|
Ticker
Symbols by Share Class | ||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
California
Municipal |
SRCMX |
SRCCX |
|
PCMFX |
|
|
|
|
|
Core
Fixed Income |
CMPIX |
CNMCX |
PIOJX |
PIOIX |
PIOMX |
PIOOX |
PIOPX |
PIOQX |
PICNX |
Core
Plus Bond |
PRBDX |
|
PBMJX |
PMSIX |
PBOMX |
PBMMX |
PBMSX |
PBMPX |
|
Diversified
Income |
PGBAX |
PGDCX |
|
PGDIX |
|
|
|
|
PGBLX |
Diversified
International |
PRWLX |
|
PIIJX |
PIIIX |
PDVIX |
PINRX |
PINLX |
PINPX |
PDIFX |
Equity
Income |
PQIAX |
PEUCX |
PEIJX |
PEIIX |
PIEMX |
PEIOX |
PEIPX |
PEIQX |
|
Finisterre
Emerging Markets Total Return Bond |
|
|
|
PFUMX |
|
|
|
|
|
Global
Emerging Markets |
PRIAX |
|
PIEJX |
PIEIX |
PIXEX |
PEAPX |
PESSX |
PEPSX |
PIIMX |
Global
Real Estate Securities |
POSAX |
|
|
POSIX |
|
PGRKX |
PGRVX |
PGRUX |
PGRSX |
Government
& High Quality Bond |
CMPGX |
|
PMRJX |
PMRIX |
PMGRX |
PRCMX |
PMRDX |
PMREX |
|
Government
Money Market |
|
|
|
PGVXX |
|
|
|
|
PGWXX |
High
Income |
|
|
|
PYHIX |
|
|
|
|
|
High
Yield |
CPHYX |
CCHIX |
|
PHYTX |
|
|
|
|
PHYFX |
Inflation
Protection |
|
|
PIPJX |
PIPIX |
PISPX |
PIFPX |
PIFSX |
PBPPX |
|
International
I |
|
|
|
PINIX |
PPISX |
PRPPX |
PUPPX |
PTPPX |
PIIDX |
LargeCap
Growth I |
PLGAX |
|
PLGJX |
PLGIX |
PCRSX |
PPUMX |
PPUSX |
PPUPX |
PLCGX |
LargeCap
S&P 500 Index |
PLSAX |
PLICX |
PSPJX |
PLFIX |
PLPIX |
PLFMX |
PLFSX |
PLFPX |
|
LargeCap
Value III |
|
|
PLVJX |
PLVIX |
PESAX |
PPSFX |
PPSSX |
PPSRX |
|
MidCap |
PEMGX |
PMBCX |
PMBJX |
PCBIX |
PMSBX |
PMBMX |
PMBSX |
PMBPX |
PMAQX |
MidCap
Growth |
|
|
PMGJX |
PGWIX |
PMSGX |
PFPPX |
PIPPX |
PHPPX |
|
MidCap
Growth III |
|
|
PPQJX |
PPIMX |
PHASX |
PPQMX |
PPQSX |
PPQPX |
|
MidCap
S&P 400 Index |
|
|
PMFJX |
MPSIX |
PMSSX |
PMFMX |
PMFSX |
PMFPX |
PMAPX |
MidCap
Value I |
PCMVX |
|
PVEJX |
PVMIX |
PLASX |
PMPRX |
PABWX |
PABVX |
PCMSX |
Money
Market |
PCSXX |
|
PMJXX |
|
|
|
|
|
|
Overseas |
|
|
|
PINZX |
|
PINTX |
PINUX |
|
|
Principal
Capital Appreciation |
CMNWX |
CMNCX |
|
PWCIX |
PCAMX |
PCAOX |
PCAPX |
PCAQX |
|
Principal
LifeTime Strategic Income |
PALTX |
|
PLSJX |
PLSIX |
PLAIX |
PLSMX |
PLSSX |
PLSPX |
|
Principal
LifeTime 2010 |
PENAX |
|
PTAJX |
PTTIX |
PVASX |
PTAMX |
PTASX |
PTAPX |
|
Principal
LifeTime 2015 |
|
|
|
LTINX |
LTSGX |
LTAPX |
LTSLX |
LTPFX |
|
Principal
LifeTime 2020 |
PTBAX |
|
PLFJX |
PLWIX |
PWASX |
PTBMX |
PTBSX |
PTBPX |
|
Principal
LifeTime 2025 |
|
|
|
LTSTX |
LTSNX |
LTVPX |
LTEEX |
LTPDX |
|
Principal
LifeTime 2030 |
PTCAX |
|
PLTJX |
PMTIX |
PXASX |
PTCMX |
PTCSX |
PTCPX |
|
Principal
LifeTime 2035 |
|
|
|
LTIUX |
LTANX |
LTAOX |
LTSEX |
LTPEX |
|
Principal
LifeTime 2040 |
PTDAX |
|
PTDJX |
PTDIX |
PYASX |
PTDMX |
PTDSX |
PTDPX |
|
Principal
LifeTime 2045 |
|
|
|
LTRIX |
LTRGX |
LTRVX |
LTRLX |
LTRDX |
|
Principal
LifeTime 2050 |
PPEAX |
|
PFLJX |
PPLIX |
PZASX |
PTERX |
PTESX |
PTEFX |
|
Principal
LifeTime 2055 |
|
|
|
LTFIX |
LTFGX |
LTFDX |
LTFLX |
LTFPX |
|
Principal
LifeTime 2060 |
|
|
PLTAX |
PLTZX |
PLTRX |
PLTCX |
PLTMX |
PLTOX |
|
Principal
LifeTime 2065 |
|
|
|
PLJIX |
PLJAX |
PLJCX |
PLJDX |
PLJEX |
|
Principal
LifeTime 2070 |
|
|
PLTLX |
PLTGX |
PLTSX |
PLTDX |
PLTBX |
PLTFX |
|
Principal
LifeTime Hybrid Income |
|
|
PHJFX |
PHTFX |
|
|
|
|
PLTYX |
Principal
LifeTime Hybrid 2015 |
|
|
PHJMX |
PHTMX |
|
|
|
|
PLRRX |
Principal
LifeTime Hybrid 2020 |
|
|
PHJTX |
PHTTX |
|
|
|
|
PLTTX |
Principal
LifeTime Hybrid 2025 |
|
|
PHJQX |
PHTQX |
|
|
|
|
PLFTX |
Principal
LifeTime Hybrid 2030 |
|
|
PHJNX |
PHTNX |
|
|
|
|
PLZTX |
Principal
LifeTime Hybrid 2035 |
|
|
PHJJX |
PHTJX |
|
|
|
|
PLRTX |
Principal
LifeTime Hybrid 2040 |
|
|
PHJEX |
PLTQX |
|
|
|
|
PLMTX |
Principal
LifeTime Hybrid 2045 |
|
|
PHJYX |
PHTYX |
|
|
|
|
PLNTX |
Principal
LifeTime Hybrid 2050 |
|
|
PHJUX |
PHTUX |
|
|
|
|
PLJTX |
Principal
LifeTime Hybrid 2055 |
|
|
PHJBX |
PLTNX |
|
|
|
|
PLHTX |
Principal
LifeTime Hybrid 2060 |
|
|
PHJGX |
PLTHX |
|
|
|
|
PLKTX |
Principal
LifeTime Hybrid 2065 |
|
|
PHJDX |
PLHHX |
|
|
|
|
PLHRX |
Principal
LifeTime Hybrid 2070 |
|
|
PLKJX |
PLKSX |
|
|
|
|
PLKRX |
Real
Estate Securities |
PRRAX |
PRCEX |
PREJX |
PIREX |
PRAEX |
PRERX |
PRETX |
PREPX |
PFRSX |
SAM
Balanced |
SABPX |
SCBPX |
PSAJX |
PSBIX |
PSBGX |
PBAPX |
PSBLX |
PSBFX |
|
|
Ticker
Symbols by Share Class | ||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
SAM
Conservative Balanced |
SAIPX |
SCIPX |
PCBJX |
PCCIX |
PCSSX |
PCBPX |
PCBLX |
PCBFX |
|
SAM
Conservative Growth |
SAGPX |
SCGPX |
PCGJX |
PCWIX |
PCGGX |
PCGPX |
PCWSX |
PCWPX |
|
SAM
Flexible Income |
SAUPX |
SCUPX |
PFIJX |
PIFIX |
PFIGX |
PFIPX |
PFILX |
PFIFX |
|
SAM
Strategic Growth |
SACAX |
SWHCX |
PSWJX |
PSWIX |
PSGGX |
PSGPX |
PSGLX |
PSGFX |
|
Short-Term
Income |
SRHQX |
STCCX |
PSJIX |
PSHIX |
PSIMX |
PSIOX |
PSIPX |
PSIQX |
|
SmallCap |
PLLAX |
PSMCX |
PSBJX |
PSLIX |
PSABX |
PSBMX |
PSBSX |
PSBPX |
PSMLX |
SmallCap
Growth I |
|
|
PSIJX |
PGRTX |
PNASX |
PPNMX |
PPNSX |
PPNPX |
PCSMX |
SmallCap
S&P 600 Index |
|
|
PSSJX |
PSSIX |
PSAPX |
PSSMX |
PSSSX |
PSSPX |
PSPIX |
SmallCap
Value II |
|
|
PSMJX |
PPVIX |
PCPTX |
PJARX |
PSTWX |
PLARX |
PSMVX |
Tax-Exempt
Bond |
PTEAX |
PTBCX |
|
PITEX |
|
|
|
|
|
|
Share
Class | ||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
California
Municipal |
X |
X |
|
X |
|
|
|
|
|
Core
Fixed Income |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Core
Plus Bond |
X |
|
X |
X |
X |
X |
X |
X |
|
Diversified
Income |
X |
X |
|
X |
|
|
|
|
X |
Diversified
International |
X |
|
X |
X |
X |
X |
X |
X |
X |
Equity
Income |
X |
X |
X |
X |
X |
X |
X |
X |
|
Finisterre
Emerging Markets Total Return Bond |
|
|
|
X |
|
|
|
|
|
Global
Emerging Markets |
X |
|
X |
X |
X |
X |
X |
X |
X |
Global
Real Estate Securities |
X |
|
|
X |
|
X |
X |
X |
X |
Government
& High Quality Bond |
X |
|
X |
X |
X |
X |
X |
X |
|
Government
Money Market |
|
|
|
X |
|
|
|
|
X |
High
Income |
|
|
|
X |
|
|
|
|
|
High
Yield |
X |
X |
|
X |
|
|
|
|
X |
Inflation
Protection |
|
|
X |
X |
X |
X |
X |
X |
|
International
I |
|
|
|
X |
X |
X |
X |
X |
X |
LargeCap
Growth I |
X |
|
X |
X |
X |
X |
X |
X |
X |
LargeCap
S&P 500 Index |
X |
X |
X |
X |
X |
X |
X |
X |
|
LargeCap
Value III |
|
|
X |
X |
X |
X |
X |
X |
|
MidCap |
X |
X |
X |
X |
X |
X |
X |
X |
X |
MidCap
Growth |
|
|
X |
X |
X |
X |
X |
X |
|
MidCap
Growth III |
|
|
X |
X |
X |
X |
X |
X |
|
MidCap
S&P 400 Index |
|
|
X |
X |
X |
X |
X |
X |
X |
MidCap
Value I |
X |
|
X |
X |
X |
X |
X |
X |
X |
Money
Market |
X |
|
X |
|
|
|
|
|
|
Overseas |
|
|
|
X |
X |
X |
X |
|
|
Principal
Capital Appreciation |
X |
X |
|
X |
X |
X |
X |
X |
|
Principal
LifeTime Strategic Income |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2010 |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2015 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2020 |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2025 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2030 |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2035 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2040 |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2045 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2050 |
X |
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2055 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2060 |
|
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime 2065 |
|
|
|
X |
X |
X |
X |
X |
|
Principal
LifeTime 2070 |
|
|
X |
X |
X |
X |
X |
X |
|
Principal
LifeTime Hybrid Income |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2015 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2020 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2025 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2030 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2035 |
|
|
X |
X |
|
|
|
|
X |
|
Share
Class | ||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
Principal
LifeTime Hybrid 2040 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2045 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2050 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2055 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2060 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2065 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2070 |
|
|
X |
X |
|
|
|
|
X |
Real
Estate Securities |
X |
X |
X |
X |
X |
X |
X |
X |
X |
SAM
Balanced |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM
Conservative Balanced |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM
Conservative Growth |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM
Flexible Income |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM
Strategic Growth |
X |
X |
X |
X |
X |
X |
X |
X |
|
Short-Term
Income |
X |
X |
X |
X |
X |
X |
X |
X |
|
SmallCap |
X |
X |
X |
X |
X |
X |
X |
X |
X |
SmallCap
Growth I |
|
|
X |
X |
X |
X |
X |
X |
X |
SmallCap
S&P 600 Index |
|
|
X |
X |
X |
X |
X |
X |
X |
SmallCap
Value II |
|
|
X |
X |
X |
X |
X |
X |
X |
Tax-Exempt
Bond |
X |
X |
|
X |
|
|
|
|
|
Share
Class |
Maximum
Annualized
Rule
12b-1
Fee |
A(1)(2)
|
0.25%(3)
|
C(2)
|
1.00% |
J(2)
|
0.15% |
R-1 |
0.35% |
R-3 |
0.25% |
R-4 |
0.10% |
Fund/Portfolio |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
California
Municipal |
$ 1,327 |
$ 1,281 |
$ 46 |
Core
Fixed Income |
1,071 |
1,071 |
— |
Core
Plus Bond |
452 |
445 |
7 |
Diversified
Income |
7,001 |
7,001 |
— |
Diversified
International |
890 |
875 |
15 |
Equity
Income |
4,610 |
4,404 |
206 |
Finisterre
Emerging Markets Total Return Bond |
5 |
5 |
— |
Global
Emerging Markets |
362 |
354 |
8 |
Global
Real Estate Securities |
365 |
352 |
13 |
Government
& High Quality Bond |
535 |
528 |
7 |
Government
Money Market |
— |
— |
— |
High
Income |
— |
— |
— |
High
Yield |
1,719 |
1,689 |
30 |
Fund/Portfolio |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
Inflation
Protection |
$ 55 |
$ 51 |
$ 4 |
International
I |
12 |
12 |
— |
LargeCap
Growth I |
2,011 |
1,934 |
77 |
LargeCap
S&P 500 Index |
3,338 |
3,166 |
172 |
LargeCap
Value III |
159 |
155 |
4 |
MidCap |
6,172 |
6,172 |
— |
MidCap
Growth |
209 |
206 |
3 |
MidCap
Growth III |
85 |
83 |
2 |
MidCap
S&P 400 Index |
456 |
423 |
33 |
MidCap
Value I |
443 |
432 |
11 |
Money
Market |
752 |
— |
752 |
Overseas |
2 |
2 |
— |
Principal
Capital Appreciation |
3,203 |
3,143 |
60 |
Principal
LifeTime 2010 |
404 |
395 |
9 |
Principal
LifeTime 2015 |
78 |
75 |
3 |
Principal
LifeTime 2020 |
1,761 |
1,735 |
26 |
Principal
LifeTime 2025 |
358 |
339 |
19 |
Principal
LifeTime 2030 |
2,676 |
2,630 |
46 |
Principal
LifeTime 2035 |
307 |
297 |
10 |
Principal
LifeTime 2040 |
1,893 |
1,867 |
26 |
Principal
LifeTime 2045 |
230 |
227 |
3 |
Principal
LifeTime 2050 |
926 |
912 |
14 |
Principal
LifeTime 2055 |
132 |
130 |
2 |
Principal
LifeTime 2060 |
90 |
89 |
1 |
Principal
LifeTime 2065 |
13 |
12 |
1 |
Principal
LifeTime 2070(1) |
— |
— |
— |
Principal
LifeTime Hybrid 2015 |
116 |
116 |
— |
Principal
LifeTime Hybrid 2020 |
302 |
302 |
— |
Principal
LifeTime Hybrid 2025 |
367 |
367 |
— |
Principal
LifeTime Hybrid 2030 |
294 |
294 |
— |
Principal
LifeTime Hybrid 2035 |
230 |
230 |
— |
Principal
LifeTime Hybrid 2040 |
195 |
195 |
— |
Principal
LifeTime Hybrid 2045 |
119 |
119 |
— |
Principal
LifeTime Hybrid 2050 |
96 |
96 |
— |
Principal
LifeTime Hybrid 2055 |
43 |
43 |
— |
Principal
LifeTime Hybrid 2060 |
19 |
19 |
— |
Principal
LifeTime Hybrid 2065 |
8 |
8 |
— |
Principal
LifeTime Hybrid 2070(2) |
— |
— |
— |
Principal
LifeTime Hybrid Income |
59 |
59 |
— |
Principal
LifeTime Strategic Income |
180 |
173 |
7 |
Real
Estate Securities |
1,597 |
1,495 |
102 |
SAM
Balanced |
9,837 |
9,683 |
154 |
SAM
Conservative Balanced |
3,717 |
3,637 |
80 |
SAM
Conservative Growth |
6,977 |
6,844 |
133 |
SAM
Flexible Income |
6,551 |
6,330 |
221 |
SAM
Strategic Growth |
4,568 |
4,461 |
107 |
Short-Term
Income |
1,142 |
1,057 |
85 |
SmallCap |
1,341 |
1,262 |
79 |
Fund/Portfolio |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
SmallCap
Growth I |
$ 172 |
$ 164 |
$ 8 |
SmallCap
S&P 600 Index |
566 |
535 |
31 |
SmallCap
Value II |
53 |
51 |
2 |
Tax-Exempt
Bond |
1,225 |
1,170 |
55 |
Underwriting
Fees for Periods Ended October 31
(amounts
in thousands) | ||||||
|
2022 |
2021 |
2020 | |||
Fund/Portfolio |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
California
Municipal |
$ 77 |
$ 59 |
$ 94 |
$ 31 |
$ 286 |
$ 194 |
Core
Fixed Income |
87 |
28 |
249 |
77 |
240 |
78 |
Core
Plus Bond |
48 |
14 |
72 |
21 |
107 |
29 |
Diversified
Income |
267(1) |
73 |
411 |
114 |
738 |
218 |
Diversified
International |
161 |
33 |
214 |
37 |
159 |
29 |
Equity
Income |
682 |
133 |
895 |
159 |
939 |
196 |
Finisterre
Emerging Markets Total Return
Bond |
3 |
1 |
17(2) |
5 |
11 |
2 |
Global
Emerging Markets |
76(3) |
15 |
117 |
23 |
74 |
13 |
Global
Real Estate Securities |
100 |
18 |
62 |
11 |
102 |
20 |
Government
& High Quality Bond |
71 |
23 |
103 |
32 |
183 |
36 |
High
Income |
— |
— |
1 |
— |
9 |
2 |
High
Yield |
139 |
39 |
169 |
44 |
222 |
65 |
Inflation
Protection |
5 |
5 |
3 |
1 |
13 |
3 |
International
I |
— |
— |
3 |
1 |
40 |
6 |
LargeCap
Growth I |
273 |
59 |
409 |
80 |
346 |
63 |
LargeCap
S&P 500 Index |
516 |
139 |
557 |
141 |
620 |
150 |
LargeCap
Value III |
2 |
2 |
— |
— |
1 |
1 |
MidCap |
574 |
106 |
838 |
152 |
665 |
114 |
MidCap
Growth |
6 |
6 |
8 |
8 |
4 |
4 |
MidCap
Growth III |
— |
— |
1 |
1 |
1 |
1 |
MidCap
S&P 400 Index |
4 |
4 |
6 |
6 |
10 |
10 |
MidCap
Value I |
130 |
25 |
132 |
22 |
89 |
15 |
Money
Market |
175 |
175 |
103 |
103 |
76 |
76 |
Principal
Capital Appreciation |
376 |
66 |
456 |
74 |
459 |
76 |
Principal
Lifetime Strategic Income |
33 |
18 |
27 |
6 |
20 |
5 |
Principal
LifeTime 2010 |
10 |
5 |
16 |
6 |
29 |
8 |
Principal
LifeTime 2020 |
104 |
50 |
140 |
60 |
137 |
47 |
Principal
LifeTime 2030 |
335 |
84 |
387 |
82 |
378 |
76 |
Principal
LifeTime 2040 |
342 |
74 |
368 |
81 |
358 |
79 |
Principal
LifeTime 2050 |
506 |
90 |
462 |
79 |
404 |
73 |
Principal
LifeTime 2060 |
4 |
4 |
6 |
6 |
2 |
2 |
Principal
LifeTime Hybrid Income |
22 |
22 |
4 |
4 |
6 |
6 |
Principal
LifeTime Hybrid 2015 |
45 |
45 |
7 |
7 |
9 |
9 |
Principal
LifeTime Hybrid 2020 |
103 |
103 |
57 |
57 |
26 |
26 |
Principal
LifeTime Hybrid 2025 |
157 |
157 |
76 |
76 |
34 |
34 |
Principal
LifeTime Hybrid 2030 |
92 |
92 |
46 |
46 |
23 |
23 |
Principal
LifeTime Hybrid 2035 |
85 |
85 |
43 |
43 |
36 |
36 |
Principal
LifeTime Hybrid 2040 |
77 |
77 |
37 |
37 |
31 |
31 |
Underwriting
Fees for Periods Ended October 31
(amounts
in thousands) | ||||||
|
2022 |
2021 |
2020 | |||
Fund/Portfolio |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Total
Underwriting
Commissions |
Amount
Retained
by
PFD |
Principal
LifeTime Hybrid 2045 |
$ 57 |
$ 57 |
$ 20 |
$ 20 |
$ 21 |
$ 21 |
Principal
LifeTime Hybrid 2050 |
51 |
51 |
23 |
23 |
12 |
12 |
Principal
LifeTime Hybrid 2055 |
28 |
28 |
9 |
9 |
4 |
4 |
Principal
LifeTime Hybrid 2060 |
11 |
11 |
3 |
3 |
4 |
4 |
Principal
LifeTime Hybrid 2065 |
3 |
3 |
1 |
1 |
— |
— |
Real
Estate Securities |
280 |
55 |
243 |
46 |
367 |
70 |
SAM
Balanced |
2,044 |
542 |
2,277 |
444 |
2,067 |
417 |
SAM
Conservative Balanced |
844 |
311 |
1,098 |
260 |
927 |
227 |
SAM
Conservative Growth |
1,791 |
396 |
1,858 |
379 |
1,704 |
322 |
SAM
Flexible Income |
918 |
399 |
1,172 |
375 |
1,176 |
361 |
SAM
Strategic Growth |
1,447 |
283 |
1,465 |
262 |
1,519 |
291 |
Short-Term
Income |
469 |
137 |
553 |
159 |
450 |
136 |
SmallCap |
247 |
56 |
380 |
61 |
210 |
36 |
SmallCap
Growth I |
2 |
2 |
10 |
10 |
4 |
4 |
SmallCap
S&P 600 Index |
4 |
4 |
4 |
4 |
3 |
3 |
SmallCap
Value II |
1 |
1 |
6 |
2 |
18 |
3 |
Tax-Exempt
Bond |
155 |
85 |
164 |
56 |
177 |
72 |
Fund |
2022
Turnover |
2021
Turnover |
Comments |
California
Municipal |
38.9% |
13.2% |
Turnover
increased in 2022 due to interest rate volatility resulting in investor
redemptions. |
SmallCap |
18.7% |
38.0% |
Turnover
decreased in 2022 due to weakened market
conditions. |
Tax-Exempt
Bond |
59.3% |
24.8% |
Turnover
increased in 2022 due to interest rate volatility resulting in investor
redemptions. |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
15(c)
Committee
Karen
McMillan, Chair
Fritz
S. Hirsch
Padelford
L. Lattimer
Mary
M. VanDeWeghe |
The
Committee’s primary purpose is to assist the Board in performing the
annual review of
the
Funds’ advisory and sub-advisory agreements pursuant to Section 15(c) of
the 1940 Act.
