0001126328-11-000195.txt : 20110516 0001126328-11-000195.hdr.sgml : 20110516 20110516130743 ACCESSION NUMBER: 0001126328-11-000195 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCIPAL FINANCIAL GROUP INC CENTRAL INDEX KEY: 0001126328 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 421520346 STATE OF INCORPORATION: DE FISCAL YEAR END: 0224 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 001-16725 FILM NUMBER: 11845033 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 BUSINESS PHONE: 5152475111 MAIL ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392-0300 DEFA14A 1 bofn1revision1.htm FOOTNOTE REVISION bofn1revision1.htm - Generated by SEC Publisher for SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 14A
 
Proxy Statement Pursuant to Section 14(a) of
the Securities Exchange Act of 1934 (Amendment No. 2)
 
Filed by the Registrant x 
Filed by a Party other than the Registrant o 
Check the appropriate box: 
o  Preliminary Proxy Statement 
o  Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) 
o  Definitive Proxy Statement 
x  Definitive Additional Materials 
o  Soliciting Material Pursuant to §240.14a-12 
 
PRINCIPAL FINANCIAL GROUP, INC.
(Name of Registrant as Specified In Its Charter)
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
 
Payment of Filing Fee (Check the appropriate box): 
x  No fee required. 
o  Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. 
  (1)  Title of each class of securities to which transaction applies: 
____________________________________________________________________________________
  (2) 

Aggregate number of securities to which transaction applies: 

____________________________________________________________________________________

  (3)  Per unit price or other underlying value of transaction computed pursuant to 
    Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated 
    and state how it was determined): 
____________________________________________________________________________________
  (4)  Proposed maximum aggregate value of transaction: 
____________________________________________________________________________________
  (5)  Total fee paid: 
____________________________________________________________________________________
 
o  Fee paid previously with preliminary materials. 
o  Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and 
  identify the filing for which the offsetting fee was paid previously. Identify the previous 
  filing by registration statement number, or the Form or Schedule and the date of its filing. 
  (1)  Amount Previously Paid: 
____________________________________________________________________________________
  (2)  Form, Schedule or Registration Statement No.: 
____________________________________________________________________________________
  (3)  Filing Party: 
____________________________________________________________________________________
  (4)  Date Filed: 
____________________________________________________________________________________

 



Explanatory Note
 
  This amendment to Principal Financial Group, Inc.’s proxy statement is filed to correct an 
administrative error in the number of shares disclosed in footnote one to the table entitled, “Security 
Ownership of Certain Beneficial Owners and Management,” on page 51 of the proxy statement filed 
with the Securities and Exchange Commission on April 6, 2011. The number of shares disclosed in 
the footnote is a subset of the number of shares disclosed in the table. The number of shares 
disclosed in the table was accurate at the time of filing, and remains so. 
 
  The number of shares disclosed in the footnote as filed inadvertently did not include vested 
options which directors and executive officers had the ability to exercise on or before May 7, 2011, 
or 60 days from the date the proxy statement was filed. A detailed explanation of these options is 
contained in the table entitled, “Outstanding Equity Awards At Fiscal Year End December 31, 2010,” 
on page 38 of the proxy statement. 
 
  To view the 2010 annual report to shareholders and the 2011 proxy statement, please go to 
the website www.principal.com/investor/annual/index.htm. The revised footnote one follows. 
 
(1)  Includes beneficial ownership of shares which each person named in this table has the right 
  to acquire on or before May 7, 2011 pursuant to previously awarded stock options, RSUs, 
  and performance units that, although scheduled to be paid in shares in more than 60 days, 
  would be paid immediately upon termination of service, as follows: Ms. Bernard, 15,431; 
  Ms. Carter-Miller, 21,152; Dr. Costley, 19,431; Mr. Dan, 9,464; Mr. Ferro, 0; Dr. Gelatt, 
  23,589; Mr. Griswell, 1,245,390; Ms. Helton, 19,431; Mr. Kerr, 7,820; Mr. Keyser, 23,164; 
  Mr. Mathrani, 18,303; Ms. Tallett, 23,164; Mr. Houston, 327,090; Mr. Lillis, 83,619; 
  Mr. McCaughan, 642,393; Mr. Sorensen, 222,763; Mr. Zimpleman, 882,335; and all other 
  executive officers as a group, 910,875.