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United States

Principal Financial Group Inc (PFG)

PFG on New York Consolidated

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20 Oct 2017
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Summary

Name Age Since Current Position

Daniel Houston

55 2016 Chairman of the Board, President, Chief Executive Officer

Nora Everett

57 2015 President - Retirement and Income Solutions

James McCaughan

63 2003 President - Principal Global Investors

Luis Valdes

59 2012 President - Principal International Segment

Timothy Dunbar

59 2014 Executive Vice President, Chief Investment Officer

Gary Scholten

59 2014 Executive Vice President, Chief Information Officer

Karen Shaff

62 2004 Executive Vice President, General Counsel

Deanna Strable-Soethout

47 2016 Executive Vice President, President, U.S. Insurance Solutions

Gregory Elming

56 2011 Senior Vice President, Chief Risk Officer

Elizabeth Tallett

68 2007 Lead Director

Betsy Bernard

61 2001 Independent Director

Jocelyn Carter-Miller

59 2001 Independent Director

Michael Dan

66 2006 Independent Director

Dennis Ferro

72 2010 Independent Director

C. Daniel Gelatt

69 2001 Independent Director

Sandra Helton

67 2001 Independent Director

Roger Hochschild

52 2015 Independent Director

Scott Mills

49 2016 Independent Director

Blair Pickerell

60 2015 Independent Director

John Egan

Vice President - Investor Relations

Biographies

Name Description

Daniel Houston

Mr. Daniel J. Houston is Chairman of the Board, President, Chief Executive Officer of the Company. He was President and Chief Executive Officer from August 18, 2015. He served as President and Chief Operating Officer from November 25, 2014-August 17, 2015. He joined Principal Life in 1984, and was President—Retirement, Investor Services ("RIS") from 2009-2014, President, RIS from 2008-2009 and Executive Vice President, RIS from 2006-2008. He is a member of the boards of directors of the American Council of Life Insurers, the Financial Services Roundtable, Business Roundtable, Iowa Business Council, Greater Des Moines Partnership, Employee Benefits Research Institute, Iowa State University Business School Dean's Advisory Council and Partnership for a Healthier America.

Nora Everett

Ms. Nora M. Everett is President - Retirement and Income Solutions of the Company. She has been President, Retirement and Income Solutions of the Company and Principal Life since March 2015. Prior to her current position, she served as President and Chief Executive Officer of Principal Funds since 2008 and Senior Vice President and Deputy General Counsel of the Company and Principal Life since 2004.

James McCaughan

Mr. James P. McCaughan is President - Principal Global Investors of the company. he served as Executive Vice President and global head of asset management for the Company and Principal Life since April 2002. From 2000 to 2002, he was Chief Executive Officer of the Americas division of Credit Suisse Asset Management in New York, New York.

Luis Valdes

Mr. Luis Valdes is President - Principal International Segment of Principal Financial Group, Inc. He has been the head of the Principal International segment of our operations since 2012, has been President, Principal International of the Company and Principal Life since 2011. Prior to his current position, he was Senior Vice President and President — PFG Latin America of the Company and Principal Life since 2010, and was Vice President — Principal International of Principal Life from 2000 until 2010.

Timothy Dunbar

Mr. Timothy M. Dunbar is Executive Vice President, Chief Investment Officer of the company. He has been Executive Vice President of the Company and Principal Life and Chief Investment Officer of the Company since January 2014. Prior to that date, he served as Senior Vice President of the Company and Principal Life since 2011, and Chief Investment Officer of the Company and Principal Life since January 2013. Prior to that date, Mr. Dunbar was in charge of Strategy and Finance for the Company and Principal Life in 2011 and 2012, overseeing the business management and strategic direction of the capital markets, corporate strategy and corporate treasury areas. He retains his responsibility for capital markets. Mr. Dunbar previously served as the executive director and head of equities for Principal Global Investors from 2004 until 2011.

Gary Scholten

Mr. Gary P. Scholten is Executive Vice President, Chief Information Officer of the company. He has been Executive Vice President and Chief Information Officer of the Company and Principal Life since February 2014. Prior to that date, he was Senior Vice President and Chief Information Officer of the Company and Principal Life since 2002. From 1998 to 2002, he was Vice President of retail information services of Principal Life.