The
Committee is responsible for requesting and reviewing related
materials. |
6 |
Audit
Committee
Victor
L. Hymes, Chair
Leroy
T. Barnes, Jr.
Frances
P. Grieb
Elizabeth
A. Nickels
Mary
M. VanDeWeghe |
The
Committee’s primary purpose is to assist the Board by serving as an
independent and
objective
party to monitor the Fund Complex’s accounting policies, financial
reporting, and
internal
control system, as well as the work of the independent registered public
accountants.
The
Audit Committee assists Board oversight of 1) the integrity of the Fund
Complex’s
financial
statements; 2) the Fund Complex’s compliance with certain legal and
regulatory
requirements;
3) the independent registered public accountants’ qualifications and
independence;
and 4) the performance of the Fund Complex’s independent registered public
accountants.
The Audit Committee also provides an open avenue of communication among
the
independent registered public accountants, PGI’s internal auditors, Fund
Complex
management,
and the Board. |
10 |
Executive
Committee
Timothy
M. Dunbar, Chair
Craig
Damos
Patrick
G. Halter |
The
Committee’s primary purpose is to exercise certain powers of the Board
when the Board
is
not in session. When the Board is not in session, the Committee may
exercise all powers of
the
Board in the management of the Fund Complex’s business except the power to
1) issue
stock,
except as permitted by law; 2) recommend to the shareholders any action
that requires
shareholder
approval; 3) amend the bylaws; or 4) approve any merger or share exchange
that
does
not require shareholder approval. |
None |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
Nominating
and Governance
Committee
Elizabeth
A. Nickels, Chair
Craig
Damos
Fritz
S. Hirsch
Victor
L. Hymes |
The
Committee’s primary purpose is to oversee the structure and efficiency of
the Board and
the
committees. The Committee is responsible for evaluating Board membership
and
functions,
committee membership and functions, insurance coverage, and legal matters.
The
Committee’s
nominating functions include selecting and nominating Independent Board
Member
candidates for election to the Board. Generally, the Committee requests
nominee
suggestions
from Board Members and management. In addition, the Committee considers
candidates
recommended by shareholders of the Fund Complex. Recommendations should
be
submitted in writing to the Principal Funds Complex Secretary, in care of
the Principal
Funds
Complex, 711 High Street, Des Moines, IA 50392. Such recommendations must
include
all information specified in the Committee’s charter and must conform with
the
procedures
set forth in Appendix A thereto, which can be found at https://
secure02.principal.com/publicvsupply/GetFile?fm=MM13013&ty=VOP&EXT=.VOP.
Examples
of such information include the nominee’s biographical information;
relevant
educational
and professional background of the nominee; the number of shares of each
Fund
owned of record and beneficially by the nominee and by the recommending
shareholder;
any other information regarding the nominee that would be required to be
disclosed
in a proxy statement or other filing required to be made in connection
with the
solicitation
of proxies for the election of board members; whether the nominee is an
“interested
person” of the Funds as defined in the 1940 Act; and the written consent
of the
nominee
to be named as a nominee and serve as a board member if
elected.
When
evaluating a potential nominee for Independent Board Member, the Committee
may
consider,
among other factors: educational background; relevant business and
industry
experience;
whether the person is an “interested person” of the Funds as defined in
the 1940
Act;
and whether the person is willing to serve, and willing and able to commit
the time
necessary
to attend meetings and perform the duties of an Independent Board Member.
In
addition,
the Committee may consider whether a candidate’s background, experience,
skills
and
views would complement the background, experience, skills and views of
other Board
Members
and would contribute to the diversity of the Board. The final decision is
based on a
combination
of factors, including the strengths and the experience an individual may
bring to
the
Board. The Board does not regularly use the services of professional
search firms to
identify
or evaluate potential candidates or nominees. |
6 |
Operations
Committee
Padelford
L. Lattimer, Chair
Craig
Damos
Katharin
S. Dyer
Karen
McMillan |
The
Committee’s primary purpose is to review and oversee the provision of
administrative
and
distribution services to the Fund Complex, communications with the Fund
Complex’s
shareholders,
and the Fund Complex’s operations. |
6 |
INDEPENDENT
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Leroy
T. Barnes, Jr.
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2012) |
Retired |
132 |
McClatchy
Newspapers,
Inc.
(2000 –
2020);
Frontier
Communi-
cations,
Inc. (2005 –
2019) |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Craig
Damos
711
High Street
Des
Moines, IA 50392
1954 |
Lead
Independent Board Member
(since
2020) |
President,
C.P. Damos
Consulting,
LLC (consulting
services) |
132 |
None |
Director,
PFI and PVC (since 2008) | ||||
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Katharin
S. Dyer
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2023) |
Founder
and Chief
Executive
Officer, PivotWise
(consulting
services)
Global
Partner, IBM
(technology
company) from
2016–2018 |
132 |
Liquidity
Services, Inc.
(2020
–
present) |
Trustee,
PDSRA and PETF (since
2023) | ||||
Frances
P. Grieb
711
High Street
Des
Moines, IA 50392
1960 |
Director,
PFI and PVC (since 2023) |
Retired |
132 |
First
Interstate
BancSystem,
Inc. (2022
–
present);
Great
Western Bancorp,
Inc.
and Great Western
Bank
(2014 –
2022) |
Trustee,
PDSRA and PETF (since
2023) | ||||
Fritz
S. Hirsch
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2005) |
Interim
CEO, MAM USA
(manufacturer
of infant and
juvenile
products) from
February
2020 to October
2020 |
132 |
MAM
USA (2011 –
present) |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Victor
L. Hymes
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2020) |
Founder,
CEO, CIO, Legato
Capital
Management, LLC
(investment
management
company) |
132 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
|
INDEPENDENT
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Padelford
L. Lattimer
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2020) |
Managing
Partner, TBA
Management
Consulting
LLC
(management
consulting
and staffing
company) |
132 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
Karen
McMillan
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2014) |
Founder/Owner,
Tyche
Consulting
LLC (consulting
services)
Managing
Director,
Patomak
Global Partners,
LLC
(financial
services
consulting)
from 2014 –
2021 |
132 |
None |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Elizabeth
A. Nickels
711
High Street
Des
Moines, IA 50392
1962 |
Director,
PFI and PVC (since 2015) |
Retired |
132 |
SpartanNash
(2000 –
2022) |
Trustee,
PETF (since 2015) | ||||
Trustee,
PDSRA (since 2019) | ||||
Mary
M. VanDeWeghe
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2018) |
CEO
and President, Forte
Consulting,
Inc. (financial
and
management
consulting) |
132 |
Helmerich
& Payne
(2019
–
present);
Denbury
Resources Inc.
(2019
–
2020) |
Trustee,
PETF (since 2018) | ||||
Trustee,
PDSRA (since 2019) |
INTERESTED
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Positions
with PGI
and
its affiliates;
Principal
Occupation(s)
During
Past 5 Years**
(unless
noted otherwise) |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Timothy
M. Dunbar
711
High Street
Des
Moines, IA 50392
1957 |
Chair
(since 2019) |
PGI President
(2018-2021)
Director
(2018-2020) PFGI,
PFSI, and PLIC Division
President (2020-2021)
President
(2018-2020) Post Director
(2018-2020) RobustWealth Chair
and Executive Vice President
(2018-2021) |
132 |
None |
Director,
PFI and PVC (since 2019) | ||||
Trustee,
PDSRA and PETF
(since
2019) | ||||
Patrick
G. Halter
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2017) |
PGI Chair
(since 2018)
Chief
Executive Officer and
President
(since 2018)
Director
(since 2003) PFGI,
PFSI, and PLIC President
and Chief Executive
Officer
- PAM (since 2022)
President
- PGAM (2020-2022) Post Director
(since 2017)
Chair
(2017-2020) Principal-REI President
- PGAM (since 2022)
Director
and Chair (since 2004)
Chief
Executive Officer and
President
(2018-2021) Origin Director
(2018-2019) |
132 |
None |
Trustee,
PETF (since 2017) | ||||
Trustee,
PDSRA (since 2019) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Kamal
Bhatia
711
High Street
Des
Moines, IA 50392
1972 |
President
and Chief Executive Officer
(since
2019) |
PGI Director
(since 2019)
President-Principal
Funds (since 2019) PFD Director
(since 2019) PFGI,
PFSI, and PLIC Senior
Executive Director and Chief Operating Officer - PAM (since
2022)
Senior
Executive Director and Chief Operating Officer - PGI
(2020-2022)
President-Principal
Funds (2019-2020) Post Director
(since 2020) Principal-REI Senior
Executive Director and Chief Operating Officer - PGI
(since
2022)
Director
(since 2020) PSS Executive
Vice President (since 2019)
Director
and Chair (2019-2022) Spectrum Director
(since 2021) Origin Additional
Director (since 2022) Oppenheimer
Funds Senior
Vice President (2011-2019) |
Randy
D. Bolin
711
High Street
Des
Moines, IA 50392
1961 |
Assistant
Tax Counsel (since 2020) |
Vice
President/Associate General Counsel, PGI (since 2016)
Vice
President/Associate General Counsel, PFSI (since 2013)
Vice
President/Associate General Counsel, PLIC (since
2013) |
Beth
Graff
711
High Street
Des
Moines, IA 50392
1968 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Fund Accounting, PLIC (since 2016) |
Gina
L. Graham
711
High Street
Des
Moines, IA 50392
1965 |
Treasurer
(since 2016) |
Vice
President and Treasurer, PGI (since 2016)
Vice
President and Treasurer, PFD (since 2016)
Vice
President and Treasurer, PFSI (since 2016)
Vice
President and Treasurer, PLIC (since 2016)
Vice
President and Treasurer, Principal - REI (since 2017)
Vice
President and Treasurer, PSI (since 2016)
Vice
President and Treasurer, PSS (since 2016)
Vice
President and Treasurer, RobustWealth, Inc. (since
2018) |
Megan
Hoffmann
711
High Street
Des
Moines, IA 50392
1979 |
Vice
President and Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2020)
Assistant
Director –
Accounting, PLIC (2017-2020) |
Laura
B. Latham
711
High Street
Des
Moines, IA 50392
1986 |
Assistant
Counsel and Assistant
Secretary
(since 2018) |
Counsel,
PGI (since 2018)
Counsel,
PLIC (since 2018) |
Diane
K. Nelson
711
High Street
Des
Moines, IA 50392
1965 |
AML
Officer (since 2016) |
Chief
Compliance Officer/AML Officer, PSS (since 2015) |
Tara
Parks
711
High Street
Des
Moines, IA 50392
1983 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2019)
Tax
Manager –
ALPS Fund Services (2011-2019) |
Deanna
Y. Pellack
711
High Street
Des
Moines, IA 50392
1987 |
Assistant
Counsel and Assistant
Secretary
(since 2022) |
Counsel,
PLIC (since 2022)
Vice
President, The Northern Trust Company (2019-2022)
Second
Vice President, The Northern Trust Company (2014-2019)
Secretary,
Advisers Investment Trust (2021-2022)
Assistant
Secretary, Advisers Investment Trust
(2018-2021) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Sara
L. Reece
711
High Street
Des
Moines, IA 50392
1975 |
Vice
President and Chief Operating
Officer
(since 2021)
Vice
President and Controller
(2016-2021) |
Managing
Director –
Global Fund Ops, PLIC (since 2021)
Managing
Director –
Financial Analysis/ Planning, PLIC (2021)
Director
–
Accounting, PLIC (2015-2021) |
Teri
R. Root
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Compliance Officer (since 2018)
Interim
Chief Compliance Officer
(2018) |
Chief
Compliance Officer - Funds, PGI (since 2018)
Vice
President, PSS (since 2015) |
Michael
Scholten
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Financial Officer (since 2021) |
Chief
Operations Officer, PFD (since 2022)
Chief
Financial Officer, PFD (2016-2022)
Assistant
Vice President and Actuary, PLIC (since 2021)
Chief
Financial Officer –
Funds/Platforms, PLIC (since 2015)
Chief
Financial Officer, PSS (since 2015) |
Adam
U. Shaikh
711
High Street
Des
Moines, IA 50392
1972 |
Assistant
Secretary (since 2022)
Assistant
Counsel (since 2006) |
Assistant
General Counsel, PGI (since 2018)
Counsel,
PLIC (since 2006) |
John
L. Sullivan
711
High Street
Des
Moines, IA 50392
1970 |
Assistant
Counsel and Assistant
Secretary
(since 2019) |
Counsel,
PGI (since 2020)
Counsel,
PLIC (since 2019)
Prior
thereto, Attorney in Private Practice |
Dan
L. Westholm
711
High Street
Des
Moines, IA 50392
1966 |
Assistant
Treasurer (since 2006) |
Assistant
Vice President-Treasury, PGI (since 2013)
Assistant
Vice President-Treasury, PFD (since 2013)
Assistant
Vice President-Treasury, PLIC (since 2014)
Assistant
Vice President-Treasury, PSI (since 2013)
Assistant
Vice President-Treasury, PSS (since 2013) |
Beth
C. Wilson
711
High Street
Des
Moines, IA 50392
1956 |
Vice
President and Secretary
(since
2007) |
Director
and Secretary-Funds, PLIC (since
2007) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Clint
L. Woods
711
High Street
Des
Moines, IA 50392
1961 |
Counsel,
Vice President, and Assistant
Secretary
(since 2018) |
PGI Vice
President, Associate General Counsel, and Assistant Secretary
(since
2021)
Vice
President, Associate General Counsel, and Secretary
(2020-2021)
Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (2018-2020) PFD Vice
President, Associate General Counsel, and Secretary (since
2021)
Vice
President, Associate General Counsel, and
Assistant
Corporate Secretary (2019-2021) PFSI Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) PLIC Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) Post Assistant
Secretary (since 2021)
Secretary
(2020-2021) Principal-REI Vice
President, Associate General Counsel, Governance Officer,
and
Secretary (since 2020)
Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (2020) PSI Vice
President, Associate General Counsel, and Secretary
(2021-2022)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) PSS Vice
President, Associate General Counsel, and Secretary (since
2021)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) RobustWealth,
Inc. Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(since 2019) Spectrum Assistant
Secretary (since 2021)
Secretary
(2020-2021) |
Jared
A. Yepsen
711
High Street
Des
Moines, IA 50392
1981 |
Assistant
Tax Counsel (since 2017) |
Counsel,
PGI (2017-2019)
Counsel,
PLIC (since 2015) |
A |
$0 |
B |
$1
up to and including $10,000 |
C |
$10,001
up to and including $50,000 |
D |
$50,001
up to and including $100,000 |
E |
$100,001
or more |
Independent
Board Members | ||||||||||
Fund/Portfolio |
Barnes |
Damos |
Dyer(1)
|
Grieb(1)
|
Hirsch |
Hymes |
Lattimer |
McMillan |
Nickels |
VanDeWeghe |
Core
Fixed Income |
A |
A |
A |
A |
A |
E |
A |
A |
A |
A |
Core
Plus Bond |
A |
E |
A |
A |
C |
A |
B |
A |
A |
A |
Diversified
Income |
E |
A |
A |
A |
C |
E |
A |
C |
A |
A |
Diversified
International |
A |
A |
A |
A |
C |
D |
A |
A |
A |
A |
Equity
Income |
A |
D |
A |
A |
A |
A |
A |
A |
A |
A |
Global
Emerging Markets |
A |
A |
A |
A |
C |
A |
A |
A |
A |
A |
Global
Real Estate Securities |
A |
A |
A |
A |
C |
D |
A |
A |
A |
A |
High
Yield |
A |
A |
A |
A |
C |
A |
B |
A |
A |
A |
LargeCap
S&P 500 Index |
A |
A |
A |
A |
D |
A |
A |
A |
A |
A |
MidCap |
A |
E |
A |
A |
A |
A |
A |
A |
E |
A |
Principal
LifeTime 2030 |
A |
A |
A |
A |
E |
A |
A |
A |
A |
A |
Real
Estate Securities |
A |
A |
A |
A |
A |
C |
A |
A |
A |
A |
SAM
Conservative Growth |
A |
E |
A |
A |
A |
A |
A |
A |
A |
A |
SmallCap |
A |
D |
A |
A |
A |
A |
A |
A |
A |
A |
Total
Fund Complex |
E |
E |
A |
A |
E |
E |
C |
E |
E |
E |
Interested
Board Members | ||
Fund |
Dunbar |
Halter |
Equity
Income |
A |
E |
Government
& High Quality Bond |
A |
C |
LargeCap
Growth I |
C |
E |
Money
Market |
A |
B |
Principal
Capital Appreciation |
D |
A |
Ownership
through participation in
an
Employee Benefit Plan |
Dunbar |
Halter |
LargeCap
S&P 500 Index |
A |
E |
Principal
LifeTime Hybrid 2015 |
E |
A |
Principal
LifeTime Hybrid 2020 |
D |
A |
Principal
LifeTime Hybrid 2030 |
D |
A |
Total
Fund Complex |
E |
E |
Board
Member |
Funds
in this SAI(1)
|
Fund
Complex |
Leroy
T. Barnes, Jr. |
$234,792 |
$310,000 |
Craig
Damos |
$282,712 |
$373,250 |
Katharin
S. Dyer(2)
|
$0 |
$0 |
Frances
P. Grieb(2)
|
$0 |
$0 |
Fritz
S. Hirsch |
$251,441 |
$332,000 |
Victor
L. Hymes |
$253,719 |
$335,000 |
Padelford
L. Lattimer |
$240,084 |
$317,000 |
Karen
McMillan |
$249,576 |
$329,500 |
Elizabeth
A. Nickels |
$257,504 |
$340,000 |
Mary
M. VanDeWeghe |
$242,363 |
$320,000 |
Sub-Advisor: |
AllianceBernstein
L.P. (“AllianceBernstein”)
is a Delaware limited partnership, the majority limited
partnership
units in which are held, directly and indirectly, by its parent company
Equitable Holdings, Inc.
(“EQH”),
a publicly traded holding company for a diverse group of financial
services companies.
