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Notice of Annual Meeting of ShareholdersMeeting Date:Tuesday, May 18, 2021Time:9:00 a.m., Central Daylight TimeLocation:This will be a virtual only meeting which you can join at:
http://www.meetingcenter.io/290248661 The password for the meeting is PFG2021.Directors' CompensationEffective
November 25, 2020Annual 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)Fees Earned by Non-Employee Directors in 2020NameFees Earned or
Paid in CashStock
Awards (1)TotalJonathan S. AuerbachMary E. Beams (2)Betsy J. Bernard (3)Jocelyn Carter-MillerMichael T. DanSandra L. HeltonC. Daniel Gelatt, Jr. (4)Roger C. HochschildScott M. MillsDiane C. NordinBlair C. PickerellClare S. RicherAlfredo RiveraElizabeth E. TallettNon-Employee Directors' Deferred Compensation PlanInvestment Option1 Year Rate Of Return
(12/31/2020)Principal Financial Group, Inc. Employer Stock Fund5.73%Principal LargeCap S&P 500 Index Fund (R5)17.85%Principal Real Estate Securities Fund (R5)3.38%Principal Core Plus Bond Fund (R5)9.32%Director NameTotal RSUs Outstanding
Fiscal Year End 2020
(Shares)Betsy J. BernardC. Daniel Gelatt, Jr.Summary CompensationContents:PageCompensation Discussion & Analysis ("CD&A") 2020 Company Performance Highlights 2020 Compensation Highlights Compensation Program Philosophy and Policies Summary of Compensation Elements How We Make Compensation Decisions 2020 Executive Compensation Decisions Base Salary Annual Incentive Compensation Long-term Incentive Compensation Timing of Stock Option Awards and Other Equity Incentives Benefits Change of Control and Separation Pay Stock Ownership Guidelines Hedging Policy Repricing Policy Clawback Policy Trading Policy Gross-Up Policy Human Resources Committee Report Risk Assessment of Employee Incentive PlansCompensation Tables Summary Compensation Table Grants of Plan-Based Awards for Fiscal Year End December 31, 2020 Outstanding Equity Awards at Fiscal Year End December 31, 2020 Option Exercises and Stock Vesting 2020 CEO Pay Ratio Pension Plan Information Pension Distributions Pension Benefits Non-Qualified Deferred Compensation Qualified 401(k) Plan and Excess Plan Severance Plans Change of Control Employment Agreements Potential Payments Upon Termination Related to a Change of ControlBase SalaryNamed Executive Officer201820192020Percent Increase
2019 to 2020Houston11.1%Strable-Soethout8.3%Dunbar0%HalterValdésFinal Annual Incentive Pay Award DeterminationThresholdTargetMaximumActual 2020
PerformanceOperating Earnings ($Mil.)Payout50%100%200%77%2020
Eligible
Earnings (1)2020
TargetPrinPay
ScoreIndividual
ModifierFinal Award375%80%175%400%105%358%110%95%After a threshold goal is achieved or exceeded (5) , PSUs2020-2022 PSU Performance ScalePerformance LevelThreshold
AwardTarget
AwardMaximum Award
(150% of
Target)Payout (% of Target) (1)150%Average ROE7.5%13.7%17.8%Average Pre-tax RONR25.7%30.3%34.8%YearSalary (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)Named Executive Officer401(k) Employee
ContributionExcess Plan Employee
ContributionsTotal Employee
ContributionsAmount by Which
Aggregate Grant Date
Values Reported
Would be IncreasedEmployee Contributions
on Incentive PayPerquisites &
Other Personal
Benefits (a)Principal Life
Contributions
to Defined
Contribution
Plans (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, 2020GrantEstimated Future Payouts
Under Non-Equity Incentive
Plan AwardsEstimated Future Payouts
Under Equity Incentive
Plan Awards (2)Other
StockOther
OptionExerciseFairDateMaximum (1)AwardsAwards (3)Price (4)Value (5)02/24/2020Outstanding Equity Awards at Fiscal Year End December 31, 2020Stock AwardsEquity