Karen Shaff

Ms. Karen E. Shaff is Executive Vice President, General Counsel of Principal Financial Group Inc. She has been Executive Vice President and General Counsel of the Company and Principal Life since 2004 and, in addition, Secretary of the Company and Principal Life since January 2014. Prior thereto, she was Senior Vice President and General Counsel of the Company since 2001, and Senior Vice President and General Counsel of Principal Life since 2000.

Deanna Strable-Soethout

Ms. Deanna D. Strable-Soethout is a Executive Vice President, President, U.S. Insurance Solutions of the company. She has been Executive Vice President of the Company and Principal Life since September 2016 and President, U.S. Insurance Solutions of the Company and Principal Life since March 2015. Prior to that, she served as Senior Vice President of the Company and Principal Life since 2006. Effective February 14, 2017, Ms. Strable will serve as Executive Vice President and Chief Financial Officer of the Company and Principal Life, but no longer as President, U.S. Insurance Solutions.

Gregory Elming

Mr. Gregory B. Elming is no longer a Senior Vice President of the Company March 31, 2018 (intentions to retire as of March 31, 2018). He is currently serves as Senior Vice President, Chief Risk Officer of the company effective January 1, 2018. He has been Senior Vice President and Chief Risk Officer of the Company and Principal Life since 2011. Prior to that time, he was Senior Vice President and Controller of the Company and Principal Life since 2007.

Elizabeth Tallett

Ms. Elizabeth E. Tallett is a Lead Director of Principal Financial Group Inc. Ms. Tallett has been a Principal of Hunter Partners, LLC, a management company for early to mid stage pharmaceutical, biotech and medical device companies, since July 2002. She has more than 30 years' experience in the biopharmaceutical and consumer industries. She received a bachelor's degree with honors in mathematics and economics from the University of Nottingham in England.

Betsy Bernard

Ms. Betsy J. Bernard is an Independent Director of Principal Financial Group Inc. Ms. Bernard was President of AT&T from October 2002 until December 2003 where she led more than 50,000 employees with AT&T Business, then a nearly $27 billion organization serving four million business customers. She was Chief Executive Officer of AT&T Consumer 2001-2002, which served about 40 million consumers and contributed $11.5 billion to AT&T's normalized revenue in 2002. She was head of the consumer and small business division as Executive Vice President—National Mass Markets at Qwest Communications from 2000-2001, and responsible for all retail markets at U S West as Executive Vice President—Retail from 1998-2000. Ms. Bernard was a 2015 NACD Directorship 100 Honoree, and is the Chair of the Advisory Board of the Center on Religion, Culture & Conflict at Drew University.

Jocelyn Carter-Miller

Ms. Jocelyn E. Carter-Miller is an Independent Director of Principal Financial Group Inc. Ms. Carter-Miller has been President of TechEd Ventures since 2005, which specializes in the development and marketing of high performance educational and personal empowerment programming. She was Executive Vice President and Chief Marketing Officer of Office Depot, Inc. from February 2002 until March 2004, with responsibility for the company's marketing for its 846 superstores, contract, catalog and e-commerce businesses in the United States and Canada and operations in 15 other countries. Before joining Office Depot, she was Corporate Vice President and Chief Marketing Officer of Motorola, Inc. with overall responsibility for marketing across its $30 billion revenue base and diverse businesses. She also had general management responsibility while at Motorola for network operations in Latin America, Europe, the Middle East and Africa. Prior to joining Motorola, she was Vice President, Marketing and Product Development at Mattel, Inc. Ms. Carter-Miller was a 2013 NACD Directorship 100 Honoree.

Michael Dan

Mr. Michael T. Dan is an Independent Director of Principal Financial Group Inc. Mr. Dan was Chairman, President and Chief Executive Officer of The Brink's Company, a global provider of secure transportation and cash management services, from 1999-2011. The Brink's Company had 70,000 employees worldwide, operations in over 100 countries and $3.8 billion in revenue in 2011. Prior to joining Brink's, Mr. Dan served as President of Armored Vehicle Builder, Inc.