AllianceBernstein
Corporation, an indirect wholly-owned subsidiary of EQH, is the general
partner of
both
AllianceBernstein and AllianceBernstein Holding L.P. (“ABH”), a publicly
traded partnership. As of
September
30, 2022, ABH owned approximately 36.5% of the issued and outstanding
AllianceBernstein
Units;
EQH and its subsidiaries had an approximate 62.8% economic interest in
AllianceBernstein
(including
both the general partnership and limited partnership interests in ABH and
AllianceBernstein);
and
unaffiliated holders 0.7%. |
Fund(s): |
a
portion of the assets of SmallCap Growth I |
Sub-Advisor: |
Barrow,
Hanley, Mewhinney & Strauss, LLC (doing
business as Barrow Hanley Global Investors)
(“Barrow
Hanley”)
is an indirect subsidiary of Perpetual Limited (“Perpetual”) (ASX:PPT), an
Australian
financial
services firm. |
Fund(s): |
a
portion of the assets of LargeCap Value III and a portion of the assets of
Overseas |
Sub-Advisor: |
BlackRock
Financial Management, Inc. (“BlackRock”)
is an indirect wholly-owned subsidiary of
BlackRock,
Inc. |
|
Sub-Sub-Advisor: BlackRock
International Limited
is an indirect wholly-owned subsidiary of
BlackRock,
Inc. |
Fund(s): |
Inflation
Protection |
Sub-Advisor: |
Brown
Advisory, LLC (“Brown”)
is a wholly-owned subsidiary of Brown Advisory Management,
LLC. |
Fund(s): |
a
portion of the assets of LargeCap Growth I and a portion of the assets of
SmallCap Growth I |
Sub-Advisor: |
Causeway
Capital Management LLC (“Causeway”)
is wholly owned by Causeway Capital Holdings
LLC. |
Fund(s): |
a
portion of the assets of Overseas |
Sub-Advisor: |
Eagle
Asset Management, Inc.
is a wholly-owned subsidiary of Carillon Tower Advisers, Inc., which is
a
wholly-owned subsidiary of Raymond James Financial,
Inc. |
Fund(s): |
a
portion of the assets of MidCap Growth III |
Sub-Advisor: |
Emerald
Advisers, LLC (“Emerald”)
is a wholly-owned subsidiary of Emerald Asset Management PA,
LLC,
which is 51% owned by a subsidiary of 1251 Capital Group, Inc., a
financial services holding
company. |
Fund(s): |
SmallCap
Growth I |
Sub-Advisor: |
Hotchkis
and Wiley Capital Management, LLC
is a limited liability company, the primary members of
which
are HWCap Holdings, LLC, a limited liability company whose members are
current and former
employees,
and Stephens-H&W, LLC, a limited liability company whose primary
member is SF Holding
Corp.,
a diversified holding company. |
Fund(s): |
a
portion of the assets of SmallCap Value II |
Sub-Advisor: |
Insight
North America LLC (“INA”)
is a wholly-owned subsidiary of The Bank of New York Mellon
Corporation,
a banking and financial services company. INA is a registered investment
advisor under the
Investment
Advisers Act of 1940, is regulated by the U.S. Securities and Exchange
Commission, and is
organized
as a New York State limited liability company. |
Fund(s): |
a
portion of the assets of High Income |
Sub-Advisor: |
Los
Angeles Capital Management LLC (“Los Angeles Capital”)
is a California limited liability
company.
It is owned by key employees through its parent holding companies, LACM
Holdings Inc. and
LACM
Equity LLC (collectively, the “Parent Company”). Thomas D. Stevens,
Chairman, and Hal W.
Reynolds,
Co-Chief Investment Officer, hold a controlling equity interest in the
Parent Company. |
Fund(s): |
a
portion of the assets of MidCap Value I |
Sub-Advisor: |
Nuveen
Asset Management, LLC (“Nuveen Asset Management”)
is an investment advisor
registered
with the SEC, whose sole managing member is Nuveen Funds Advisors, LLC.
Nuveen Asset
Management
is an indirect subsidiary of Teachers Insurance and Annuity Association of
America, which
constitutes
the ultimate principal owner of Nuveen Asset
Management. |
Fund(s): |
a
portion of the assets of Diversified Income |
Sub-Advisor: |
Origin
Asset Management LLP (doing
business as Principal Origin)
(“Origin”)
is an indirect
majority-owned
subsidiary of Principal Financial Services, Inc., an affiliate of PGI, and
a member of
Principal®. |
Fund(s): |
International
Fund I |
Sub-Advisor: |
PineBridge
Investments LLC (“PineBridge”)
is a wholly-owned subsidiary of PineBridge Investments
Holdings
US LLC, which is a wholly-owned subsidiary of PineBridge Investments,
L.P., a company
owned
by Pacific Century Group, an Asia-based private investment group. Pacific
Century Group is
majority
owned by Mr. Richard Li Tzar Kai. |
Fund(s): |
a
portion of the assets of Diversified
Income |
Sub-Advisor: |
Polen
Capital Credit, LLC (f/k/a
DDJ Capital Management, LLC) (“Polen
Credit”)
is a private
Massachusetts
limited liability company that is wholly owned by Polen Capital
Management, LLC. Polen
Capital
Management, LLC, which controls Polen Credit, is controlled by its
Management Committee,
which
consists of Stan C. Moss, CEO; Daniel Davidowitz, Portfolio Manager and
Analyst; and Damon
Ficklin,
Head of Team, Portfolio Manager, and Analyst. The Management Committee is
controlled by
Messrs.
Moss and Davidowitz. |
Fund(s): |
a
portion of the assets of Diversified Income and a portion of the assets of
High Income |
Sub-Advisor: |
Post
Advisory Group, LLC (“Post”)
is an indirect majority-owned subsidiary of Principal Financial
Group,
Inc. |
Fund(s): |
a
portion of the assets of Diversified Income and a portion of the assets of
High Income |
Sub-Advisor: |
Principal
Real Estate Investors, LLC (doing
business as Principal Real Estate)
(“Principal - REI”)
is
an
indirect subsidiary of Principal Financial Group,
Inc. |
Fund(s): |
Global
Real Estate Securities, Real Estate Securities, and a portion of the
assets of Diversified Income |
Sub-Advisor: |
Robert
W. Baird & Co. Incorporated (“Baird”)
is owned directly by Baird Financial Corporation
(“BFC”).
BFC is, in turn, owned by Baird Financial Group, Inc. (“BFG”), which is
the ultimate parent
company
of Baird. Employees of Baird own substantially all of the outstanding
stock of BFG. |
Fund(s): |
a
portion of the assets of MidCap Growth III |
Sub-Advisor: |
Spectrum
Asset Management, Inc. (“Spectrum”)
is an indirect subsidiary of Principal Financial
Group,
Inc. |
Fund(s): |
a
portion of the assets of Diversified Income |
Sub-Advisor: |
T.
Rowe Price Associates, Inc. (“T. Rowe Price”)
is a wholly-owned subsidiary of T. Rowe Price
Group,
Inc., a financial services holding company. |
Fund(s): |
a
portion of the assets of LargeCap Growth I |
Sub-Advisor: |
Vaughan
Nelson Investment Management, L.P. (“Vaughan Nelson”)
is a subsidiary of Natixis
Investment
Managers, LLC. |
Fund(s): |
a
portion of the assets of SmallCap Value II |
Sub-Advisor: |
Victory
Capital Management Inc. (“Victory Capital”)
is an indirect wholly-owned subsidiary of Victory
Capital
Holdings, Inc. (“VCH”), a publicly traded Delaware
corporation. |
Fund(s): |
a
portion of the assets of MidCap Value I |
Sub-Advisor: |
Westwood
Management Corp. (“Westwood”),
a New York corporation, is a wholly-owned subsidiary
of
Westwood Holdings Group, Inc., a publicly held company traded on the New
York Stock Exchange. |
Fund(s): |
a
portion of the assets of LargeCap Value
III |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Over
$1.5
billion |
California
Municipal |
0.40% |
0.38% |
0.36% |
0.35% |
Finisterre
Emerging Markets Total Return Bond |
0.75 |
0.74 |
0.73 |
0.72 |
Government
& High Quality Bond |
0.49 |
0.47 |
0.45 |
0.44 |
MidCap
Growth |
0.65 |
0.63 |
0.61 |
0.60 |
MidCap
Growth III |
0.82 |
0.80 |
0.78 |
0.77 |
SmallCap |
0.75 |
0.73 |
0.71 |
0.70 |
Tax-Exempt
Bond |
0.40 |
0.38 |
0.36 |
0.35 |
Fund |
All
Assets |
Principal
LifeTime Strategic Income |
0.00% |
Principal
LifeTime 2010 |
0.00 |
Principal
LifeTime 2015 |
0.00 |
Principal
LifeTime 2020 |
0.00 |
Principal
LifeTime 2025 |
0.00 |
Principal
LifeTime 2030 |
0.00 |
Principal
LifeTime 2035 |
0.00 |
Principal
LifeTime 2040 |
0.00 |
Principal
LifeTime 2045 |
0.00 |
Principal
LifeTime 2050 |
0.00 |
Principal
LifeTime 2055 |
0.00 |
Principal
LifeTime 2060 |
0.00 |
Principal
LifeTime 2065 |
0.00 |
Principal
LifeTime 2070 |
0.00 |
Principal
LifeTime Hybrid Income |
0.00 |
Principal
LifeTime Hybrid 2015 |
0.00 |
Principal
LifeTime Hybrid 2020 |
0.00 |
Principal
LifeTime Hybrid 2025 |
0.00 |
Principal
LifeTime Hybrid 2030 |
0.00 |
Principal
LifeTime Hybrid 2035 |
0.00 |
Principal
LifeTime Hybrid 2040 |
0.00 |
Principal
LifeTime Hybrid 2045 |
0.00 |
Principal
LifeTime Hybrid 2050 |
0.00 |
Principal
LifeTime Hybrid 2055 |
0.00 |
Principal
LifeTime Hybrid 2060 |
0.00 |
Principal
LifeTime Hybrid 2065 |
0.00 |
Principal
LifeTime Hybrid 2070 |
0.00 |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Over
$3
billion |
Core
Plus Bond |
0.49% |
0.47% |
0.45% |
0.44% |
0.42% |
0.39% |
Diversified
Income |
0.69 |
0.67 |
0.65 |
0.64 |
0.63 |
0.62 |
Global
Emerging Markets |
0.99 |
0.97 |
0.95 |
0.94 |
0.93 |
0.92 |
Global
Real Estate Securities |
0.90 |
0.88 |
0.86 |
0.85 |
0.84 |
0.83 |
High
Income |
0.65 |
0.63 |
0.61 |
0.60 |
0.59 |
0.58 |
Inflation
Protection |
0.40 |
0.38 |
0.36 |
0.35 |
0.34 |
0.33 |
International
I |
0.65 |
0.63 |
0.61 |
0.60 |
0.59 |
0.58 |
LargeCap
Value III |
0.80 |
0.78 |
0.76 |
0.75 |
0.73 |
0.70 |
MidCap
Value I |
0.68 |
0.66 |
0.64 |
0.63 |
0.62 |
0.61 |
Money
Market |
0.40 |
0.39 |
0.38 |
0.37 |
0.36 |
0.35 |
Overseas |
0.93 |
0.91 |
0.89 |
0.88 |
0.87 |
0.86 |
SmallCap
Growth I |
0.88 |
0.86 |
0.84 |
0.83 |
0.82 |
0.81 |
SmallCap
Value II |
0.95 |
0.93 |
0.91 |
0.90 |
0.89 |
0.88 |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$9
billion |
Over
$12
billion |
LargeCap
Growth I |
0.66% |
0.64% |
0.62% |
0.61% |
0.60% |
0.59% |
0.58% |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$2
billion |
Next
$2
billion |
Next
$3
billion |
Next
$10
billion |
Real
Estate Securities |
0.85% |
0.83% |
0.81% |
0.80% |
0.79% |
0.78% |
0.77% |
0.76% |
0.75% |
Fund |
First
$1
billion |
Next
$3
billion |
Next
$3
billion |
Next
$3
billion |
Over
$10
billion |
Core
Fixed Income |
0.39% |
0.38% |
0.37% |
0.36% |
0.34% |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$7
billion |
Over
$10
billion |
Diversified
International |
0.80% |
0.78% |
0.76% |
0.75% |
0.73% |
0.70% |
0.69% |
Fund |
First
$250
million |
Next
$250
million |
Next
$6.5
billion |
Next
$3
billion |
Next
$2
billion |
Next
$3
billion |
Over
$15
billion |
Equity
Income |
0.60% |
0.55% |
0.50% |
0.49% |
0.48% |
0.46% |
0.44% |
Fund |
First
$250
million |
Over
$250
million |
High
Yield |
0.625% |
0.50% |
Fund |
First
$3
billion |
Next
$3
billion |
Over
$6
billion |
LargeCap
S&P 500 Index |
0.15% |
0.13% |
0.10% |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$9.5
billion |
Next
$2.5
billion |
Next
$3
billion |
Next
$4
billion |
Next
$3
billion |
Over
$25
billion |
MidCap |
0.65% |
0.63% |
0.61% |
0.60% |
0.59% |
0.58% |
0.57% |
0.56% |
0.55% |
0.53% |
0.51% |
Fund |
All
Assets |
Government
Money Market |
0.15% |
MidCap
S&P 400 Index |
0.15 |
SmallCap
S&P 600 Index |
0.15 |
Fund |
First
$500
million |
Next
$500
million |
Over
$1
billion |
Principal
Capital Appreciation |
0.625% |
0.50% |
0.375% |
Portfolio |
First
$3
billion |
Next
$4
billion |
Next
$4
billion |
Next
$4
billion |
Over
$15
billion |
SAM
Balanced* |
0.35% |
0.30% |
0.25% |
0.20% |
0.18% |
SAM
Conservative Balanced* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM
Conservative Growth* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM
Flexible Income* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM
Strategic Growth* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
Fund |
First
$2
billion |
Next
$2
billion |
Over
$4
billion |
Short-Term
Income |
0.38% |
0.36% |
0.33% |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
California
Municipal |
N/A |
N/A |
N/A |
0.46% |
2/29/2024 |
Core
Fixed Income |
N/A |
N/A |
N/A |
0.46% |
2/29/2024 |
Core
Plus Bond |
0.84% |
N/A |
N/A |
0.56% |
2/29/2024 |
Diversified
Income |
N/A |
N/A |
N/A |
0.68% |
2/29/2024 |
Diversified
International |
N/A |
N/A |
N/A |
0.85% |
2/29/2024 |
Equity
Income |
N/A |
N/A |
N/A |
0.52% |
2/29/2024 |
Finisterre
Emerging Markets Total Return Bond |
N/A |
N/A |
N/A |
0.85% |
2/29/2024 |
Global
Emerging Markets |
1.45% |
N/A |
1.30% |
1.10% |
2/29/2024 |
Global
Real Estate Securities |
N/A |
N/A |
N/A |
0.94% |
2/29/2024 |
Government
& High Quality Bond |
N/A |
N/A |
N/A |
0.53% |
2/29/2024 |
Government
Money Market |
N/A |
N/A |
N/A |
0.20% |
2/29/2024 |
High
Yield |
N/A |
N/A |
N/A |
0.61% |
2/29/2024 |
International
I |
N/A |
N/A |
N/A |
0.79% |
2/29/2024 |
LargeCap
S&P 500 Index |
N/A |
1.30% |
N/A |
N/A |
2/29/2024 |
MidCap
Growth |
N/A |
N/A |
N/A |
0.75% |
2/29/2024 |
MidCap
Value I |
N/A |
N/A |
N/A |
0.69% |
2/29/2024 |
Money
Market |
0.50% |
N/A |
N/A |
N/A |
2/29/2024 |
Principal
LifeTime 2010 |
0.38% |
N/A |
N/A |
N/A |
2/29/2024 |
Principal
LifeTime 2040 |
0.38% |
N/A |
N/A |
N/A |
2/29/2024 |
Principal
LifeTime 2050 |
0.38% |
N/A |
N/A |
N/A |
2/29/2024 |
Principal
LifeTime 2060 |
N/A |
N/A |
0.38% |
N/A |
2/29/2024 |
Principal
LifeTime 2070 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2025 |
Principal
LifeTime Strategic Income |
0.38% |
N/A |
N/A |
N/A |
2/29/2024 |
Principal
LifeTime Hybrid 2015 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2020 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2025 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2030 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2035 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2040 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2045 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2050 |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2055 |
N/A |
N/A |
0.30% |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2060 |
N/A |
N/A |
0.30% |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2065 |
N/A |
N/A |
0.30% |
0.05% |
2/29/2024 |
Principal
LifeTime Hybrid 2070 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2025 |
Principal
LifeTime Hybrid Income |
N/A |
N/A |
N/A |
0.05% |
2/29/2024 |
Real
Estate Securities |
N/A |
N/A |
N/A |
0.86% |
2/29/2024 |
SmallCap |
N/A |
N/A |
N/A |
0.85% |
2/29/2024 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
SmallCap
S&P 600 Index |
N/A |
N/A |
N/A |
0.21% |
2/29/2024 |
SmallCap
Value II |
N/A |
N/A |
N/A |
0.96% |
2/29/2024 |
Tax-Exempt
Bond |
N/A |
N/A |
N/A |
0.45% |
2/29/2024 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
R-1 |
R-3 |
R-4 |
R-5 |
Expiration |
Government
& High Quality Bond |
1.29% |
0.98% |
0.79% |
0.67% |
2/29/2024 |
Principal
LifeTime 2070 |
0.93% |
0.62% |
0.43% |
0.31% |
2/28/2025 |
Contractual
Limits on Other Expenses | ||
Fund |
R-6 |
Expiration |
Diversified
Income |
0.02% |
2/29/2024 |
Global
Emerging Markets |
0.04% |
2/29/2024 |
Government
Money Market |
0.00% |
2/29/2024 |
International
I |
0.04% |
2/29/2024 |
Principal
LifeTime Hybrid Income |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2015 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2020 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2025 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2030 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2035 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2040 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2045 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2050 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2055 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2060 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2065 |
0.02% |
2/29/2024 |
Principal
LifeTime Hybrid 2070 |
0.02% |
2/28/2025 |
SmallCap |
0.02% |
2/29/2024 |
SmallCap
Growth I |
0.01% |
2/29/2024 |
Contractual
Management Fee Waivers | ||
Fund |
Waiver |
Expiration |
High
Income |
0.015% |
2/29/2024 |
LargeCap
Growth I |
0.016% |
2/29/2024 |
LargeCap
Value III |
0.065% |
2/29/2024 |
MidCap
Growth III |
0.020% |
2/29/2024 |
MidCap
Value I |
0.020% |
2/29/2024 |
Overseas |
0.020% |
2/29/2024 |
SmallCap
Growth I |
0.020% |
2/29/2024 |
SmallCap
Value II |
0.020% |
2/29/2024 |
Management
Fees Paid for Periods Ended October 31
(amounts
in thousands) | |||
Fund/Portfolio |
2022 |
2021 |
2020 |
California
Municipal |
$ 2,609 |
$ 3,131 |
$ 2,845 |
Core
Fixed Income |
37,559 |
42,275 |
36,919 |
Core
Plus Bond |
3,577 |
3,807 |
3,450 |
Diversified
Income |
27,267(1) |
34,945 |
45,991 |
Diversified
International |
36,027 |
64,677 |
89,822 |
Equity
Income |
50,039 |
50,710 |
38,888 |
Finisterre
Emerging Markets Total Return Bond |
4,574 |
4,255(2) |
1,742 |
Global
Emerging Markets |
2,634(3) |
3,248 |
3,113 |
Global
Real Estate Securities |
25,456 |
