal LifeTime 2010 Institutional Fund10.93%Principal LifeTime 2020 Institutional Fund15.90%Principal LifeTime 2030 Institutional Fund19.26%Principal LifeTime 2040 Institutional Fund22.36%Principal LifeTime 2050 Institutional Fund23.81%Principal Money Market Institutional Fund0%Principal Bond & Mortgage Securities Institutional Fund-1.03%Principal Inflation Protection Institutional Fund-8.37%Principal Government & High Quality Bond Institutional Fund-1.49%Principal Financial Group, Inc. Employer Stock Fund76.33%Severance PlansNamed Executive
OfficerSeveranceOutplacement
ServicesCOBRA
ReimbursementPotential Payments Upon Termination Related to a Change of ControlCash
Severance
(1)Spread on
Previously
Unvested
OptionsValue of Previously
Unvested
Restricted Stock &
Performance
Shares (2)Benefits
Continuation
(3)Accelerated
Pension
Benefit
(4)Total
Termination
Benefits
(before
taxes)SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENTNumber of Shares
Beneficially Owned(1)Percent of
Common Stock
OutstandingCapital Research Global Investors(2)
333 South Hope Street
Los Angeles, California 90071The Vanguard Group(3)
100 Vanguard Boulevard
Malvern, Pennsylvania 19355Nippon Life Insurance Company(4)
3-5-12 Imabashi
Chuo-ku
Osaka, 541-8501, Japan*C. Daniel Gelatt(5)Daniel J. Houston(6)Terrance J. Lillis(6)James P. McCaughanLuis ValdésLarry D. ZimplemanAll Directors and Executive Officers as a group (23 persons)PK ! - docProps/app.xml
Microsoft Excel0falseWorksheets26directors compensationfees earned by directors irestricted stock unit grantsnew plan benefits tablebase salaryannual incentive targets afinal annual incentive paylong term incentive compenaverage pretax operating roesummary compensation tableincludes 2013 salary deferincludes 2013 salary defer-1the grant date fair valuethe amounts shown represenall other compensation forbgrants of plan based awardoutstanding equity awardsoption exercises and stockpension benefitsnon qualified deferred comthe end of year 2013 aggrethe end of year 2013 aggre-1severance planspotential payments upon tesecurity ownership of certfalsefalsefalse12.0000PK ! P P docProps/core.xml
2020-06-08T13:27:31Z2020-06-08T13:27:31ZPK ! qZn" [Content_Types].xml
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