Incentive Plan
Awards:
Market or
payout value of
Unearned Shares,
Units, or Other
Rights that
Have Not
Vested (4)Option AwardsEquity
Incentive Plan
Awards:
Number of
Unearned Shares,
Units, or Other
Rights that
Have Not
Vested (3)Market
Value of
Shares or
Units of
Stock that
Have Not
VestedNumber 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)02/24/202402/23/202502/22/202602/27/202702/26/202802/25/202902/24/203002/26/2026ValdesOption Exercises and Stock VestingNumber of Shares
Acquired on
ExerciseValue
Realized on
Exercise (1)Number of Shares
Acquired on
VestingValue
Realized on
Vesting (2)Halter (3)AustraliaBrazilChinaFranceGermanyGreat BritainHong KongIndonesiaIrelandItalyJapanLuxembourgMalaysiaNetherlandsPhilippinesPortugalSingaporeSpainSwitzerlandThailandUnited Arab EmiratesPension BenefitsNamed Executive
OfficerPlan NameNumber of
Years
Credited
Service (1)Present
Value of
Accumulated
Benefit at
Normal
Retirement
Age (2)Payments
During Last
Fiscal YearQualified PensionNQDBDunbar (3)Non-Qualified: PRI-12 White Collar for December 31, 2019 and December 31, 2020Improvement: For December 31, 2019, RPEC-2014-v2019 model using historical data through 2017 (graduated from 2015). For December 31, 2020, RPEC-2014-v2020 model using historical data through 2018 (graduated from 2016).Convergence: For December 31, 2019, 7-year to SSA 2010-2088 improvement scale (SSA Trustees Report 2014). For December 31, 2020, 10-year to SSA 2010-2088 improvement scale (SSA Trustees Report 2014).Non-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)Employee
Deferral
Prior to
1/1/2020Principal
Life
Match
Prior to
1/1/20201 Year Rate Of Return
(12/31/2020)Principal Blue Chip Fund (Institutional)34.78%Principal Equity Income Fund (Institutional)6.54%Principal LargeCap S&P 500 Index Fund (Institutional)18.14%Principal LargeCap Growth Fund I (Institutional)36.06%Principal MidCap Fund (Institutional)18.26%Principal SmallCap Value II Fund (Institutional)3.62%Principal SmallCap S&P 600 Index Fund (Institutional)11.22%Principal SmallCap Growth I Fund (Institutional)42.06%Principal Real Estate Securities Fund (Institutional)3.23%Principal International Emerging Markets Fund (Institutional)18.44%Principal Diversified International Fund (Institutional)17.31%Principal LifeTime Hybrid 2015 Fund (R6)11.83%Principal LifeTime Hybrid 2020 Fund (R6)12.66%Principal LifeTime Hybrid 2025 Fund (R6)13.72%Principal LifeTime Hybrid 2030 Fund (R6)14.78%Principal LifeTime Hybrid 2035 Fund (R6)15.05%Principal LifeTime Hybrid 2040 Fund (R6)15.41%Principal LifeTime Hybrid 2045 Fund (R6)15.87%Principal LifeTime Hybrid 2050 Fund (R6)15.96%Principal LifeTime Hybrid 2055 Fund (R6)15.75%Principal LifeTime Hybrid 2060 Fund (R6)16.07%Principal LifeTime Hybrid 2065 Fund (R6)16.58%Principal LifeTime Hybrid Income Fund (R6)10.10%Principal Core Plus Bond Fund (Institutional)9.68%Principal Inflation Protection Fund (Institutional)10.59%Principal Government & High Quality Bond Fund (Institutional)2.75%Principal Diversified Real Asset Fund (Institutional)3.97%Principal Select Stable Value Fund0.04%SeveranceOutplacement
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
OutstandingThe Vanguard Group (2)100 Vanguard Boulevard
Malvern, Pennsylvania 19355BlackRock Inc. (3)55 East 52 nd Street
New York, NY 10055Nippon Life Insurance Company (4)3-5-12 Imabashi
Chuo-ku
Osaka, 541-8501, JapanCapital Research Global Investors(a division of Capital Research and Management Company (CRMC) (5)
333 South Hope Street