31,046 |
25,893 |
Government
& High Quality Bond |
5,709 |
6,299 |
8,297 |
Government
Money Market |
6,011 |
5,744 |
5,474 |
High
Income |
20,221 |
21,522 |
18,032 |
High
Yield |
12,994 |
15,327 |
14,861 |
Inflation
Protection |
5,707 |
6,099 |
6,413 |
International
I |
2,229 |
2,562 |
2,562 |
LargeCap
Growth I |
69,781 |
79,586 |
64,062 |
LargeCap
S&P 500 Index |
8,732 |
8,942 |
8,950 |
LargeCap
Value III |
24,738 |
22,166 |
15,252 |
MidCap |
119,959 |
129,006 |
104,065 |
MidCap
Growth |
1,768 |
1,829 |
1,109 |
MidCap
Growth III |
9,616 |
10,240 |
9,880 |
MidCap
S&P 400 Index |
1,948 |
1,987 |
1,619 |
MidCap
Value I |
22,016 |
17,373 |
14,640 |
Money
Market |
3,246 |
2,933 |
2,634 |
Overseas |
21,032 |
27,536 |
24,669 |
Principal
Capital Appreciation |
13,307 |
9,848 |
8,454 |
Real
Estate Securities |
52,836 |
44,740 |
38,244 |
SAM
Balanced |
12,439 |
13,123 |
12,100 |
SAM
Conservative Balanced |
4,928 |
4,968 |
4,606 |
SAM
Conservative Growth |
8,497 |
8,999 |
8,045 |
SAM
Flexible Income |
7,679 |
7,863 |
7,443 |
SAM
Strategic Growth |
5,541 |
5,850 |
5,015 |
Short-Term
Income |
14,435 |
21,762 |
22,102 |
SmallCap |
9,556 |
8,827 |
4,750 |
SmallCap
Growth I |
21,565 |
24,764 |
17,309 |
Management
Fees Paid for Periods Ended October 31
(amounts
in thousands) | |||
Fund/Portfolio |
2022 |
2021 |
2020 |
SmallCap
S&P 600 Index |
$ 1,898 |
$ 2,100 |
$ 1,671 |
SmallCap
Value II |
11,701 |
11,863 |
8,425 |
Tax-Exempt
Bond |
2,991 |
3,192 |
2,752 |
Management
Fees Waived for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2022 |
2021 |
2020 |
Core
Plus Bond |
$ 393 |
$ 420 |
$ 379 |
Diversified
Income |
1,868(1) |
3,794 |
5,056 |
Diversified
International |
— |
— |
4,122 |
Global
Emerging Markets |
—(2) |
— |
162 |
Government
Money Market |
371 |
396 |
304 |
High
Income |
498 |
532 |
442 |
International
I |
— |
— |
178 |
LargeCap
Growth I |
1,868 |
2,136 |
1,714 |
LargeCap
Value III |
2,136 |
1,904 |
1,285 |
MidCap
Growth III |
224 |
234 |
333 |
MidCap
Value I |
691 |
539 |
452 |
Overseas |
784 |
1,034 |
1,035 |
SmallCap
Growth I |
510 |
588 |
620 |
SmallCap
Value II |
251 |
254 |
291 |
Expenses
Reimbursed for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2022 |
2021 |
2020 |
California
Municipal |
$ 42 |
$ 60 |
$ 55 |
Core
Fixed Income |
260 |
— |
—(1) |
Core
Plus Bond |
403 |
347 |
263 |
Diversified
Income |
1,643(2) |
2,042 |
2,934 |
Diversified
International |
155 |
83 |
24 |
Equity
Income |
1,724 |
1,494 |
1,317 |
Finisterre
Emerging Markets Total Return Bond |
6 |
64(3) |
195 |
Global
Emerging Markets |
272(4) |
218 |
408 |
Global
Real Estate Securities |
877 |
756 |
1,550 |
Government
& High Quality Bond |
36 |
44 |
225 |
Government
Money Market |
240 |
3,887 |
993 |
High
Income |
— |
8 |
32 |
High
Yield |
259 |
226 |
356 |
Inflation
Protection |
— |
— |
13 |
International
I |
50 |
70 |
57 |
MidCap
Growth |
32 |
22 |
18 |
MidCap
Value I |
316 |
116 |
166 |
Money
Market |
122 |
3,005 |
861 |
Principal
Capital Appreciation |
— |
106 |
288 |
Principal
LifeTime Strategic Income |
19 |
19 |
24 |
Expenses
Reimbursed for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2022 |
2021 |
2020 |
Principal
LifeTime 2010 |
$ 13 |
$ 7 |
$ 11 |
Principal
LifeTime 2040 |
3 |
— |
17 |
Principal
LifeTime 2050 |
49 |
36 |
57 |
Principal
LifeTime 2060 |
5 |
5 |
19 |
Principal
LifeTime 2065 |
— |
4 |
21 |
Principal
LifeTime Hybrid Income |
36 |
42 |
53 |
Principal
LifeTime Hybrid 2015 |
32 |
34 |
34 |
Principal
LifeTime Hybrid 2020 |
16 |
21 |
15 |
Principal
LifeTime Hybrid 2025 |
16 |
22 |
17 |
Principal
LifeTime Hybrid 2030 |
18 |
26 |
11 |
Principal
LifeTime Hybrid 2035 |
14 |
22 |
25 |
Principal
LifeTime Hybrid 2040 |
15 |
21 |
21 |
Principal
LifeTime Hybrid 2045 |
26 |
33 |
37 |
Principal
LifeTime Hybrid 2050 |
29 |
34 |
48 |
Principal
LifeTime Hybrid 2055 |
61 |
66 |
71 |
Principal
LifeTime Hybrid 2060 |
79 |
79 |
79 |
Principal
LifeTime Hybrid 2065 |
74 |
79 |
83 |
Real
Estate Securities |
1,276 |
— |
273 |
Short-Term
Income |
36 |
144 |
177 |
SmallCap |
53 |
19 |
33 |
SmallCap
Growth I |
9 |
1 |
46 |
SmallCap
S&P 600 Index |
67 |
52 |
— |
SmallCap
Value II |
194 |
182 |
172 |
Tax-Exempt
Bond |
177 |
73 |
92 |
Aggregate
Fees Paid to Sub-Advisors
(other
than Wholly-Owned Sub-Advisors, Origin and Post)
for
Fiscal Years Ended October 31 (dollar amounts in
thousands) | ||||||
|
2022 |
2021 |
2020 | |||
Fund |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Diversified
Income |
$ 3,998 |
0.37% |
$ 4,188 |
0.34% |
$ 5,463 |
0.33% |
High
Income |
4,289 |
0.21 |
4,902 |
0.22 |
4,285 |
0.24 |
Inflation
Protection |
935 |
0.06 |
997 |
0.06 |
1,258 |
0.07 |
LargeCap
Growth I |
23,602 |
0.23 |
27,296 |
0.23 |
21,933 |
0.23 |
LargeCap
Value III |
5,486 |
0.20 |
4,974 |
0.20 |
3,543 |
0.21 |
MidCap
Growth III |
3,506 |
0.36 |
3,769 |
0.36 |
3,579 |
0.37 |
MidCap
Value I |
8,005 |
0.27 |
6,477 |
0.27 |
5,594 |
0.28 |
Overseas |
6,875 |
0.35 |
8,887 |
0.34 |
7,938 |
0.36 |
SmallCap
Growth I |
9,720 |
0.42 |
11,138 |
0.42 |
7,828 |
0.43 |
SmallCap
Value II |
4,229 |
0.37 |
4,289 |
0.38 |
3,177 |
0.41 |
Fees
Paid to Origin and Post for Fiscal Years Ended October 31
(dollar
amounts in thousands) | ||||||
|
2022 |
2021 |
2020 | |||
Fund |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Diversified
Income (Post) |
$ 1,629 |
0.29% |
$ 1,798 |
0.29% |
$ 2,919 |
0.29% |
High
Income (Post) |
3,789 |
0.29 |
3,816 |
0.28 |
3,283 |
0.28 |
International
I (Origin) |
1,048 |
0.34 |
1,176 |
0.34 |
1,115 |
0.35 |
Fund |
Gross
income
(including
from
cash
collateral
reinvestment) |
Fees
paid
to
securities
lending
agent
from a
revenue
split |
Fees
paid for
any
cash
collateral
management
service
that
are
not
included
in
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Net
rebate
paid
to
borrower |
Other
fees
not
included
in
revenue
split |
Aggregate
fees/
compensation |
Net
income
from
securities
lending |
Core
Fixed
Income |
$ 99,995 |
$ 7,613 |
$ — |
$ — |
$ — |
$ 23,846 |
$ — |
$ 31,459 |
$ 68,536 |
Core
Plus Bond |
31,569 |
7,325 |
— |
— |
— |
(41,689) |
— |
(34,365) |
65,934 |
Diversified
Income |
220,843 |
49,153 |
— |
— |
— |
(270,758) |
— |
(221,605) |
442,448 |
Diversified
International |
391,419 |
32,772 |
— |
— |
— |
63,695 |
— |
96,467 |
294,953 |
Equity
Income |
247,520 |
67,140 |
— |
— |
— |
(423,884) |
— |
(356,744) |
604,264 |
Finisterre
Emerging
Markets
Total
Return
Bond |
1,747 |
177 |
— |
— |
— |
(22) |
— |
155 |
1,592 |
Global
Emerging
Markets |
12,199 |
1,302 |
— |
— |
— |
(821) |
— |
480 |
11,719 |
Global
Real
Estate
Securities |
34,237 |
4,865 |
— |
— |
— |
(14,416) |
— |
(9,551) |
43,788 |
Government
&
High
Quality
Bond |
8,104 |
1,053 |
— |
— |
— |
(2,423) |
— |
(1,371) |
9,475 |
High
Income |
189,930 |
49,004 |
— |
— |
— |
(300,202) |
— |
(251,198) |
441,128 |
High
Yield |
137,050 |
20,763 |
— |
— |
— |
(70,598) |
— |
(49,835) |
186,884 |
Inflation
Protection |
82,589 |
1,922 |
— |
— |
— |
63,369 |
— |
65,291 |
17,298 |
International
I |
34,579 |
4,143 |
— |
— |
— |
(6,851) |
— |
(2,708) |
37,287 |
LargeCap
Growth
I |
441,871 |
37,769 |
— |
— |
— |
64,106 |
— |
101,875 |
339,996 |
LargeCap
S&P
500
Index |
8,522 |
2,608 |
— |
— |
— |
(17,564) |
— |
(14,956) |
23,478 |
LargeCap
Value
III |
14,262 |
3,965 |
— |
— |
— |
(25,430) |
— |
(21,465) |
35,727 |
MidCap |
4,590 |
755 |
— |
— |
— |
(2,966) |
— |
(2,211) |
6,801 |
MidCap
Growth |
20,207 |
884 |
— |
— |
— |
11,363 |
— |
12,247 |
7,960 |
MidCap
Growth
III |
58,590 |
5,846 |
— |
— |
— |
82 |
— |
5,927 |
52,662 |
MidCap
S&P
400
Index |
56,895 |
42,256 |
— |
— |
— |
(365,678) |
— |
(323,422) |
380,316 |
MidCap
Value I |
45,524 |
10,848 |
— |
— |
— |
(63,009) |
— |
(52,161) |
97,685 |
Overseas |
233,433 |
44,493 |
— |
— |
— |
(211,528) |
— |
(167,035) |
400,468 |
Fund |
Gross
income
(including
from
cash
collateral
reinvestment) |
Fees
paid
to
securities
lending
agent
from a
revenue
split |
Fees
paid for
any
cash
collateral
management
service
that
are
not
included
in
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Net
rebate
paid
to
borrower |
Other
fees
not
included
in
revenue
split |
Aggregate
fees/
compensation |
Net
income
from
securities
lending |
Principal
Capital
Appreciation |
$ 23,565 |
$ 2,392 |
$ — |
$ — |
$ — |
$ (354) |
$ — |
$ 2,037 |
$ 21,528 |
Short-Term
Income |
6,392 |
772 |
— |
— |
— |
(1,330) |
— |
(559) |
6,951 |
SmallCap |
191,007 |
60,368 |
— |
— |
— |
(412,757) |
— |
(352,389) |
543,396 |
SmallCap
Growth
I |
306,538 |
99,591 |
— |
— |
— |
(689,766) |
— |
(590,175) |
896,713 |
SmallCap
S&P
600
Index |
36,370 |
10,506 |
— |
— |
— |
(68,718) |
— |
(58,211) |
94,581 |
SmallCap
Value
II |
104,754 |
21,456 |
— |
— |
— |
(110,070) |
— |
(88,614) |
193,367 |
Fund |
Amount
of
Transactions
because
of
Research
Services
Provided |
Related
Commissions
Paid |
Diversified
Income |
$ 136,695,178 |
$ 89,694 |
Diversified
International |
2,673,114,537 |
1,571,125 |
Equity
Income |
2,955,463,528 |
1,166,072 |
Global
Emerging Markets |
62,059,243 |
36,796 |
Global
Real Estate Securities |
787,234,975 |
490,222 |
International
I |
342,232,847 |
48,692 |
LargeCap
Growth I |
902,227,088 |
185,278 |
LargeCap
S&P 500 Index |
332,380,235 |
84,608 |
LargeCap
Value III |
2,630,790,579 |
879,087 |
MidCap |
4,801,053,294 |
1,368,570 |
MidCap
Growth |
611,403,304 |
260,332 |
MidCap
Growth III |
477,082,651 |
126,293 |
MidCap
S&P 400 Index |
88,837,296 |
32,516 |
MidCap
Value I |
3,623,202,273 |
1,258,642 |
Overseas |
1,229,744,698 |
1,170,761 |
Principal
Capital Appreciation |
2,992,400,009 |
725,575 |
Real
Estate Securities |
1,854,858,106 |
1,066,531 |
SmallCap |
296,612,860 |
247,958 |
SmallCap
Growth I |
1,028,907,482 |
704,976 |
SmallCap
S&P 600 Index |
36,696,284 |
27,207 |
SmallCap
Value II |
560,149,716 |
1,016,321 |
Total
Brokerage Commissions Paid for Periods Ended October
31 | |||
Fund |
2022 |
2021 |
2020 |
California
Municipal Fund |
$1,587 |
$801 |
$3,290 |
Core
Fixed Income Fund |
1,516 |
— |
— |
Core
Plus Bond |
9,048 |
15,956 |
16,172 |
Diversified
Income |
547,346 |
1,637,794 |
1,492,047 |
Diversified
International |
4,146,318 |
7,756,328 |
8,382,170 |
Equity
Income |
1,806,331 |
1,399,777 |
1,334,450 |
Global
Emerging Markets |
160,353 |
252,012 |
314,253 |
Global
Real Estate Securities |
1,289,510 |
1,385,168 |
1,766,085 |
High
Income |
— |
23 |
1,888 |
High
Yield |
— |
3,132 |
47,036 |
Inflation
Protection |
24,931 |
7,576 |
4,106 |
International
I |
138,673 |
149,981 |
152,478 |
LargeCap
Growth I |
969,005 |
823,663 |
1,319,454 |
LargeCap
S&P 500 Index |
131,460 |
199,065 |
153,014 |
LargeCap
Value III |
993,907 |
954,086 |
881,284 |
MidCap |
2,293,609 |
2,734,986 |
2,183,860 |
MidCap
Growth |
474,068 |
257,783 |
234,942 |
MidCap
Growth III |
276,555 |
231,154 |
320,801 |
MidCap
S&P 400 Index |
77,050 |
39,848 |
121,143 |
MidCap
Value I |
1,398,096 |
949,168 |
1,126,888 |
Overseas |
2,161,059 |
1,825,373 |
2,280,378 |
Principal
Capital Appreciation |
1,257,461 |
356,313 |
521,687 |
Real
Estate Securities |
1,950,816 |
1,501,016 |
2,473,748 |
SAM
Balanced Portfolio |
181,918 |
105,330 |
77,184 |
SAM
Conservative Balanced Portfolio |
60,359 |
35,810 |
14,242 |
SAM
Conservative Growth Portfolio |
150,440 |
75,010 |
37,530 |
SAM
Flexible Income Portfolio |
207,037 |
11,390 |
162,488 |
SAM
Strategic Growth Portfolio |
79,019 |
18,910 |
61,420 |
Short-Term
Income |
— |
— |
— |
SmallCap |
522,311 |
855,323 |
538,900 |
SmallCap
Growth I |
1,488,070 |
1,572,443 |
1,218,085 |
SmallCap
S&P 600 Index |
81,994 |
49,801 |
167,498 |
SmallCap
Value II |
1,169,210 |
1,365,112 |
1,362,063 |
Tax-Exempt
Bond |
8,664 |
4,111 |
3,300 |
Fund |
Sub-Advisor
Employed
by
the Fund Complex |
Affiliated
Broker
Receiving
Commissions |
2022
Commissions
Paid
to
Affiliated
Broker |
%
of Fund’s
Total
Commissions |
%
of
Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Diversified
Income | |||||
|
Principal
Financial Group |
SAMI
Brokerage LLC |
$10,719 |
1.96% |
0.72% |
|
|
Total |
$10,719 |
1.96% |
0.72% |
MidCap
Growth III | |||||
|
Eagle
Asset Management, Inc. |
Raymond
James Financial Services |
$8,250 |
2.98% |
8.42% |
|
|
Total |
$8,250 |
2.98% |
8.42% |
Fund |
Sub-Advisor
Employed
by
the Fund Complex |
Affiliated
Broker
Receiving
Commissions |
2021
Commissions
Paid
to
Affiliated
Broker |
%
of Fund’s
Total
Commissions |
%
of
Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Diversified
Income | |||||
|
Principal
Financial Group |
SAMI
Brokerage LLC |
$13,294 |
0.81% |
0.37% |
|
|
Total |
$13,294 |
0.81% |
0.37% |
Fund |
Sub-Advisor
Employed
by
the Fund Complex |
Affiliated
Broker
Receiving
Commissions |
2020
Commissions
Paid
to
Affiliated
Broker |
%
of Fund’s
Total
Commissions |
%
of
Dollar
Amount
of
Fund’s
Commissionable
Transactions |
Diversified
Income | |||||
|
Principal
Financial Group |
SAMI
Brokerage LLC |
$38,686 |
2.59% |
1.26% |
|
|
Total |
$38,686 |
2.59% |
1.26% |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Core
Fixed Income |
Bank
of America |
$ 77,114 |
Bank
of New York Mellon
Corp/The |
96,263 | |
Citigroup
Inc |
79,530 | |
Goldman
Sachs Group Inc/The |
86,171 | |
Jefferies
Group LLC |
54,051 | |
JPMorgan
Chase & Co |
74,526 | |
Morgan
Stanley |
80,352 |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Core
Plus Bond |
Bank
of America |
$ 7,906 |
Barclays
PLC |
2,648 | |
BNP
Paribas SA |
715 | |
Citigroup
Inc |
3,877 | |
Credit
Suisse Group AG |
3,999 | |
Goldman
Sachs Group Inc/The |
4,690 | |
HSBC
Holdings PLC |
812 | |
JPMorgan
Chase & Co |
3,365 | |
Morgan
Stanley |
7,983 | |
UBS
Group AG |
678 | |
Diversified
Income |
Bank
of America |
42,030 |
Bank
of New York Mellon
Corp/The |
10,727 | |
Barclays
PLC |
11,533 | |
BNP
Paribas SA |
12,075 | |
Citigroup
Inc |
33,770 | |
Credit
Suisse Group AG |
8,792 | |
Goldman
Sachs Group Inc/The |
26,820 | |
HSBC
Holdings PLC |
12,201 | |
JPMorgan
Chase & Co |
36,392 | |
Mizuho
Bank Ltd/New York NY |
2,621 | |
Morgan
Stanley |
16,865 | |
UBS
Group AG |
13,930 | |
Equity
Income |
Bank
of America |
162,043 |
JPMorgan
Chase & Co |
223,259 | |
Morgan
Stanley |
237,655 | |
High
Yield |
Barclays
PLC |
15,835 |
JPMorgan
Chase & Co |
10,387 | |
International
Fund I |
UBS
Group AG |
2,759 |
LargeCap
S&P 500 Index |
Bank
of America |
42,284 |
Bank
of New York Mellon
Corp/The |
5,197 | |
Citigroup
Inc |
14,906 | |
Goldman
Sachs Group Inc/The |
19,737 | |
JPMorgan
Chase & Co |
61,955 | |
Morgan
Stanley |
18,467 | |
LargeCap
Value III |
Bank
of America |
42,876 |
Bank
of New York Mellon
Corp/The |
756 | |
Citigroup
Inc |
2,182 | |
Goldman
Sachs Group Inc/The |
26,592 | |
Jefferies
Group LLC |
172 | |
JPMorgan
Chase & Co |
40,172 | |
Morgan
Stanley |
2,523 | |
Virtu
Financial Inc |
53 | |
MidCap
S&P 400 Index |
Jefferies
Group LLC |
3,696 |
MidCap
Value I |
Bank
of New York Mellon
Corp/The |
39,445 |
Jefferies
Group LLC |
540 | |
Virtu
Financial Inc |
168 | |
Money
Market |
Barclays
PLC |
23,878 |
Credit
Suisse Group AG |
4,994 | |
Goldman
Sachs Group Inc/The |
17,896 | |
HSBC
Holdings PLC |
12,571 | |
Mizuho
Bank Ltd/New York NY |
19,826 |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Overseas |
Barclays
PLC |
$ 16,954 |
BNP
Paribas SA |
7,365 | |
Credit
Suisse Group AG |
158 | |
HSBC
Holdings PLC |
32,246 | |
Mizuho
Bank Ltd/New York NY |
578 | |
UBS
Group AG |
1,236 | |
Principal
Capital Appreciation |
JPMorgan
Chase & Co |
64,577 |
Morgan
Stanley |
34,690 | |
Short-Term
Income |
Bank
of America |
86,130 |
Barclays
PLC |
12,949 | |
BNP
Paribas SA |
9,687 | |
Citigroup
Inc |
40,931 | |
Credit
Suisse Group AG |
21,820 | |
Goldman
Sachs Group Inc/The |
61,932 | |
HSBC
Holdings PLC |
8,499 | |
JPMorgan
Chase & Co |
44,683 | |
Morgan
Stanley |
37,831 | |
UBS
Group AG |
21,227 | |
SmallCap
Value Fund II |
Virtu
Financial Inc |
1,428 |
Exchange
From Class |
Exchange
To Class |
A |
Institutional |
C |
A,
Institutional |
Institutional |
A,
C, R-6 |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of
Control
Person
(when
control person
is
a company) |
CALIFORNIA
MUNICIPAL |
25.56% |
WELLS
FARGO CLEARING SERVICES
LLC
SPECIAL CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CALIFORNIA |
WELLS
FARGO &
COMPANY |
CORE
PLUS BOND |
68.04% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS
DEPT
4TH FL
JERSEY
CITY NJ 07310-1995 |
DELAWARE |
FIDELITY
GLOBAL
BROKERAGE
GROUP,
INC.
a wholly owned
subsidiary
of FMR,
LLC |
FINISTERRE
EMERGING
MARKETS
TOTAL
RETURN
BOND |
25.84% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS
DEPT
4TH FL
JERSEY
CITY NJ 07310-1995 |
DELAWARE |
FIDELITY
GLOBAL
BROKERAGE
GROUP,
INC.
