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Investor FAQ

General Information

1. Where is Principal Financial Group, Inc. common stock traded and under what symbol?

The Principal Financial Group, Inc. common stock is traded on the New York Stock Exchange (NYSE) under the symbol “PFG.”

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2. How can I find historical price information?

You can use our price lookup tool to find historical Principal Financial Group, Inc. common stock prices.

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3. How do I purchase additional shares of Principal Financial Group, Inc. common stock?

We do not presently offer a Direct Stock Purchase Plan to purchase shares directly from the Principal Financial Group®. However, you may contact your broker to purchase shares of Principal Financial Group, Inc. common stock.

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Demutualization

1. Where can I get answers to my questions regarding our demutualization?

Review demutualization materials mailed to eligible policyholders in 2001 regarding our demutualization. You may direct your questions regarding our demutualization to Shareholder Relations at 877.909.1105 or email to investor-relations@principal.com.

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2. When did The Principal® become a public company?

We completed our initial offering on October 26, 2001 at a price of $18.50 per share.

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3. What is the cost basis for shares received as the result of our demutualization?

The IRS considered the cost basis for Principal Financial Group, Inc. common stock received through our demutualization to be zero. See the cost basis document (PDF) for more detailed information. We recommend you consult your tax advisor regarding your personal tax return.

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Common Stock Dividends

See the dividends Q&A for more information about common stock dividends.

Shareholder Services

1. Where can I get additional information regarding accessing my shares of Principal Financial Group, Inc. common stock?

Review Transfer Agent information on our website for information on how to access your shareholder account.

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2. How do I update my address on the Principal Financial Group, Inc. common stock account?

If your shares are held at Computershare, please contact Computershare to update your address. Visit www.computershare.com/investor or call Computershare at 866.781.1368. If your shares are held at a brokerage firm, please contact them directly.

NOTE: Your shares are maintained separately from your Principal Financial Group policy or contract. Any changes on your stock account will not impact your policy or contract records. Similarly, changes to your Principal Financial Group policy or contract will not carry over to your stock account.

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3. How can I replace a lost or outdated dividend or sales check?

To start the replacement process, contact Computershare at 866-781-1368. A stop payment will be placed on the check and a replacement check issued.

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4. How do I sell my shares of Principal Financial Group, Inc. common stock?

If your shares are held at Computershare, please contact Computershare at 866.781.1368. If your shares are held at a brokerage firm, please contact them directly.

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5. When will I receive my tax reporting forms?

If your shares are held at Computershare, the Form 1099-DIV is attached to your fourth quarter dividend check.

If you sold shares of Principal Financial Group, Inc. common stock during the year, a Form 1099-B is issued and mailed from Computershare by January 31 the following year.

For duplicate tax forms or further questions, please contact Computershare at 866.781.1368. If your shares are held at a brokerage firm, you should contact them.

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6. How do I request a stock certificate?

Contact Computershare at 866.781.1368 to request a stock certificate be issued.

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7. How do I replace a lost or stolen stock certificate?

Please contact Computershare at 866.781.1368 to request the necessary paperwork and fees associated with the replacement.

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8. How do I transfer my shares to another owner or change the registration?

If your shares are held at Computershare, to start the transfer process, visit www.computershare.com/investor or call Computershare at 866.781.1368 to request the paperwork. If your shares are held at a brokerage firm, you should contact them.

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9. How do I transfer my shares to a broker?

You should contact your broker or financial institution to initiate this type of share transfer.

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10. What is a Medallion Signature Guarantee and why is it required?

A Medallion Signature Guarantee is used to protect shareholder accounts from unauthorized transactions. It mandates that a qualified financial institution (commercial bank, savings bank, savings and loan, US stockbroker or credit union) review the proper legal documents, witness your signature, and guarantee that you are the appropriate signator.

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Explanation of Terms

The terms used within press releases and other documents related to financials are defined below. These terms explain the ongoing results of our businesses in a manner that allows for a better understanding of the underlying trends in those businesses. 

  • Encaje is our investment in the underlying funds of our mandatory pension operations in Chile and Mexico, as required by local regulators.

  • Net revenue is defined as operating revenue less benefits, claims, settlement expenses, and dividends to policyholders. This provides a more accurate view of the ongoing revenue available to the businesses to fund operational expenses and generate profits.

  • Pretax operating earnings is defined as operating earnings before income taxes, noncontrolling interest and preferred stock dividends. This provides management better insight into the underlying trends of the businesses.  

  • Pretax return on net revenue is calculated as pretax operating earnings divided by net revenue.  This metric measures both revenue and expenses of primary business activities in Retirement and Investor Services and Principal International and provides a clearer depiction of these segments’ profitability.

  • Pretax margin is calculated as pretax operating earnings divided by operating revenue. This metric measures both the revenue and expenses associated with the company’s primary business activities and provides a clearer picture of the profitability of Principal Global Investors.  

  • Combined basis is all Principal International companies at 100 percent ownership. Using U.S. GAAP accounting presentation for joint ventures masks the size, growth and profitability of these operations.

  • Premiums and fees is the sum of premiums, fees, and other revenue. Premiums and fees provide management in US Insurance Solutions a current view of the ongoing revenue in the business.

  • Pretax operating margin is calculated as pretax operating earnings divided by premium and fees.  This metric measures the proportion of premium and fees remaining after claims and expenses, excluding income taxes, and provides an indicator of the profitability of the U.S. Insurance Solutions business.

  • Trailing twelve months is a better indicator of trend analysis because it normalizes quarterly volatility over a longer time period.

Have a question? Call us at 1.800.986.3343

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