Los Angeles, CA 90071Jonathan Auerbach*Mary E. BeamsC. Daniel GelattTimothy M. DunbarPatrick G. HalterDaniel J. HoustonDeanna D. Strable-Soethout (6)Luis ValdésAll Directors and Executive Officers as a group (27 persons)Awards outstanding and shares available for grant.As of March 15, 2021After Approval of 2021 PlanShares Reserved
for Issuance of
Outstanding
Awards (1)Shares
Available For
Future AwardsShares Reserved
for Issuance of
Outstanding
AwardsShares
Available for
Future Awards2014 Plan (2)2020 Directors Plan (2)2021 PlanTypes of AwardsWeighted Average
Exercise Price ofWeighted AverageOptions/SARsFull Value AwardsTerm to Expiration2014 Plan6.59 years2020 Directors Plan0 yearsAPPENDIX CFor the year ended Dec. 31(in millions, except as indicated)20172016Net income attributable to PFGNet realized capital (gains) losses, as adjusted (1)Other after-tax adjustmentsNon-GAAP operating earningsNet realized capital gains (loses)GAAP net realized capital gains (losses)Recognition of front-end fee revenuesMarket value adjustments to fee revenuesNet realized capital gains (losses) related to equity method investmentsDerivative and hedging-related revenue adjustmentsSponsored investment fund adjustmentsAmortization of deferred acquisition costsCapital gains distributedoperating expensesAmortization of other actuarial balancesMarket value adjustments of embedded derivativesCapital gains distributedcost of interest creditedNet realized capital gains (losses) tax adjustmentsNet realized capital gains (losses) attributable to noncontrolling interest, after-taxTotal net realized capital gains (losses) after-tax adjustmentsNet realized capital gains (losses), as adjustedDiluted earnings per common shareNet incomeNet realized capital (gains) losses, as adjustedStockholders' equityNoncontrolling interestStockholders' equity attributable to Principal Financial Group, Inc.Net unrealized capital (gains) lossesNet unrecognized postretirement benefit obligationStockholders' equity, excluding AOCI other than foreign currency translation adjustment, available to common
shareholdersNet income ROE available to common stockholders (including AOCI)9.0%10.7%12.8%20.0%13.5%2.5%1.4%0.9%2.1%1.1%0.4%0.5%0.7%0.6%Net income ROE available to common stockholders (x-AOCI other than FCTA)11.7%13.2%21.4%14.0%Net realized capital (gains) losses0.2%0.4%2.8%0.0%4.9%0.6%Non-GAAP operating earnings ROE (x-AOCI other than FCTA)10.9%13.1%13.6%14.1%Book value per common share including AOCIBook value excluding AOCI other than foreign currency translation adjustmentForeign currency translationBook value per common share excluding AOCI(in millions)Total revenuesNet realized capital (gains) losses, net of related revenue adjustmentsAdjustments related to equity method investmentsNon-GAAP operating revenuesNet revenueOperating expensesNon-GAAP pre-tax operating (earnings) losses attributable to noncontrolling interest (2)Pre-tax net realized capital gains (losses)Pre-tax other adjustmentsCertain adjustments related to equity method investments and noncontrolling interestIncome before income taxesNet realized capital (gains) losses pre-tax adjustmentsIncome taxes related to equity method investmentsNon-GAAP pre-tax operating earningsIncome from continuing operations before income taxesNet (income) losses attributable to noncontrolling interestNon-GAAP pre-tax operating incomeNet income attributable to noncontrolling interestIncome taxes attributable to noncontrolling interestNon-GAAP pre-tax operating earnings (losses) attributable to noncontrolling interestPK ! Es docProps/app.xml
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