a wholly owned
subsidiary
of FMR,
LLC |
GOVERNMENT
MONEY
MARKET |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES, IA 50309-8000 |
IOWA |
PRINCIPAL
GLOBAL
HOLDING
COMPANY
(US)
LLC(1) |
HIGH
INCOME |
55.15% |
PRINCIPAL
GLOBAL INVESTORS TRUST
CO
PRINCIPAL LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
INFLATION
PROTECTION |
38.19% |
PRINCIPAL
GLOBAL INVESTORS TRUST
CO
PRINCIPAL LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
INTERNATIONAL
I |
51.01% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
INTERNATIONAL
I |
27.68% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS
DEPT
4TH FL
JERSEY
CITY NJ 07310-1995 |
DELAWARE |
FIDELITY
GLOBAL
BROKERAGE
GROUP,
INC.
a wholly owned
subsidiary
of FMR,
LLC |
LARGECAP
GROWTH
I |
38.91% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of
Control
Person
(when
control person
is
a company) |
MIDCAP
GROWTH III |
35.89% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
MIDCAP
VALUE I |
32.76% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
STRATEGIC
INCOME |
62.96% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2010 |
49.80% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2015 |
72.23% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2015 |
25.88% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
2020 |
53.89% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2025 |
73.49% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2030 |
60.98% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of
Control
Person
(when
control person
is
a company) |
PRINCIPAL
LIFETIME
2035 |
74.41% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2040 |
61.85% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2045 |
71.70% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2045 |
26.27% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
2050 |
67.25% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2055 |
72.54% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2060 |
78.78% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
2065 |
73.46% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
PRINCIPAL
LIFETIME
HYBRID
INCOME |
35.67% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2015 |
29.54% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of
Control
Person
(when
control person
is
a company) |
PRINCIPAL
LIFETIME
HYBRID
2020 |
41.96% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2025 |
35.95% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2030 |
45.16% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2035 |
44.88% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2040 |
47.81% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2045 |
52.21% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2050 |
56.17% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2055 |
58.96% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
PRINCIPAL
LIFETIME
HYBRID
2060 |
53.15% |
DCGT
AS TTEE AND/OR CUST FBO PLIC
VARIOUS
RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DELAWARE |
PRINCIPAL
HOLDING
COMPANY,
LLC(1) |
SMALLCAP |
28.87% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
DELAWARE |
FIDELITY
GLOBAL
BROKERAGE
GROUP,
INC.
a wholly owned
subsidiary
of FMR,
LLC |
SMALLCAP
GROWTH
I |
40.73% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person
is a
company) |
Parent
of
Control
Person
(when
control person
is
a company) |
SMALLCAP
VALUE II |
50.03% |
PRINCIPAL
LIFE INS. COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND
CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
SERVICES,
INC.(1) |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
CALIFORNIA
MUNICIPAL (A) |
24.50% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CALIFORNIA
MUNICIPAL (A) |
22.83% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
CALIFORNIA
MUNICIPAL (A) |
12.71% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CALIFORNIA
MUNICIPAL (A) |
8.09% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ
07399-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
CALIFORNIA
MUNICIPAL (A) |
7.49% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
CALIFORNIA
MUNICIPAL (A) |
5.79% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR EAST
BUILDING
ONE, 2ND FLOOR
JACKSONVILLE
FL 32246-6484 |
CALIFORNIA
MUNICIPAL (C) |
36.93% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CALIFORNIA
MUNICIPAL (C) |
14.93% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
CALIFORNIA
MUNICIPAL (C) |
13.84% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
CALIFORNIA
MUNICIPAL (C) |
8.64% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
CALIFORNIA
MUNICIPAL (C) |
7.35% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
CALIFORNIA
MUNICIPAL (I) |
25.78% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CALIFORNIA
MUNICIPAL (I) |
14.86% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
CALIFORNIA
MUNICIPAL (I) |
12.71% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
CALIFORNIA
MUNICIPAL (I) |
8.95% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 32246-6484 |
CALIFORNIA
MUNICIPAL (I) |
6.66% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
CALIFORNIA
MUNICIPAL (I) |
6.46% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CALIFORNIA
MUNICIPAL (I) |
5.69% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA
92121-3091 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
CALIFORNIA
MUNICIPAL (I) |
5.02% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR CLIENTS
PO
BOX 2226
OMAHA
NE 68103-2226 |
CORE
FIXED INCOME (A) |
28.14% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CORE
FIXED INCOME (A) |
10.04% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
CORE
FIXED INCOME (C) |
22.86% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CORE
FIXED INCOME (C) |
12.58% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
CORE
FIXED INCOME (C) |
10.91% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
CORE
FIXED INCOME (I) |
60.49% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CORE
FIXED INCOME (I) |
11.27% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
CORE
FIXED INCOME (I) |
6.71% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R1) |
95.97% |
VOYA
INSTITUTIONAL TRUST COMPANY
1
ORANGE WAY
WINDSOR
CT 06095-4773 |
CORE
FIXED INCOME (R3) |
62.68% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R3) |
12.42% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
CORE
FIXED INCOME (R3) |
10.08% |
PRINCIPAL
TRUST COMPANY
FBO
GU & IM DDS PS DEFINED BENEFIT
PLAN
9954
RAINIER AVE S
SEATTLE
WA 98118-5941 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
CORE
FIXED INCOME (R4) |
95.35% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R5) |
87.13% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R5) |
6.59% |
T
ROWE PRICE RETIREMENT PLAN
SERVICES
INC
FBO
RETIREMENT PLAN CLIENTS
4515
PAINTERS MILL RD
OWINGS
MILLS MD 21117-4903 |
CORE
FIXED INCOME (R6) |
19.90% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
16.11% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
9.71% |
LIFETIME
2020 FUND
ATTN
MUTUAL FUND ACCOUNTING H-221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
8.22% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
6.62% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
6.51% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
FIXED INCOME (R6) |
5.35% |
LIFETIME
2025 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND (A) |
12.08% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CORE
PLUS BOND (I) |
79.40% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
CORE
PLUS BOND (I) |
9.01% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
CORE
PLUS BOND (R1) |
88.44% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND (R1) |
11.38% |
MID
ATLANTIC TRUST COMPANY FBO
UNITED
STATES SQUASH RACQUETS 401(K
1251
WATERFRONT PLACE SUITE 525
PITTSBURGH
PA 15222-4228 |
CORE
PLUS BOND (R3) |
70.33% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND (R3) |
6.48% |
PRINCIPAL
TRUST COMPANY
FBO
SCOTT CONTRACTING CASH
BALANCE
PLAN
702
OLD PEACHTREE RD NW STE 100
SUWANEE
GA 30024-4923 |
CORE
PLUS BOND (R4) |
74.28% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND (R4) |
7.44% |
RANGER
PIPELINES INCORPORATED
FBO
RANGER PIPELINES INC NQ EXCESS
PLAN
ATTN
PLAN TRUSTEE
1790
YOSEMITE AVE
SAN
FRANCISCO CA 94124-2622 |
CORE
PLUS BOND (R4) |
6.49% |
NOMURA
HOLDING AMERICA INC
ATTN
PLAN TRUSTEE
FBO
NOMURA SUPP RET SAVINGS
309
W 49TH ST
NEW
YORK NY 10019-9102 |
CORE
PLUS BOND (R5) |
84.92% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND (R5) |
5.26% |
NORTHWEST
ADMINISTRATORS
FBO
NQ EXCESS OF NW ADMINISTRATORS
ATTN
GAYLE BUSHNELL
2323
EASTLAKE AVE E
SEATTLE
WA 98102-3963 |
DIVERSIFIED
INCOME (A) |
15.15% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
DIVERSIFIED
INCOME (A) |
11.54% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
DIVERSIFIED
INCOME (A) |
11.31% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY
10004-1965 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
INCOME (A) |
11.25% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
INCOME (A) |
6.23% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
DIVERSIFIED
INCOME (A) |
5.70% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
DIVERSIFIED
INCOME (A) |
5.00% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
DIVERSIFIED
INCOME (C) |
30.94% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
DIVERSIFIED
INCOME (C) |
11.05% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
DIVERSIFIED
INCOME (C) |
8.63% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
DIVERSIFIED
INCOME (C) |
7.85% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
INCOME (C) |
5.79% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
DIVERSIFIED
INCOME (C) |
5.31% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
DIVERSIFIED
INCOME (C) |
5.16% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
DIVERSIFIED
INCOME (C) |
5.00% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
DIVERSIFIED
INCOME (I) |
14.91% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
INCOME (I) |
13.54% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
DIVERSIFIED
INCOME (I) |
10.05% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
DIVERSIFIED
INCOME (I) |
9.53% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
DIVERSIFIED
INCOME (I) |
8.97% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
DIVERSIFIED
INCOME (I) |
7.90% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
INCOME (I) |
7.79% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
DIVERSIFIED
INCOME (I) |
6.97% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
DIVERSIFIED
INCOME (I) |
5.49% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
DIVERSIFIED
INCOME (R6) |
37.86% |
ATTN
MUTUAL FUNDS OPERATIONS
MAC
& CO A/C 798018
500
GRANT STREET ROOM 151-1010
PITTSBURGH
PA 15219-2502 |
DIVERSIFIED
INCOME (R6) |
12.11% |
ATTN
MUTUAL FUND OPERATIONS
MAC
& CO A/C 798045
500
GRANT STREET ROOM 151-1010
PITTSBURGH
PA 15219-2502 |
DIVERSIFIED
INCOME (R6) |
9.45% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INCOME (R6) |
6.64% |
ATTN
MUTUAL FUND OPERATIONS
MAC
& CO A/C 798041
500
GRANT STREET ROOM 151-1010
PITTSBURGH
PA 15219-2502 |
DIVERSIFIED
INCOME (R6) |
6.27% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
INTERNATIONAL (A) |
12.98% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
INTERNATIONAL (I) |
60.11% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
DIVERSIFIED
INTERNATIONAL (I) |
12.15% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
DIVERSIFIED
INTERNATIONAL (I) |
7.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R1) |
86.12% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R1) |
8.57% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
DIVERSIFIED
INTERNATIONAL (R3) |
60.02% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R4) |
74.51% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R4) |
8.61% |
PRINCIPAL
TRUST COMPANY
FBO
CRST INTL NQ PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
DIVERSIFIED
INTERNATIONAL (R4) |
5.89% |
PRINCIPAL
TRUST COMPANY
FBO
NQ BENEFIT FOR HCES OF MIECO
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
DIVERSIFIED
INTERNATIONAL (R5) |
75.20% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R5) |
7.56% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA
94104-4151 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
INTERNATIONAL (R6) |
12.89% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R6) |
12.28% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R6) |
9.95% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL (R6) |
5.06% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (A) |
16.16% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
EQUITY
INCOME (A) |
13.26% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
EQUITY
INCOME (A) |
9.27% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
EQUITY
INCOME (A) |
5.13% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
EQUITY
INCOME (C) |
23.16% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
EQUITY
INCOME (C) |
11.69% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
EQUITY
INCOME (C) |
8.04% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
EQUITY
INCOME (C) |
6.69% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR EAST 3RD FL
JACKSONVILLE
FL 32246-6484 |
EQUITY
INCOME (C) |
6.60% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
EQUITY
INCOME (C) |
6.28% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY
10004-1965 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
EQUITY
INCOME (C) |
5.71% |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE
BENEFIT OF CUSTOMERS
501
N BROADWAY
SAINT
LOUIS MO 63102-2188 |
EQUITY
INCOME (I) |
27.42% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (I) |
11.39% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
EQUITY
INCOME (I) |
5.21% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (R1) |
90.53% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (R1) |
9.26% |
PRINCIPAL
TRUST COMPANY
FBO
CONCORP CONCRETE INC DEFINED
BENEFIT
PENSION PLAN
2485
ASHCROFT AVE
CLOVIS
CA 93611-6001 |
EQUITY
INCOME (R3) |
52.29% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (R3) |
12.37% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
EQUITY
INCOME (R3) |
6.02% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
EQUITY
INCOME (R4) |
54.44% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME (R4) |
26.41% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 764
NYSA-ILA
MONEY PURCHASE PENSION
10
EXCHANGE PL STE 1400
JERSEY
CITY NJ 07302-4931 |
EQUITY
INCOME (R5) |
89.80% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
25.84% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
13.34% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
12.18% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
9.68% |
SAM
CONS BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
7.99% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
5.80% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY ACCT
FBO
CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
FINISTERRE
EMERGING MARKETS
TOTAL
RETURN BOND (I) |
5.54% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS (A) |
19.80% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
EMERGING MARKETS (I) |
85.30% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
EMERGING MARKETS (R1) |
85.53% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS (R3) |
62.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS (R3) |
5.03% |
PRINCIPAL
TRUST COMPANY
FBO
SCOTT CONTRACTING CASH
BALANCE
PLAN
702
OLD PEACHTREE RD NW STE 100
SUWANEE
GA 30024-4923 |
GLOBAL
EMERGING MARKETS (R4) |
75.01% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GLOBAL
EMERGING MARKETS (R4) |
12.37% |
PRINCIPAL
TRUST COMPANY
FBO
CRST INTL NQ PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
GLOBAL
EMERGING MARKETS (R5) |
79.20% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS (R6) |
54.72% |
BANKERS
TRUST COMPANY
FBO
DEF COMP FOR SELECT INV
PROFESSIONALS
OF PFG AND ITS
ATTN
PLAN TRUSTEE
453
7TH ST
DES
MOINES IA 50309-4110 |
GLOBAL
EMERGING MARKETS (R6) |
41.38% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
GLOBAL
REAL ESTATE SECURITIES (A) |
15.77% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
GLOBAL
REAL ESTATE SECURITIES (A) |
13.74% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY STREET
SAN
FRANCISCO CA 94104-4151 |
GLOBAL
REAL ESTATE SECURITIES (A) |
13.70% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
REAL ESTATE SECURITIES (A) |
10.73% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
GLOBAL
REAL ESTATE SECURITIES (A) |
9.30% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
GLOBAL
REAL ESTATE SECURITIES (I) |
20.54% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
GLOBAL
REAL ESTATE SECURITIES (I) |
18.64% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GLOBAL
REAL ESTATE SECURITIES (I) |
17.02% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA
94104-4151 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GLOBAL
REAL ESTATE SECURITIES (I) |
7.84% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
GLOBAL
REAL ESTATE SECURITIES (I) |
6.35% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
GLOBAL
REAL ESTATE SECURITIES (R3) |
33.33% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
GLOBAL
REAL ESTATE SECURITIES (R3) |
33.17% |
PRINCIPAL
TRUST COMPANY
FBO
BLUE ROCK REFINISHING SOLUTIONS
LLC
CASH BALANCE PLAN
2974
CLEVELAND AVE N
SAINT
PAUL MN 55113-1101 |
GLOBAL
REAL ESTATE SECURITIES (R3) |
22.23% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
REAL ESTATE SECURITIES (R3) |
6.15% |
STATE
STREET BANK CUSTODIAN CUST
FBO
ACCESS ADP 401(K) PLAN
1
LINCOLN STREET
BOSTON
MA 02111-2901 |
GLOBAL
REAL ESTATE SECURITIES (R4) |
68.56% |
VOYA
INSTITUTIONAL TRUST COMPANY
1
ORANGE WAY
WINDSOR
CT 06095-4773 |
GLOBAL
REAL ESTATE SECURITIES (R4) |
29.38% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
REAL ESTATE SECURITIES (R5) |
82.43% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 002
CITY
OF JERSEY CITY
280
GROVE STREET ROOM 106
JERSEY
CITY NJ 07302-3610 |
GLOBAL
REAL ESTATE SECURITIES (R5) |
12.48% |
MID
ATLANTIC TRUST COMPANY FBO
MATC
OMNIBUS DIV REINVEST
1251
WATERFRONT PL STE 525
PITTSBURGH
PA 15222-4228 |
GLOBAL
REAL ESTATE SECURITIES (R6) |
27.52% |
UBATCO
& CO
FBO
COLLEGE SAVINGS GROUP
PO
BOX 82535
LINCOLN
NE 68501-2535 |
GLOBAL
REAL ESTATE SECURITIES (R6) |
9.08% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
GLOBAL
REAL ESTATE SECURITIES (R6) |
8.47% |
MAC
& CO A/C 681885
ATTN
MUTUAL FUND OPS
500
GRANT STREET ROOM 151-1010
PITTSBURGH
PA 15219-2502 |
GLOBAL
REAL ESTATE SECURITIES (R6) |
7.34% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ
07310-1995 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GLOBAL
REAL ESTATE SECURITIES (R6) |
6.57% |
NATIONWIDE
TRUST COMPANY FSB
C/O
IPO PORTFOLIO ACCOUNTING
PO
BOX 182029
COLUMBUS
OH 43218-2029 |
GOVERNMENT
& HIGH QUALITY BOND
(A) |
20.27% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GOVERNMENT
& HIGH QUALITY BOND
(A) |
11.63% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
GOVERNMENT
& HIGH QUALITY BOND
(I) |
31.77% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(I) |
21.18% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
GOVERNMENT
& HIGH QUALITY BOND
(I) |
17.50% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(I) |
12.04% |
SAM
CONS BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(I) |
5.47% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(R1) |
74.87% |
PRINCIPAL
TRUST COMPANY
FBO
KANE HANDEL DEFINED
BENEFIT
PLAN
3525
DEL MAR HEIGHTS ROAD STE 231
SAN
DIEGO CA 92130-2199 |
GOVERNMENT
& HIGH QUALITY BOND
(R1) |
23.65% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(R3) |
43.30% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(R3) |
10.08% |
ASCENSUS
TRUST COMPANY FBO
STRUCTURAL
ENGINEERING CENTER INC
70069
PO
BOX 10758
FARGO
ND 58106-0758 |
GOVERNMENT
& HIGH QUALITY BOND
(R3) |
6.13% |
USIC
FBO
USIC EXEC BENEFIT PLAN
ATTN
CARYN HILDRETH
9045
RIVER RD STE 300
INDIANAPOLIS
IN 46240-6400 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GOVERNMENT
& HIGH QUALITY BOND
(R4) |
81.68% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(R4) |
6.40% |
PRINCIPAL
TRUST COMPANY
FBO
NQ BENEFIT FOR HCES OF MIECO
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
GOVERNMENT
& HIGH QUALITY BOND
(R5) |
43.46% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND
(R5) |
16.93% |
BANKERS
TRUST COMPANY
FBO
II-VI, INC DEFERRED
COMPENSATION
PLAN
ATTN
DEBBIE WILLIAMS
453
7TH ST
DES
MOINES IA 50309-4110 |
GOVERNMENT
& HIGH QUALITY BOND
(R5) |
15.65% |
NORTHWEST
ADMINISTRATORS
FBO
NQ EXCESS OF NW ADMINISTRATORS
ATTN
GAYLE BUSHNELL
2323
EASTLAKE AVE E
SEATTLE
WA 98102-3963 |
GOVERNMENT
& HIGH QUALITY BOND
(R5) |
11.18% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
GOVERNMENT
MONEY MARKET (I) |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
GOVERNMENT
MONEY MARKET (R6) |
12.69% |
INCOME
FUND
FBO
PGI
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
MONEY MARKET (R6) |
10.65% |
BNY
MELLON AS AGENT FOR VARIOUS
PRINCIPAL
FUNDS
500
GRANT ST
PITTSBURGH
PA 15219-2502 |
GOVERNMENT
MONEY MARKET (R6) |
5.13% |
EQUITY
INCOME FUND
FBO
PGI
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
HIGH
INCOME (I) |
55.15% |
PRINCIPAL
GLOBAL INVESTORS TRUST CO
PRINCIPAL
LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
HIGH
INCOME (I) |
9.20% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
HIGH
INCOME (I) |
7.88% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
HIGH
YIELD (A) |
14.94% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
HIGH
YIELD (A) |
9.52% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
HIGH
YIELD (A) |
5.32% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
HIGH
YIELD (A) |
5.17% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
HIGH
YIELD (C) |
19.43% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
HIGH
YIELD (C) |
19.12% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
HIGH
YIELD (C) |
6.89% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
HIGH
YIELD (C) |
6.89% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
HIGH
YIELD (C) |
5.84% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
HIGH
YIELD (I) |
31.58% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
HIGH
YIELD (I) |
14.16% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
HIGH
YIELD (I) |
11.19% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
HIGH
YIELD (I) |
6.42% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
HIGH