Dennis Ferro

Mr. Dennis H. Ferro is an Independent Director of Principal Financial Group Inc. Mr. Ferro served as President and Chief Executive Officer of Evergreen Investment Management Company, an asset management firm, from 2003 to 2008. Evergreen had assets under management of $175 billion on December 31, 2008, served more than four million individual and institutional investors through management of a broad range of investment products including institutional portfolios, mutual funds, variable annuities and other investments, and was led by 300 investment professionals. Mr. Ferro was the Chief Investment Officer of Evergreen from 1999 to 2003. From 1994-1999, he was Executive Vice President of Zurich Investment Management Ltd. and Head of International Equity Investments, and from 1991-1994 was Senior Managing Director of CIGNA International Investments. Prior to 1991, he held positions with Bankers Trust Company in Japan, as President and Managing Director, and in Florida and New York. Mr. Ferro is a member of the Investment Committee of the American Bankers Association. During 2009-2012, Mr. Ferro served as a corporate Director and Chairman of the Investment Committee of the New York Marine and General Insurance Company, a subsidiary of NYMAGIC, Inc.

C. Daniel Gelatt

Dr. C. Daniel Gelatt, Ph.D. is an Independent Director of Principal Financial Group Inc. Dr. Gelatt has been President of NMT Corporation since 1987. NMT is an industry leader in mobile mapping and workforce automation software and has been providing analog and digital imaging services to clients worldwide for more than 40 years. He was an Assistant Professor in the Physics Department at Harvard University, where he earned his Ph.D., and was a research manager at the IBM T.J. Watson Research Center before joining the Gelatt companies in 1982. He is a director of Advanced Marketing Concepts, Ltd., TPI Holdings, Inc., nPoint Inc., TrustPoint Inc., NMT Corporation and Elmwood Corporation.

Sandra Helton

Ms. Sandra L. Helton is an Independent Director of Principal Financial Group Inc. Ms. Helton was Executive Vice President and Chief Financial Officer—Telephone and Data Systems, Inc. ("TDS"), a diversified telecommunications organization that includes United States Cellular Corporation, from 1998 through 2006. In her role, Ms. Helton had responsibility for the Finance, Information Technology, and other corporate functions. Prior to joining TDS, Ms. Helton spent 26 years with Corning Incorporated, where she held engineering, strategy and finance positions, including Senior Vice President and Treasurer from 1991-1997. She also served as Vice President and Corporate Controller of Compaq Computer Corporation from 1997-1998.

Roger Hochschild

Mr. Roger C. Hochschild is Independent Director of Principal Financial Group, Inc. Mr. Hochschild has been the President and Chief Operating Officer of Discover Financial Services since 2004. He served as the Chief Administrative Officer, Executive Vice President and Chief Strategy Officer of Morgan Stanley from 2001 to 2004, Chief Marketing Officer of Discover Financial Services from 1998 to 2001and a Senior Executive Vice President of MBNA America Bank from 1994 to 1998. He has been a Director for Chicago Public Media since October of 2016.

Scott Mills

Mr. Scott M. Mills is an Independent Director of the Company. Mr. Mills has been Executive Vice President and Chief Administrative Officer of Viacom, Inc. since 2015 and Executive Vice President of Human Resources and Administration since 2012. Prior to that, he was President and Chief Operating Officer of Viacom's BET Networks unit, where he previously served as chief financial officer and president of Digital Media. He worked in investment banking and served as Deputy Treasurer for the City of Philadelphia before joining BET.

Blair Pickerell

Mr. Blair C. Pickerell is an Independent Director of the Company. Mr. Pickerell served as Chairman, Asia, Nikko Asset Management from 2010-July 2015. From 2007-2010, he was CEO, Asia, at Morgan Stanley Investment Management. He has also served as Chief Executive, Asia Pacific, of HSBC Asset Management and as Chairman of Jardine Fleming Funds. Mr. Pickerell's current international service includes memberships on the Supervisory Committee for the Tracker Fund of Hong Kong; on the International Advisory Board of the Securities and Exchange Board of India; on the Listing Committee of The Stock Exchange of Hong Kong; and as member of the International Advisory Council of Business and Economics of The University of Hong Kong.

John Egan