YIELD (I) |
5.10% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
HIGH
YIELD (R6) |
18.50% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
HIGH
YIELD (R6) |
18.27% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
HIGH
YIELD (R6) |
13.83% |
WELLS
FARGO BANK NA
PO
BOX 1533
MINNEAPOLIS
MN 55480-1533 |
HIGH
YIELD (R6) |
7.83% |
SAM
CONS BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
HIGH
YIELD (R6) |
6.53% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
HIGH
YIELD (R6) |
5.18% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (I) |
39.03% |
PRINCIPAL
GLOBAL INVESTORS TRUST CO
PRINCIPAL
LIFETIME HYBRID
COLLECTIVE
INVESTMENT FUNDS
1300
SW 5TH AVE STE 3300
PORTLAND
OR 97201-5640 |
INFLATION
PROTECTION (I) |
11.89% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (I) |
9.62% |
LIFETIME
2020 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (I) |
7.72% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (R1) |
99.84% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (R3) |
39.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
INFLATION
PROTECTION (R3) |
21.80% |
DSL
CONSTRUCTION CORP
FBO
EXEC NQ EXCESS OF DSL
CONSTRUCTION
ATTN
PLAN TRUSTEE
11300
W OLYMPIC BLVD STE 770
LOS
ANGELES CA 90064-1644 |
INFLATION
PROTECTION (R3) |
14.37% |
PRINCIPAL
TRUST COMPANY
ATTN
PLAN TRUSTEE
FBO
PRCD HOLDINGS LLC NQ DEF COMP
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
INFLATION
PROTECTION (R3) |
5.57% |
GREEN
RIVER RENTALS
FBO
EXEC NQ EXCESS OF GREEN RIVER
ATTN
PLAN TRUSTEE
RENTALS
5720
NASHVILLE ROAD
BOWLING
GREEN KY 42101-7546 |
INFLATION
PROTECTION (R3) |
5.28% |
PRINCIPAL
TRUST COMPANY
FBO
DUPAGE INTERNAL MEDICINE LLC
228
OXFORD AVE
CLARENDON
HLS IL 60514-2807 |
INFLATION
PROTECTION (R4) |
93.07% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (R5) |
89.82% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INFLATION
PROTECTION (R5) |
6.13% |
COMANCHE
COUNTY HOSPITAL AUTHORITY
FBO
COMANCHE COUNTY HOSPITAL
AUTHORITY
EMPLOYEE EXCESS PLAN
ATTN
DONNA WADE
3401
W GORE BLVD
LAWTON
OK 73505-6300 |
INTERNATIONAL
I (I) |
71.59% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
INTERNATIONAL
I (I) |
12.04% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
INTERNATIONAL
I (I) |
6.08% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
INTERNATIONAL
I (R1) |
100.00% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
INTERNATIONAL
I (R3) |
90.84% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
I (R4) |
92.55% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
I (R4) |
5.90% |
INTL
UNION AGAINST TB & LUNG DIS
FBO
INTL UNION AGAINST TB&LD VITAL
ATTN
PLAN TRUSTEE
STRATEGIES
457B
61
BROADWAY STE 1010
NEW
YORK NY 10006-2738 |
INTERNATIONAL
I (R5) |
97.94% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
INTERNATIONAL
I (R6) |
78.09% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
INTERNATIONAL
I (R6) |
9.18% |
C/O
BANKERS TRUST
1
FREEDOM VALLEY DR
OAKS
PA 19456-9989 |
LARGECAP
GROWTH I (A) |
13.94% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
LARGECAP
GROWTH I (A) |
8.27% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
LARGECAP
GROWTH I (I) |
78.47% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
LARGECAP
GROWTH I (I) |
8.58% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R1) |
95.34% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R3) |
72.22% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
LARGECAP
GROWTH I (R4) |
50.62% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R4) |
22.37% |
EMPOWER
TRUST FBO
EMPLOYEE
BENEFITS CLIENTS 401K
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
LARGECAP
GROWTH I (R4) |
5.85% |
CHARLES
SCHWAB & CO INC
FBO
CHARLES SCHWAB & CO INC
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
LARGECAP
GROWTH I (R5) |
78.45% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R5) |
5.90% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
LARGECAP
GROWTH I (R6) |
59.63% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R6) |
5.95% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I (R6) |
5.23% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (A) |
18.08% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
LARGECAP
S&P 500 INDEX (A) |
6.71% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
LARGECAP
S&P 500 INDEX (C) |
17.55% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
LARGECAP
S&P 500 INDEX (C) |
14.38% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
LARGECAP
S&P 500 INDEX (C) |
10.46% |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE
BENEFIT OF CUSTOMERS
501
N BROADWAY
SAINT
LOUIS MO
63102-2188 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
LARGECAP
S&P 500 INDEX (C) |
10.39% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
LARGECAP
S&P 500 INDEX (C) |
5.38% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1100 |
LARGECAP
S&P 500 INDEX (I) |
9.93% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (I) |
9.12% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (I) |
8.68% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (I) |
7.01% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (R1) |
71.53% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (R3) |
61.59% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (R4) |
47.54% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX (R4) |
5.44% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
LARGECAP
S&P 500 INDEX (R4) |
5.18% |
NOMURA
HOLDING AMERICA INC
ATTN
PLAN TRUSTEE
FBO
NOMURA SUPP RET SAVINGS
309
W 49TH ST
NEW
YORK NY 10019-9102 |
LARGECAP
S&P 500 INDEX (R5) |
71.91% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
LARGECAP
VALUE III (I) |
13.44% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (I) |
12.80% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (I) |
11.62% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (I) |
10.34% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (I) |
7.46% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
LARGECAP
VALUE III (R1) |
91.82% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (R1) |
6.91% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
LARGECAP
VALUE III (R3) |
80.64% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (R4) |
69.49% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
VALUE III (R4) |
13.31% |
PRINCIPAL
TRUST COMPANY
FBO
CRST INTL NQ PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
LARGECAP
VALUE III (R4) |
7.02% |
NEW
LONDON HOSPITAL ASSOC INC
FBO
NEW LONDON HOSP ASSOC INC 457B
ATTN
TINA NAIMIE
273
COUNTY RD
NEW
LONDON NH 03257-7700 |
LARGECAP
VALUE III (R5) |
55.56% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
LARGECAP
VALUE III (R5) |
15.70% |
DELAWARE
CHARTER GUAR & TRUST CO
FBO
PRINCIPAL TRUST COMPANY
VEBA
TRUST IBEW HEALTH SAVING PLAN
SOUTHWEST
SCHOOL CORPORATION
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
LARGECAP
VALUE III (R5) |
8.65% |
PRINCIPAL
TRUST COMPANY
FBO
NIPPON LIFE INS CO EXEC NQ
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
LARGECAP
VALUE III (R5) |
6.66% |
APPALACHIAN
REGIONAL HEALTHCARE
SYSTEM
FBO
EXECUTIVE 457B OF ARHS INC
ATTN
AMY CRABBE
PO
BOX 2600
BOONE
NC 28607-2600 |
MIDCAP
(A) |
13.22% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
(A) |
5.13% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
MIDCAP
(C) |
30.13% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
(C) |
20.10% |
CHARLES
SCHWAB & CO INC
FBO
SPECIAL CUSTODY ACCOUNTS
ATTN
MUTUAL FUNDS
211
MAIN ST
SAN
FRANCISCO CA 94105-1901 |
MIDCAP
(C) |
8.38% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
MIDCAP
(C) |
8.13% |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE
BENEFIT OF CUSTOMERS
501
N BROADWAY
SAINT
LOUIS MO 63102-2188 |
MIDCAP
(I) |
15.27% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
MIDCAP
(I) |
12.10% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
MIDCAP
(I) |
10.59% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
MIDCAP
(I) |
8.92% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL
33716-1102 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
(I) |
8.92% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
(I) |
7.07% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
MIDCAP
(I) |
5.35% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
MIDCAP
(I) |
5.12% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
MIDCAP
(R1) |
95.94% |
VOYA
INSTITUTIONAL TRUST COMPANY
1
ORANGE WAY
WINDSOR
CT 06095-4773 |
MIDCAP
(R3) |
42.35% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
MIDCAP
(R3) |
16.19% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
(R4) |
28.27% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
MIDCAP
(R4) |
19.29% |
LINCOLN
RETIREMENT SERVICES CO
FBO
UT SYSTEM ORP
PO
BOX 7876
FORT
WAYNE IN 46801-7876 |
MIDCAP
(R4) |
17.02% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
(R4) |
7.75% |
LINCOLN
RETIREMENT SERVICES CO
FBO
UT SYSTEM TSA
PO
BOX 7876
FORT
WAYNE IN 46801-7876 |
MIDCAP
(R4) |
6.52% |
JOHN
HANCOCK TRUST COMPANY LLC
690
CANTON ST STE 100
WESTWOOD
MA 02090-2324 |
MIDCAP
(R5) |
25.21% |
MID
ATLANTIC TRUST COMPANY FBO
MATC
OMNIBUS DIV REINVEST
1251
WATERFRONT PL STE 525
PITTSBURGH
PA 15222-4228 |
MIDCAP
(R5) |
17.44% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA
94104-4151 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
(R5) |
16.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
(R5) |
6.60% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
MIDCAP
(R6) |
37.78% |
EDWARD
D JONES & CO
FOR
THE BENEFIT OF CUSTOMERS
12555
MANCHESTER RD
SAINT
LOUIS MO 63131-3710 |
MIDCAP
(R6) |
13.49% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 2
JACKSONVILLE
FL 32246-6484 |
MIDCAP
(R6) |
8.11% |
WELLS
FARGO BANK NA
FBO
OMNIBUS CASH CASH
XXXX0
PO
BOX 1533
MINNEAPOLIS
MN 55480-1533 |
MIDCAP
(R6) |
5.07% |
SAXON
& CO
FBO
40400904099990
PO
BOX 94597
CLEVELAND
OH 44101-4597 |
MIDCAP
GROWTH (I) |
25.66% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
GROWTH (I) |
13.90% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
MIDCAP
GROWTH (I) |
11.55% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH (I) |
7.15% |
NATIONWIDE
TRUST COMPANY FSB
C/O
IPO PORTFOLIO ACCOUNTING
PO
BOX 182029
COLUMBUS
OH 43218-2029 |
MIDCAP
GROWTH (R1) |
81.74% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH (R1) |
8.42% |
MID
ATLANTIC TRUST COMPANY FBO
BRAINLINK
INTERNATIONAL INC 401(K)
1251
WATERFRONT PLACE SUITE 525
PITTSBURGH
PA 15222-4228 |
MIDCAP
GROWTH (R3) |
33.77% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
GROWTH (R3) |
16.50% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH (R3) |
8.81% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 900
DEFINED
CONTRIBUTION PENSION
23
MAIN STREET SUITE D1
HOLMDEL
NJ 07733-2136 |
MIDCAP
GROWTH (R3) |
7.54% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 900
TAX
DEFERRED ANNUITY PLAN OF
23
MAIN STREET SUITE D1
HOLMDEL
NJ 07733-2136 |
MIDCAP
GROWTH (R3) |
5.78% |
FIIOC
FBO
DEFOE
CORP 401K EMPLOYEE SAVINGS
PLAN
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
MIDCAP
GROWTH (R4) |
76.55% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH (R4) |
9.02% |
PRINCIPAL
TRUST COMPANY
FBO
FIRST COUNTY BANK NQ DEF COMP
AND
SERP
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
MIDCAP
GROWTH (R5) |
61.10% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH (R5) |
14.10% |
PRINCIPAL
TRUST COMPANY
FBO
GRIMMWAY FARMS EXEC DEFERRED
ATTN
PLAN TRUSTEE
COMP
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
MIDCAP
GROWTH (R5) |
5.30% |
PRINCIPAL
TRUST COMPANY
FBO
NQ DB OF AAA ARIZONA
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
MIDCAP
GROWTH (R5) |
5.26% |
MID
ATLANTIC TRUST COMPANY FBO
MATC
OMNIBUS DIV REINVEST
1251
WATERFRONT PL STE 525
PITTSBURGH
PA 15222-4228 |
MIDCAP
GROWTH III (I) |
37.41% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (I) |
13.15% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
GROWTH III (I) |
12.60% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (I) |
9.78% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (R1) |
86.63% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (R1) |
8.56% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
MIDCAP
GROWTH III (R3) |
63.76% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (R3) |
16.89% |
COUNSEL
TRUST DBA MATC FBO
INTEGRATED
LINER TECHNOLOGIES
401
K PROFIT SHARING PLAN & TRUST
1251
WATERFRONT PL STE 525
PITTSBURGH
PA 15222-4228 |
MIDCAP
GROWTH III (R4) |
82.57% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (R4) |
6.01% |
CROSS
SALES & ENGINEERING
FBO
EXEC EXCESS OF CROSS SALES &
ENG
ATTN
JERRY BOHNSACK
PO
BOX 18508
GREENSBORO
NC 27419-8508 |
MIDCAP
GROWTH III (R4) |
5.81% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF AMERICAN SOCIETY
ATTN
SUSAN SAGGIONE
OF
SAFETY ENGINEERS
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
MIDCAP
GROWTH III (R5) |
82.33% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
GROWTH III (R5) |
8.97% |
CAMPUS
USA CREDIT UNION
FBO
457F OF CAMPUS CREDIT UNION
ATTN
JILL HARPER
PO
BOX 147029
GAINESVILLE
FL 32614-7029 |
MIDCAP
S&P 400 INDEX (I) |
12.21% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
S&P 400 INDEX (I) |
11.31% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
MIDCAP
S&P 400 INDEX (I) |
8.86% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
S&P 400 INDEX (I) |
7.66% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FBO CUSTOMERS
ATTN
MUTUAL FUNDS
211
MAIN STREET
SAN
FRANCISCO CA 94105-1901 |
MIDCAP
S&P 400 INDEX (I) |
7.39% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
MIDCAP
S&P 400 INDEX (I) |
5.16% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
MIDCAP
S&P 400 INDEX (R1) |
52.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R1) |
7.22% |
ASCENSUS
TRUST COMPANY FBO
GXM
CONSULTING 401K PLAN
213950
PO
BOX 10758
FARGO
ND 58106-0758 |
MIDCAP
S&P 400 INDEX (R3) |
41.20% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R4) |
39.51% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R4) |
21.17% |
VOYA
INSTITUTIONAL TRUST COMPANY
1
ORANGE WAY
WINDSOR
CT 06095-4773 |
MIDCAP
S&P 400 INDEX (R5) |
54.95% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
20.40% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
13.18% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
S&P 400 INDEX (R6) |
8.11% |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
6.42% |
LIFETIME
HYBRID 2040 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
6.30% |
LIFETIME
HYBRID 2030 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
5.60% |
LIFETIME
HYBRID 2035 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
S&P 400 INDEX (R6) |
5.36% |
LIFETIME
HYBRID 2025 FUND
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (A) |
23.61% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
VALUE I (I) |
76.43% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
MIDCAP
VALUE I (I) |
7.93% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
MIDCAP
VALUE I (R1) |
92.30% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R3) |
71.61% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R4) |
66.40% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R4) |
9.97% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY ACCT
FBO
CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
MIDCAP
VALUE I (R4) |
5.65% |
VRSCO
FBO
AIGFSB CUST TTEE FBO
SLIDELL
MEMORIAL 457 DEF COMP PLAN
2727-A
ALLEN PARKWAY 4-D1
HOUSTON
TX 77019-2107 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP
VALUE I (R5) |
61.64% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R5) |
5.24% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY ACCT
FBO
CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
MIDCAP
VALUE I (R6) |
53.42% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R6) |
9.42% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R6) |
8.99% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP
VALUE I (R6) |
7.31% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
OVERSEAS
(I) |
17.66% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
OVERSEAS
(I) |
11.94% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
OVERSEAS
(I) |
11.38% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
OVERSEAS
(I) |
10.52% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
OVERSEAS
(I) |
9.22% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
OVERSEAS
(R3) |
75.29% |
PRINCIPAL
TRUST COMPANY
FBO
DUPAGE INTERNAL MEDICINE LLC
228
OXFORD AVE
CLARENDON
HLS IL 60514-2807 |
OVERSEAS
(R3) |
19.37% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
OVERSEAS
(R4) |
99.39% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (A) |
34.48% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
PRINCIPAL
CAPITAL APPRECIATION (A) |
7.76% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
CAPITAL APPRECIATION (C) |
16.93% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
CAPITAL APPRECIATION (C) |
8.39% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
PRINCIPAL
CAPITAL APPRECIATION (C) |
5.73% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
PRINCIPAL
CAPITAL APPRECIATION (I) |
23.58% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (I) |
16.11% |
SAM
BALANCED PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING -H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (I) |
14.96% |
SAM
CONS GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (I) |
11.95% |
SAM
STRATEGIC GROWTH PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (I) |
7.33% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
PRINCIPAL
CAPITAL APPRECIATION (R1) |
87.52% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (R1) |
9.41% |
LAKEWOOD
RESOURCE & REFERRAL CENTER
FBO
457B OF LAKEWOOD RESOURCE &
REFERRAL
ATTN
MIRIAM MILSTEIN
1771
MADISON AVE
LAKEWOOD
NJ 08701-1242 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
CAPITAL APPRECIATION (R3) |
49.80% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (R3) |
41.78% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
PRINCIPAL
CAPITAL APPRECIATION (R4) |
89.51% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION (R5) |
86.99% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC (A) |
18.44% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME STRATEGIC INC (I) |
89.57% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC (I) |
6.49% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R1) |
99.43% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R3) |
87.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R4) |
65.97% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R4) |
12.98% |
PRINCIPAL
TRUST COMPANY
FBO
CRST INTL NQ PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME STRATEGIC INC
(R5) |
67.25% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R5) |
9.48% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME STRATEGIC INC
(R5) |
8.73% |
BANKERS
TRUST COMPANY
FBO
EXEC DEF PLAN OF ALION SCIENCE
&
TECH
ATTN
DEBBIE WILLIAMS
453
7TH ST
DES
MOINES IA 50309-4110 |
PRINCIPAL
LIFETIME 2010 (A) |
21.83% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME 2010 (A) |
5.53% |
PRINCIPAL
LIFE INSURANCE CO CUST
IRA
WILLIAM J HENNESSEY
1
FOREST HILLS BLVD
RENSSELAER
NY 12144-5831 |
PRINCIPAL
LIFETIME 2010 (A) |
5.07% |
MICHAEL
E VER STEEG &
WILLIAM
R VER STEEG TTEES
EUGENE
D AND BEVERLY C VER STEEG
LEGACY
TRUST UA DTD 12/31/2012
1819
250TH ST
INWOOD
IA 51240-7726 |
PRINCIPAL
LIFETIME 2010 (I) |
86.78% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2010 (I) |
9.87% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2010 (R1) |
99.94% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2010 (R3) |
91.26% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2010 (R4) |
57.56% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2010 (R4) |
29.23% |
RANGER
PIPELINES INCORPORATED
FBO
RANGER PIPELINES INC NQ EXCESS
PLAN
ATTN
PLAN TRUSTEE
1790
YOSEMITE AVE
SAN
FRANCISCO CA 94124-2622 |
PRINCIPAL
LIFETIME 2010 (R5) |
83.04% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2010 (R5) |
7.62% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2015 (I) |
87.16% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (I) |
11.43% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (R1) |
98.31% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (R3) |
98.33% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (R4) |
97.55% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (R5) |
91.40% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2015 (R5) |
5.57% |
MAPS
CREDIT UNION
ATTN
BARBARA CECIL
FBO
457B DEF COMP OF MAPS CU
1900
HINES STREET NW PO BOX 12398
SALEM
OR 97309-0398 |
PRINCIPAL
LIFETIME 2020 (A) |
16.74% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ
07310-1995 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2020 (I) |
86.86% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (I) |
10.36% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (R1) |
96.68% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (R3) |
90.43% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (R4) |
91.86% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (R5) |
84.40% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020 (R5) |
6.68% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2025 (I) |
86.20% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2025 (I) |
12.46% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2025 (R1) |
96.16% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2025 (R3) |
93.31% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2025 (R4) |
83.71% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2025 (R5) |
91.35% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (A) |
15.55% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME 2030 (I) |
88.11% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (I) |
9.10% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (R1) |
93.21% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (R3) |
90.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (R4) |
78.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (R5) |
85.14% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030 (R5) |
5.49% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2035 (I) |
85.86% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2035 (I) |
12.16% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2035 (R1) |
99.99% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2035 (R3) |
96.94% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2035 (R4) |
83.94% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2035 (R5) |
91.56% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (A) |
12.76% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME 2040 (I) |
87.45% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (I) |
9.82% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (R1) |
92.12% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (R1) |
5.97% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
PRINCIPAL
LIFETIME 2040 (R3) |
94.23% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2040 (R4) |
89.08% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (R5) |
86.31% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040 (R5) |
8.06% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2045 (I) |
82.33% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2045 (I) |
15.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2045 (R1) |
98.38% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2045 (R3) |
98.65% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2045 (R4) |
93.27% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2045 (R5) |
95.73% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (A) |
14.41% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME 2050 (I) |
85.16% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2050 (I) |
12.24% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (R1) |
94.18% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (R1) |
5.53% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
PRINCIPAL
LIFETIME 2050 (R3) |
97.93% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (R4) |
92.15% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (R5) |
89.39% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050 (R5) |
5.58% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC 457B OF SANFORD HEALTH
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2055 (I) |
82.61% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2055 (I) |
14.68% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2055 (R1) |
96.21% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2055 (R3) |
98.80% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2055 (R4) |
97.77% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2055 (R5) |
94.00% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (I) |
87.45% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (I) |
9.87% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (R1) |
93.60% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (R1) |
6.39% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
PRINCIPAL
LIFETIME 2060 (R3) |
97.88% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (R4) |
95.36% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060 (R5) |
91.19% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2065 (I) |
89.10% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2065 (I) |
9.05% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2065 (R1) |
100.00% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2065 (R3) |
93.46% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2065 (R4) |
83.84% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2065 (R4) |
13.38% |
PRINCIPAL
TRUST COMPANY
FBO
ISS FACILITY SERVICES HLDNG INC
EX
DC PLN
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME 2065 (R5) |
95.67% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID INCOME
(I) |
60.86% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID INCOME
(I) |
18.84% |
PRINCIPAL
TRUST COMPANY
FBO
FBL FINANCIAL GROUP DEF COMP
ATTN
SUSAN SAGGIONE
PLAN
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
PRINCIPAL
LIFETIME HYBRID INCOME
(I) |
15.93% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID INCOME
(R6) |
82.51% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID INCOME
(R6) |
6.55% |
BANKERS
TRUST COMPANY
FBO
PRIN SELECT SVNG EXCESS PLAN
ATTN
MARK HARRISON
FOR
EES
453
7TH ST PO BOX 897
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2015 (I) |
79.41% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME HYBRID 2015 (I) |
11.20% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2015 (I) |
5.49% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2015 (R6) |
86.92% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2020 (I) |
57.94% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2020 (I) |
23.63% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2020 (I) |
8.21% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2020 (R6) |
89.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2025 (I) |
60.61% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2025 (I) |
22.98% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2025 (I) |
5.54% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2025 (R6) |
87.74% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2030 (I) |
55.90% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME HYBRID 2030 (I) |
23.11% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2030 (I) |
9.61% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2030 (R6) |
83.08% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2030 (R6) |
7.22% |
BANKERS
TRUST COMPANY
FBO
PRIN SELECT SVNG EXCESS PLAN
ATTN
MARK HARRISON
FOR
EES
453
7TH ST PO BOX 897
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2030 (R6) |
5.34% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
PRINCIPAL
LIFETIME HYBRID 2035 (I) |
57.06% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2035 (I) |
23.99% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2035 (I) |
7.65% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2035 (R6) |
82.73% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2035 (R6) |
8.22% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
PRINCIPAL
LIFETIME HYBRID 2040 (I) |
60.68% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME HYBRID 2040 (I) |
19.37% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2040 (I) |
7.54% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2040 (I) |
5.76% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2040 (R6) |
83.63% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2040 (R6) |
8.64% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
PRINCIPAL
LIFETIME HYBRID 2045 (I) |
60.79% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2045 (I) |
23.14% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2045 (I) |
8.28% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2045 (R6) |
86.92% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2045 (R6) |
8.97% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
PRINCIPAL
LIFETIME HYBRID 2050 (I) |
61.52% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME HYBRID 2050 (I) |
24.23% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2050 (I) |
6.51% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2050 (I) |
5.05% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2050 (R6) |
90.92% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2050 (R6) |
5.14% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
PRINCIPAL
LIFETIME HYBRID 2055 (I) |
60.46% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2055 (I) |
26.61% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
PRINCIPAL
LIFETIME HYBRID 2055 (I) |
5.57% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2055 (I) |
5.57% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2055 (R6) |
93.15% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2060 (I) |
48.97% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2060 (I) |
28.53% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ
07310-1995 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME HYBRID 2060 (I) |
10.68% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2060 (I) |
9.43% |
FIIOC
FBO
BRADY
TRANE SERVICE INC 401K PLAN
AND
TRUST
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
PRINCIPAL
LIFETIME HYBRID 2060 (R6) |
86.86% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2065 (I) |
79.18% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME HYBRID 2065 (I) |
10.40% |
MINNESOTA
LIFE INSURANCE COMPANY
400
ROBERT ST N STE A
SAINT
PAUL MN 55101-2099 |
PRINCIPAL
LIFETIME HYBRID 2065 (R6) |
84.47% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (A) |
23.59% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR EAST 3RD FL
JACKSONVILLE
FL 32246-6484 |
REAL
ESTATE SECURITIES (A) |
12.68% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
REAL
ESTATE SECURITIES (A) |
6.64% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
REAL
ESTATE SECURITIES (A) |
5.42% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
REAL
ESTATE SECURITIES (C) |
27.42% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
REAL
ESTATE SECURITIES (C) |
15.32% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
REAL
ESTATE SECURITIES (C) |
14.96% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
REAL
ESTATE SECURITIES (C) |
6.52% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ
07399-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
REAL
ESTATE SECURITIES (I) |
30.64% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
REAL
ESTATE SECURITIES (I) |
20.15% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
REAL
ESTATE SECURITIES (I) |
7.53% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
REAL
ESTATE SECURITIES (I) |
6.05% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
REAL
ESTATE SECURITIES (I) |
5.33% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
REAL
ESTATE SECURITIES (R1) |
63.84% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R1) |
10.46% |
MG
TRUST COMPANY CUST
FBO
LIOKAREAS CONSTRUCTION CO
717
17TH ST STE 1300
DENVER
CO 80202-3304 |
REAL
ESTATE SECURITIES (R1) |
7.71% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
REAL
ESTATE SECURITIES (R1) |
6.14% |
ASCENSUS
TRUST COMPANY FBO
BROADMOOR
GOLF CLUB 401K RETIREME
PO
BOX 10758
FARGO
ND 58106-0758 |
REAL
ESTATE SECURITIES (R1) |
5.69% |
FIIOC
FBO
CABLE CONNECTION & SUPPLY
CO
INC PROFIT SHARING PLAN & TRUST
100
MAGELLAN WAY
COVINGTON
KY 41015-1987 |
REAL
ESTATE SECURITIES (R3) |
24.88% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R3) |
20.82% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
REAL
ESTATE SECURITIES (R3) |
6.44% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
REAL
ESTATE SECURITIES (R3) |
6.07% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
REAL
ESTATE SECURITIES (R4) |
30.52% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R4) |
15.51% |
EMPOWER
TRUST FBO
EMPOWER
BENEFIT PLANS
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
REAL
ESTATE SECURITIES (R4) |
10.41% |
EMPOWER
TRUST FBO
EMPLOYEE
BENEFITS CLIENTS 401K
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
REAL
ESTATE SECURITIES (R4) |
6.97% |
EMPOWER
TRUST FBO
EMPOWER
BENEFIT PLANS
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
REAL
ESTATE SECURITIES (R4) |
6.92% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
REAL
ESTATE SECURITIES (R5) |
38.15% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R5) |
7.53% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R5) |
6.77% |
EMPOWER
TRUST FBO
EMPOWER
BENEFIT PLANS
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
REAL
ESTATE SECURITIES (R5) |
5.83% |
MATRIX
TRUST COMPANY COTRUSTEE FBO
SOUTHERN
CALIFORNIA SHEET METAL WOR
PO
BOX 52129
PHOENIX
AZ 85072-2129 |
REAL
ESTATE SECURITIES (R6) |
22.09% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES (R6) |
7.70% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
REAL
ESTATE SECURITIES (R6) |
7.40% |
WELLS
FARGO BANK NA
PO
BOX 1533
MINNEAPOLIS
MN 55480-1533 |
REAL
ESTATE SECURITIES (R6) |
6.50% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
REAL
ESTATE SECURITIES (R6) |
5.07% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (A) |
17.19% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
SAM
BALANCED PORTFOLIO (A) |
15.87% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
BALANCED PORTFOLIO (A) |
5.35% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SAM
BALANCED PORTFOLIO (C) |
22.70% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
BALANCED PORTFOLIO (C) |
10.43% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SAM
BALANCED PORTFOLIO (C) |
6.47% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
SAM
BALANCED PORTFOLIO (I) |
80.74% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (I) |
6.89% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (R1) |
84.54% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (R1) |
7.55% |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE
BENEFIT OF CUSTOMERS
501
N BROADWAY
SAINT
LOUIS MO 63102-2188 |
SAM
BALANCED PORTFOLIO (R3) |
64.18% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (R3) |
6.42% |
PRINCIPAL
TRUST COMPANY
ATTN
PLAN TRUSTEE
FBO
V K KNOWLTON DEF COMP PLAN
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
BALANCED PORTFOLIO (R3) |
6.41% |
PRINCIPAL
TRUST COMPANY
FBO
SOUTHEASTERN PLUMBING AND
HEATING
INC CASH BALANCE PLAN
300
W 23RD ST
CHARLOTTE
NC 28206-3107 |
SAM
BALANCED PORTFOLIO (R3) |
5.74% |
CBNA
AS CUSTODIAN FBO
CITY
OF OCOEE VEBA HEALTH SAVINGS P
6
RHOADS DR STE 7
UTICA
NY 13502-6317 |
SAM
BALANCED PORTFOLIO (R4) |
56.51% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED PORTFOLIO (R4) |
30.92% |
MATRIX
TRUST CO AS AGENT FBO
PRO-SET
INC FINANCIAL SECURITY TRUS
PO
BOX 52129
PHOENIX
AZ 85072-2129 |
SAM
BALANCED PORTFOLIO (R5) |
94.20% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED PORT
(A) |
18.95% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
CONSERVATIVE BALANCED PORT
(A) |
7.59% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
SAM
CONSERVATIVE BALANCED PORT
(A) |
6.60% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SAM
CONSERVATIVE BALANCED PORT
(C) |
20.42% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SAM
CONSERVATIVE BALANCED PORT
(C) |
17.92% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
CONSERVATIVE BALANCED PORT
(C) |
5.07% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
SAM
CONSERVATIVE BALANCED PORT
(I) |
80.49% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED PORT
(R1) |
56.31% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
CONSERVATIVE BALANCED PORT
(R1) |
33.24% |
PRINCIPAL
TRUST COMPANY
FBO
DEV MEDICAL ASSOCIATES SC CASH
BALANCE
PENSION PLAN
5600
W ADDISON ST STE 400
CHICAGO
IL 60634-4400 |
SAM
CONSERVATIVE BALANCED PORT
(R1) |
6.58% |
PAI
TRUST COMPANY INC
PARAMOUNT
CONSTRUCTION GROUP INC 40
1300
ENTERPRISE DRIVE
DE
PERE WI 54115-4934 |
SAM
CONSERVATIVE BALANCED PORT
(R3) |
66.57% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED PORT
(R3) |
8.30% |
DANCKER
SELLEW & DOUGLAS INC
FBO
DANCKER SELLEW & DOUGLAS INC
SUPP
EXEC RET
ATTN
PLAN TRUSTEE
291
EVANS WAY
SOMMERVILLE
NJ 08876-3766 |
SAM
CONSERVATIVE BALANCED PORT
(R3) |
5.11% |
CHANNELL
COMMERCIAL CORPORATION
ATTN
PLAN TRUSTEE
FBO
CHANNELL COMM CORP NQ DEF COMP
26040
YNEX RD
TEMECULA
CA 92591-6033 |
SAM
CONSERVATIVE BALANCED PORT
(R4) |
39.25% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED PORT
(R4) |
32.84% |
PRINCIPAL
TRUST COMPANY
FBO
B&G AND AFFILIATES EXEC RET PLA
N
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SAM
CONSERVATIVE BALANCED PORT
(R4) |
16.97% |
PRINCIPAL
TRUST COMPANY
FBO
BURWELL DC PLAN
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SAM
CONSERVATIVE BALANCED PORT
(R5) |
72.63% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED PORT
(R5) |
21.56% |
KGP
TELECOMMUNICATIONS LLC
ATTN
PLAN TRUSTEE
FBO
KGPCO PHANTOM UNITS PLAN
3305
HIGHWAY 60 WEST
FAIRBAULT
MN 55021-4869 |
SAM
CONSERVATIVE GROWTH PORT
(A) |
12.80% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
CONSERVATIVE GROWTH PORT
(A) |
11.33% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
SAM
CONSERVATIVE GROWTH PORT
(A) |
5.30% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ
07399-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
CONSERVATIVE GROWTH PORT
(C) |
17.16% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
CONSERVATIVE GROWTH PORT
(C) |
11.06% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
SAM
CONSERVATIVE GROWTH PORT
(C) |
6.74% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SAM
CONSERVATIVE GROWTH PORT (I) |
79.37% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH PORT (I) |
5.26% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH PORT
(R1) |
99.99% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH PORT
(R3) |
73.40% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH PORT
(R3) |
5.50% |
PRINCIPAL
TRUST COMPANY
FBO
EXEC NQ OF FOND DU LAC BAND
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SAM
CONSERVATIVE GROWTH PORT
(R4) |
62.65% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH PORT
(R4) |
19.35% |
WALSER
AUTOMOTIVE GROUP LLC
FBO
WALSER AUTO GROUP NQ LONG TERM
ATTN
PLAN TRUSTEE
INCENTIVE
PLAN
7700
FRANCE AVENUE S SUITE 410N
EDINA
MN 55435-5869 |
SAM
CONSERVATIVE GROWTH PORT
(R4) |
9.77% |
PRINCIPAL
TRUST COMPANY
FBO
BURWELL DC PLAN
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
CONSERVATIVE GROWTH PORT
(R5) |
93.03% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME PORTFOLIO (A) |
26.49% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
FLEXIBLE INCOME PORTFOLIO (A) |
7.96% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
SAM
FLEXIBLE INCOME PORTFOLIO (C) |
30.05% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
FLEXIBLE INCOME PORTFOLIO (C) |
6.45% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SAM
FLEXIBLE INCOME PORTFOLIO (I) |
66.66% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME PORTFOLIO (I) |
7.87% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SAM
FLEXIBLE INCOME PORTFOLIO (I) |
6.56% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
FLEXIBLE INCOME PORTFOLIO (I) |
5.46% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R1) |
58.87% |
PRINCIPAL
TRUST COMPANY
FBO
CONCORP CONCRETE INC DEFINED
BENEFIT
PENSION PLAN
2485
ASHCROFT AVE
CLOVIS
CA 93611-6001 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R1) |
22.90% |
PRINCIPAL
TRUST COMPANY
FBO
DEV MEDICAL ASSOCIATES SC CASH
BALANCE
PENSION PLAN
5600
W ADDISON ST STE 400
CHICAGO
IL 60634-4400 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R1) |
15.34% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
FLEXIBLE INCOME PORTFOLIO
(R3) |
64.09% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R3) |
13.46% |
MID
ATLANTIC TRUST COMPANY FBO
BUFFALO
ULTRASOUND INC 401 K
PROFIT
SHARING PLAN & TRUST
1251
WATERFRONT PLACE SUITE 525
PITTSBURGH
PA 15222-4228 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R3) |
11.94% |
PRINCIPAL
TRUST COMPANY
FBO
RVVS CASH BALANCE PLAN
15900
JORDAN AVE SE
PRIOR
LAKE MN 55372-2051 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R4) |
52.08% |
PRINCIPAL
TRUST COMPANY
FBO
SCHENECTADY PULMONARY &
CRITICAL
CARE
124
ROSA RD STE 382
SCHENECTADY
NY 12308-2144 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R4) |
19.24% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R4) |
11.66% |
PRINCIPAL
TRUST COMPANY
FBO
BURWELL DC PLAN
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R4) |
6.95% |
BRISTOL
BAY NATIVE CORPORATION
ATTN
PLAN TRUSTEE
FBO
BBNC NQ DEF COMP PLAN
111
W 16TH AVE
ANCHORAGE
AK 99501-6299 |
SAM
FLEXIBLE INCOME PORTFOLIO
(R5) |
93.54% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH PORTFOLIO
(A) |
10.39% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
SAM
STRATEGIC GROWTH PORTFOLIO
(A) |
10.18% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
STRATEGIC GROWTH PORTFOLIO
(C) |
15.78% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SAM
STRATEGIC GROWTH PORTFOLIO
(I) |
79.47% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
STRATEGIC GROWTH PORTFOLIO
(I) |
5.68% |
FIRST
COMMAND FINANCIAL SERVICES
INC
ATTN
PLAN TRUSTEE
FBO
FIRST COMMAND DEF CAREER
1
FIRSTCOMM PLAZA
FORT
WORTH TX 76109-4978 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R1) |
80.24% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R1) |
19.75% |
MG
TRUST COMPANY CUST FBO
PAULDING
EXEMPTED VILLAGE SC 403 B
717
17TH ST STE 1300
DENVER
CO 80202-3304 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R3) |
81.25% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R3) |
5.98% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R4) |
51.60% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R4) |
28.79% |
PRINCIPAL
TRUST COMPANY
FBO
BURWELL DC PLAN
ATTN
PLAN TRUSTEE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R4) |
10.62% |
MATRIX
TRUST CO AS AGENT FBO
PRO-SET
INC FINANCIAL SECURITY TRUS
PO
BOX 52129
PHOENIX
AZ 85072-2129 |
SAM
STRATEGIC GROWTH PORTFOLIO
(R5) |
95.56% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (A) |
30.37% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SHORT-TERM
INCOME (A) |
10.16% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SHORT-TERM
INCOME (A) |
8.70% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY
10004-1965 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SHORT-TERM
INCOME (C) |
20.62% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SHORT-TERM
INCOME (C) |
17.56% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SHORT-TERM
INCOME (C) |
5.17% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
SHORT-TERM
INCOME (I) |
11.81% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (I) |
11.76% |
LIFETIME
2020 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (I) |
10.81% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY ACCOUNT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
SHORT-TERM
INCOME (I) |
7.39% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SHORT-TERM
INCOME (I) |
5.91% |
MAC
& CO A/C 135602
MUTUAL
FUND OPERATIONS
500
GRANT STREET ROOM 151-1010
PITTSBURGH
PA 15219-2502 |
SHORT-TERM
INCOME (I) |
5.63% |
SAM
FLEXIBLE INCOME PORTFOLIO PIF
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (R1) |
62.70% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (R1) |
36.14% |
EWR,
INC
FBO
EXEC RETIREMENT PLAN OF EWR,
INC
ATTN
JOSEPH WYRICK
6055
PRIMACY PKWY STE 100
MEMPHIS
TN 38119-5514 |
SHORT-TERM
INCOME (R3) |
53.97% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (R3) |
10.04% |
PRINCIPAL
TRUST COMPANY
FBO
DUPAGE INTERNAL MEDICINE LLC
228
OXFORD AVE
CLARENDON
HLS IL 60514-2807 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SHORT-TERM
INCOME (R3) |
6.32% |
DSL
CONSTRUCTION CORP
FBO
EXEC NQ EXCESS OF DSL
CONSTRUCTION
ATTN
PLAN TRUSTEE
11300
W OLYMPIC BLVD STE 770
LOS
ANGELES CA 90064-1644 |
SHORT-TERM
INCOME (R3) |
5.57% |
PRINCIPAL
TRUST COMPANY
FBO
SSP AMERICAN DEF COMP PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SHORT-TERM
INCOME (R4) |
50.26% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (R4) |
23.33% |
NOMURA
HOLDING AMERICA INC
ATTN
PLAN TRUSTEE
FBO
NOMURA SUPP RET SAVINGS
309
W 49TH ST
NEW
YORK NY 10019-9102 |
SHORT-TERM
INCOME (R4) |
8.59% |
BRISTOL
BAY NATIVE CORPORATION
ATTN
PLAN TRUSTEE
FBO
BBNC NQ DEF COMP PLAN
111
W 16TH AVE
ANCHORAGE
AK 99501-6299 |
SHORT-TERM
INCOME (R5) |
40.03% |
CHURCHILL
MORTGAGE CORPORATION
FBO
CHURCHILL MORTGAGE CORPORATION
INCENTIVE
BONUS PLAN
ATTN
SHEREE BARLETT
761
OLD HICKORY BLVD STE 400
BRENTWOOD
TN 37027-4519 |
SHORT-TERM
INCOME (R5) |
15.33% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME (R5) |
9.82% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
SHORT-TERM
INCOME (R5) |
9.77% |
PRINCIPAL
TRUST COMPANY
FBO
GUEST SERVICES EMPLOYEE SAVINGS
ATTN
SUSAN SAGGIONE
PLAN
1013
CENTRE ROAD
WILMINGTON
DE 19805-1265 |
SHORT-TERM
INCOME (R5) |
9.39% |
NORTHWEST
ADMINISTRATORS
ATTN
GAYLE BUSHNELL
FBO
NQ EXCESS OF NW ADMINISTRATORS
2323
EASTLAKE AVE E
SEATTLE
WA 98102-3963 |
SMALLCAP
(A) |
17.35% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
(A) |
6.20% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
(C) |
22.12% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SMALLCAP
(C) |
17.84% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
(C) |
5.45% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SMALLCAP
(I) |
25.07% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
(I) |
23.53% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
SMALLCAP
(I) |
8.24% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SMALLCAP
(I) |
6.03% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
SMALLCAP
(I) |
5.97% |
RBC
CAPITAL MARKETS LLC
MUTUAL
FUND OMNIBUS PROCESSING
OMNIBUS
ATTN
MUTUAL FUND OPS MANAGER
250
NICOLLET MALL SUITE 1400
MINNEAPOLIS
MN 55401-7554 |
SMALLCAP
(I) |
5.59% |
RAYMOND
JAMES
OMNIBUS
FOR MUTUAL FUNDS
HOUSE
ACCT FIRM 92500015
ATTN:
COURTNEY WALLER
880
CARILLON PKWY
ST
PETERSBURG FL 33716-1102 |
SMALLCAP
(I) |
5.48% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
SMALLCAP
(I) |
5.37% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SMALLCAP
(R1) |
52.90% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
(R1) |
28.51% |
FIIOC
FBO
VRMC OF NEW YORK 401K PLAN
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
(R1) |
8.46% |
FIIOC
FBO
ATLANTIC
TOYOTA GROUP INC 401K PLAN
100
MAGELLAN WAY (KW1C)
COVINGTON
KY 41015-1987 |
SMALLCAP
(R3) |
26.59% |
SAMMONS
RETIREMENT SOLUTIONS
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
SMALLCAP
(R3) |
16.80% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
(R3) |
5.54% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
SMALLCAP
(R4) |
95.21% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
(R5) |
49.04% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
(R5) |
20.47% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 002
CITY
OF JERSEY CITY
280
GROVE STREET ROOM 106
JERSEY
CITY NJ 07302-3610 |
SMALLCAP
(R5) |
13.61% |
VANGUARD
FIDUCIARY TRUST CO CUST
FBO
401K CLIENTS 401(K) PLAN
PO
BOX 2600
VALLEY
FORGE PA 19482-2600 |
SMALLCAP
(R5) |
8.91% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
(R6) |
53.33% |
NFS
LLC FEBO
FIIOC
AS AGENT FOR
QUALIFIED
EMPLOYEE BENEFIT
PLANS
(401K) FINOPS-IC FUNDS
100
MAGELLAN WAY # KW1C
COVINGTON
KY 41015-1987 |
SMALLCAP
(R6) |
19.61% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (I) |
33.09% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
GROWTH I (I) |
14.09% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
GROWTH I (I) |
12.66% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
SMALLCAP
GROWTH I (I) |
10.63% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY A/C FOR THE
BENIFIT
OF CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
SMALLCAP
GROWTH I (R1) |
92.16% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (R3) |
48.03% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (R3) |
17.49% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 767
DIGERONIMO
COMPANIES RETIREMENT
5720
SCHAAF RD
INDEPENDENCE
OH 44131 |
SMALLCAP
GROWTH I (R4) |
43.98% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (R4) |
23.11% |
JOHN
HANCOCK TRUST COMPANY LLC
690
CANTON ST STE 100
WESTWOOD
MA 02090-2324 |
SMALLCAP
GROWTH I (R4) |
11.25% |
LINCOLN
RETIREMENT SERVICES COMPANY
FBO
SCHOOL BD OF RICHMOND 403B
PO
BOX 7876
FORT
WAYNE IN 46801-7876 |
SMALLCAP
GROWTH I (R4) |
5.96% |
PRINCIPAL
TRUST COMPANY
FBO
CRST INTL NQ PLAN
ATTN
SUSAN SAGGIONE
1013
CENTRE RD
WILMINGTON
DE 19805-1265 |
SMALLCAP
GROWTH I (R5) |
46.67% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (R5) |
19.66% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
GROWTH I (R5) |
10.67% |
TIAA,
FSB CUST/TTEE FBO:
RETIREMENT
PLANS FOR WHICH
TIAA
ACTS AS RECORDKEEPER
ATTN:
TRUST OPERATIONS
211
N BROADWAY STE 1000
SAINT
LOUIS MO 63102-2748 |
SMALLCAP
GROWTH I (R5) |
5.27% |
RELIANCE
TRUST COMPANY TRUSTEE
FBO
RITE SOLUTIONS SAVINGS & INVEST
185
S BROAD ST STE 303
PAWCATUCK
CT 06379-1997 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
GROWTH I (R6) |
46.33% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SMALLCAP
GROWTH I (R6) |
8.47% |
NATIONAL
FINANCIAL SERVICES LLC
499
WASHINGTON BLVD
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
S&P 600 INDEX (I) |
15.63% |
PERSHING
LLC
1
PERSHING PLZ
JERSEY
CITY NJ 07399-0001 |
SMALLCAP
S&P 600 INDEX (I) |
15.00% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (I) |
10.45% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
S&P 600 INDEX (I) |
7.05% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
SMALLCAP
S&P 600 INDEX (I) |
5.67% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
SMALLCAP
S&P 600 INDEX (R1) |
37.36% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R1) |
5.30% |
COUNSEL
TRUST DBA MATC FBO
HIRSCH
INTERNATIONAL CORP 401 K
PROFIT
SHARING PLAN & TRUST
1251
WATERFRONT PL STE 525
PITTSBURGH
PA 15222-4228 |
SMALLCAP
S&P 600 INDEX (R3) |
33.65% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R3) |
10.71% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
SMALLCAP
S&P 600 INDEX (R3) |
5.69% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 007
403(B)(7)
TAX DEFERRED MUTUAL
C/O
PARADIGM EQUITIES INC
1216
KENDALE BLVD
EAST
LANSING MI
48823-2008 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
S&P 600 INDEX (R4) |
52.83% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R4) |
7.43% |
CHARLES
SCHWAB & CO INC
SPECIAL
CUSTODY ACCT
FBO
CUSTOMERS
ATTN
MUTUAL FUNDS
101
MONTGOMERY ST
SAN
FRANCISCO CA 94104-4151 |
SMALLCAP
S&P 600 INDEX (R4) |
6.10% |
STATE
STREET BANK AND TRUST COMPANY
TRUSTEE
AND/OR CUSTODIAN
FBO
ADP ACCESS PRODUCT
1
LINCOLN ST
BOSTON
MA 02111-2901 |
SMALLCAP
S&P 600 INDEX (R5) |
55.16% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R6) |
27.97% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R6) |
17.12% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
ATTN
NPIO TRADE DESK
OMNIBUS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R6) |
11.12% |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
S&P 600 INDEX (R6) |
5.48% |
DIVERSIFIED
BALANCED ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (I) |
42.32% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
SMALLCAP
VALUE II (I) |
16.44% |
PIMS/PRUDENTIAL
RETIREMENT
AS
NOMINEE FOR THE TTEE/CUST PL 767
BT
U.S. RETIREMENT SAVINGS PLAN
8951
CYPRESS WATERS BLVD STE 200
DALLAS
TX 75019-4763 |
SMALLCAP
VALUE II (I) |
9.78% |
EMPOWER
TRUST FBO
EMPLOYEE
BENEFITS CLIENTS 401K
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
SMALLCAP
VALUE II (I) |
7.42% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP
VALUE II (R1) |
89.60% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R1) |
10.35% |
RELIANCE
TRUST CO TTEE
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
SMALLCAP
VALUE II (R3) |
73.82% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R3) |
5.41% |
RELIANCE
TRUST CO CUST
FBO
ADP ACCESS LARGE MARKET
401(K)
PLAN
201
17TH ST NW STE 1000
ATLANTA
GA 30363-1195 |
SMALLCAP
VALUE II (R4) |
75.74% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R4) |
16.08% |
EMPOWER
TRUST FBO
EMPLOYEE
BENEFITS CLIENTS 401K
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO 80111-5002 |
SMALLCAP
VALUE II (R5) |
97.10% |
DCGT
AS TTEE AND/OR CUST
FBO
PLIC VARIOUS RETIREMENT PLANS
OMNIBUS
ATTN
NPIO TRADE DESK
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R6) |
58.50% |
PRINCIPAL
LIFE INS COMPANY CUST
FBO
PFG OMNIBUS WRAPPED AND CUSTOM
ATTN
PLIC PROXY COORDINATOR
FUNDS
711
HIGH STREET
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R6) |
7.34% |
LIFETIME
2040 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R6) |
7.00% |
LIFETIME
2030 FUND
ATTN
MUTUAL FUND ACCOUNTING- H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP
VALUE II (R6) |
5.73% |
LIFETIME
2050 FUND
ATTN
MUTUAL FUND ACCOUNTING-H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
TAX-EXEMPT
BOND (A) |
15.68% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
TAX-EXEMPT
BOND (A) |
15.57% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ
07310-1995 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
TAX-EXEMPT
BOND (A) |
7.63% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
TAX-EXEMPT
BOND (A) |
7.54% |
J.
P. MORGAN SECURITIES LLC
FBO
EXCLUSIVE BENEFIT OF OUR CUST
4
CHASE METROTECH CTR
BROOKLYN
NY 11245-0003 |
TAX-EXEMPT
BOND (A) |
5.34% |
MLPF&S
FOR THE SOLE
BENEFIT
OF ITS CUSTOMERS
ATTN
FUND ADMINISTRATION
4800
DEER LAKE DR E FL 3
JACKSONVILLE
FL 32246-6484 |
TAX-EXEMPT
BOND (C) |
25.58% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
TAX-EXEMPT
BOND (C) |
10.38% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
TAX-EXEMPT
BOND (C) |
9.80% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
THE EXCL BENE OF OUR CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
TAX-EXEMPT
BOND (C) |
9.08% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY 10004-1965 |
TAX-EXEMPT
BOND (C) |
8.53% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
TAX-EXEMPT
BOND (C) |
7.69% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
TAX-EXEMPT
BOND (I) |
33.53% |
NATIONAL
FINANCIAL SERVICES LLC
FOR
EXCLUSIVE BENEFIT OF OUR
CUSTOMERS
499
WASHINGTON BLVD
ATTN
MUTUAL FUNDS DEPT 4TH FL
JERSEY
CITY NJ 07310-1995 |
TAX-EXEMPT
BOND (I) |
15.94% |
WELLS
FARGO CLEARING SERVICES LLC
SPECIAL
CUSTODY ACCT FOR THE
EXCLUSIVE
BENEFIT OF CUSTOMER
2801
MARKET ST
SAINT
LOUIS MO 63103-2523 |
TAX-EXEMPT
BOND (I) |
11.52% |
AMERICAN
ENTERPRISE INVESTMENT SVC
FBO
#41999970
707
2ND AVE S
MINNEAPOLIS
MN 55402-2405 |
TAX-EXEMPT
BOND (I) |
7.69% |
LPL
FINANCIAL
OMNIBUS
CUSTOMER ACCOUNT
ATTN
MUTUAL FUND TRADING
4707
EXECUTIVE DR
SAN
DIEGO CA 92121-3091 |
TAX-EXEMPT
BOND (I) |
6.07% |
MORGAN
STANLEY SMITH BARNEY LLC
FOR
THE EXCLUSIVE BENE OF ITS CUST
1
NEW YORK PLZ FL 12
NEW
YORK NY
10004-1965 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
TAX-EXEMPT
BOND (I) |
5.00% |
UBS
WM USA
0O0
11011 6100
OMNI
ACCOUNT M/F
SPEC
CDY A/C EBOC UBSFSI
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Jessica
S. Bush:
Diversified Income Fund | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$12.2 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Brody
Dass:
SAM Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM
Flexible Income, and SAM Strategic
Growth
Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$1.5 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
James
W. Fennessey:
High Income; LargeCap Growth I; LargeCap Value III; MidCap Growth III;
MidCap Value I; Overseas;
Principal
LifeTime Strategic Income, 2010, 2015, 2020, 2025, 2030, 2035, 2040, 2045,
2050, 2055, 2060, 2065, and 2070;
Principal
LifeTime Hybrid Income, 2015, 2020, 2025, 2030, 2035, 2040, 2045, 2050,
2055, 2060, 2065, and 2070; SmallCap
Growth
I; and SmallCap Value II Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
40 |
$52.0 billion |
0 |
$0 |
Other
accounts |
44 |
$4.6 billion |
0 |
$0 |
Todd
A. Jablonski:
SAM Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM
Flexible Income, and SAM
Strategic
Growth Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$1.6 billion |
0 |
$0 |
Other
accounts |
21 |
$293.7 million |
0 |
$0 |
Benjamin
E. Rotenberg:
Diversified Income Fund | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$12.2 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Scott
Smith:
Principal LifeTime Strategic Income, 2010, 2015, 2020, 2025, 2030, 2035,
2040, 2045, 2050, 2055, 2060, 2065, and
2070;
and Principal LifeTime Hybrid Income, 2015, 2020, 2025, 2030, 2035, 2040,
2045, 2050, 2055, 2060, 2065, and 2070 Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
32 |
$46.5 billion |
0 |
$0 |
Other
accounts |
34 |
$4.6 billion |
0 |
$0 |
Yesim
Tokat-Acikel(1):
SAM Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM
Flexible Income, and SAM
Strategic
Growth Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
May
Tong:
Diversified Income Fund | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$12.2 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Randy
L. Welch:
High Income; LargeCap Growth I; LargeCap Value III; MidCap Growth III;
MidCap Value I; Overseas; Principal
LifeTime
Strategic Income, 2010, 2015, 2020, 2025, 2030, 2035, 2040, 2045, 2050,
2055, 2060, 2065, and 2070; Principal
LifeTime
Hybrid Income, 2015, 2020, 2025, 2030, 2035, 2040, 2045, 2050, 2055, 2060,
2065, and 2070; SmallCap Growth I; and
SmallCap
Value II Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
40 |
$52.0 billion |
0 |
$0 |
Other
accounts |
44 |
$4.6 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Jessica
S. Bush |
Diversified
Income |
$100,001
- $500,000 |
Brody
Dass |
SAM
Balanced |
None |
Brody
Dass |
SAM
Conservative Balanced |
None |
Brody
Dass |
SAM
Conservative Growth |
None |
Brody
Dass |
SAM
Flexible Income |
None |
Brody
Dass |
SAM Strategic
Growth |
None |
James
W. Fennessey |
High
Income |
$1
- $10,000 |
James
W. Fennessey |
LargeCap Growth
I |
$100,001 -
$500,000 |
James
W. Fennessey |
LargeCap
Value III |
$10,001
- $50,000 |
James
W. Fennessey |
MidCap Growth
III |
$1 -
$10,000 |
James
W. Fennessey |
MidCap
Value I |
$1
- $10,000 |
James
W. Fennessey |
Overseas |
None |
James
W. Fennessey |
Principal
LifeTime Strategic Income |
None |
James
W. Fennessey |
Principal
LifeTime 2010 |
None |
James
W. Fennessey |
Principal
LifeTime 2015 |
None |
James
W. Fennessey |
Principal
LifeTime 2020 |
None |
James
W. Fennessey |
Principal
LifeTime 2025 |
None |
James
W. Fennessey |
Principal
LifeTime 2030 |
None |
James
W. Fennessey |
Principal
LifeTime 2035 |
None |
James
W. Fennessey |
Principal
LifeTime 2040 |
$10,001 -
$50,000 |
James
W. Fennessey |
Principal
LifeTime 2045 |
None |
James
W. Fennessey |
Principal
LifeTime 2050 |
None |
James
W. Fennessey |
Principal
LifeTime 2055 |
None |
James
W. Fennessey |
Principal
LifeTime 2060 |
None |
James
W. Fennessey |
Principal
LifeTime 2065 |
None |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
James
W. Fennessey |
Principal
LifeTime 2070 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid Income |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2015 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2020 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2025 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2030 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2035 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2040 |
$100,001
- $500,000 |
James
W. Fennessey |
Principal
LifeTime Hybrid 2045 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2050 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2055 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2060 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2065 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid 2070 |
None |
James
W. Fennessey |
SmallCap Growth
I |
$100,001 -
$500,000 |
James
W. Fennessey |
SmallCap
Value II |
$100,001
- $500,000 |
Todd
A. Jablonski |
SAM
Balanced |
over
$1,000,000 |
Todd
A. Jablonski |
SAM
Conservative Balanced |
$1
- $10,000 |
Todd
A. Jablonski |
SAM
Conservative Growth |
$100,001 -
$500,000 |
Todd
A. Jablonski |
SAM
Flexible Income |
$1
- $10,000 |
Todd
A. Jablonski |
SAM Strategic
Growth |
$100,001 -
$500,000 |
Benjamin
E. Rotenberg |
Diversified
Income |
$100,001
- $500,000 |
Scott
Smith |
Principal
LifeTime Strategic Income |
None |
Scott
Smith |
Principal
LifeTime 2010 |
None |
Scott
Smith |
Principal
LifeTime 2015 |
None |
Scott
Smith |
Principal
LifeTime 2020 |
None |
Scott
Smith |
Principal
LifeTime 2025 |
None |
Scott
Smith |
Principal
LifeTime 2030 |
None |
Scott
Smith |
Principal
LifeTime 2035 |
None |
Scott
Smith |
Principal
LifeTime 2040 |
None |
Scott
Smith |
Principal
LifeTime 2045 |
None |
Scott
Smith |
Principal
LifeTime 2050 |
None |
Scott
Smith |
Principal
LifeTime 2055 |
None |
Scott
Smith |
Principal
LifeTime 2060 |
None |
Scott
Smith |
Principal
LifeTime 2065 |
None |
Scott
Smith |
Principal
LifeTime 2070 |
None |
Scott
Smith |
Principal
LifeTime Hybrid Income |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2015 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2020 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2025 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2030 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2035 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2040 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2045 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2050 |
$100,001 -
$500,000 |
Scott
Smith |
Principal
LifeTime Hybrid 2055 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2060 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2065 |
None |
Scott
Smith |
Principal
LifeTime Hybrid 2070 |
None |
Yesim
Tokat-Acikel(1) |
SAM
Balanced |
None |
Yesim
Tokat-Acikel(1) |
SAM
Conservative Balanced |
None |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Yesim
Tokat-Acikel(1) |
SAM
Conservative Growth |
None |
Yesim
Tokat-Acikel(1) |
SAM Flexible
Income |
None |
Yesim
Tokat-Acikel(1) |
SAM
Strategic Growth |
None |
May
Tong |
Diversified
Income |
$100,001 -
$500,000 |
Randy
L. Welch |
High
Income |
$1
- $10,000 |
Randy
L. Welch |
LargeCap Growth
I |
$100,001 -
$500,000 |
Randy
L. Welch |
LargeCap
Value III |
$1
- $10,000 |
Randy
L. Welch |
MidCap Growth
III |
$1 -
$10,000 |
Randy
L. Welch |
MidCap
Value I |
$1
- $10,000 |
Randy
L. Welch |
Overseas |
None |
Randy
L. Welch |
Principal
LifeTime Strategic Income |
None |
Randy
L. Welch |
Principal
LifeTime 2010 |
None |
Randy
L. Welch |
Principal
LifeTime 2015 |
None |
Randy
L. Welch |
Principal
LifeTime 2020 |
None |
Randy
L. Welch |
Principal
LifeTime 2025 |
None |
Randy
L. Welch |
Principal
LifeTime 2030 |
None |
Randy
L. Welch |
Principal
LifeTime 2035 |
None |
Randy
L. Welch |
Principal
LifeTime 2040 |
None |
Randy
L. Welch |
Principal
LifeTime 2045 |
None |
Randy
L. Welch |
Principal
LifeTime 2050 |
None |
Randy
L. Welch |
Principal
LifeTime 2055 |
None |
Randy
L. Welch |
Principal
LifeTime 2060 |
None |
Randy
L. Welch |
Principal
LifeTime 2065 |
None |
Randy
L. Welch |
Principal
LifeTime 2070 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid Income |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2015 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2020 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2025 |
$100,001 -
$500,000 |
Randy
L. Welch |
Principal
LifeTime Hybrid 2030 |
$100,001
- $500,000 |
Randy
L. Welch |
Principal
LifeTime Hybrid 2035 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2040 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2045 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2050 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2055 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2060 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2065 |
None |
Randy
L. Welch |
Principal
LifeTime Hybrid 2070 |
None |
Randy
L. Welch |
SmallCap Growth
I |
$50,001 -
$100,000 |
Randy
L. Welch |
SmallCap
Value II |
$50,001
- $100,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Daniel
R. Coleman:
Equity Income and Principal Capital Appreciation
Funds | ||||
Registered
investment companies |
5 |
$2.0 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$274.0 million |
0 |
$0 |
Other
accounts |
43 |
$3.2 billion |
0 |
$0 |
Theodore
Jayne:
Principal Capital Appreciation Fund | ||||
Registered
investment companies |
2 |
$261.9 million |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
8 |
$210.2 million |
0 |
$0 |
Sarah
E. Radecki:
Equity Income Fund | ||||
Registered
investment companies |
3 |
$1.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$274.0 million |
0 |
$0 |
Other
accounts |
34 |
$2.9 billion |
0 |
$0 |
Nedret
Vidinli:
Equity Income Fund | ||||
Registered
investment companies |
2 |
$728.1 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$180.9 million |
0 |
$0 |
Other
accounts |
9 |
$294.2 million |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Daniel
R. Coleman |
Equity
Income |
over
$1,000,000 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Daniel
R. Coleman |
Principal
Capital Appreciation |
$100,001 -
$500,000 |
Theodore
Jayne |
Principal
Capital Appreciation |
$100,001
- $500,000 |
Sarah
E. Radecki |
Equity
Income |
over
$1,000,000 |
Nedret
Vidinli |
Equity
Income |
$500,001
- $1,000,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Paul
H. Blankenhagen:
Diversified International Fund | ||||
Registered
investment companies |
3 |
$632.4 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$8.5 billion |
0 |
$0 |
Other
accounts |
11 |
$1.1 billion |
1 |
$256.3 million |
Juliet
Cohn:
Diversified International Fund | ||||
Registered
investment companies |
3 |
$632.4 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$8.6 billion |
0 |
$0 |
Other
accounts |
11 |
$1.1 billion |
1 |
$256.3 million |
Christopher
T. Corbett:
MidCap Growth Fund | ||||
Registered
investment companies |
2 |
$270.7 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$377.4 million |
0 |
$0 |
Other
accounts |
13 |
$274.0 million |
0 |
$0 |
Jeffrey
Kilkenny:
Global Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$61.4
million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$174.4 million |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
K.
William Nolin:
MidCap Fund | ||||
Registered
investment companies |
5 |
$9.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.6 billion |
0 |
$0 |
Other
accounts |
68 |
$11.2 billion |
0 |
$0 |
Phil
Nordhus:
SmallCap Fund | ||||
Registered
investment companies |
5 |
$222.5 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$689.9 million |
0 |
$0 |
Other
accounts |
27 |
$2.9 billion |
2 |
$473.9 million |
Brian
W. Pattinson:
SmallCap Fund | ||||
Registered
investment companies |
7 |
$844.0 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$2.1 billion |
0 |
$0 |
Other
accounts |
42 |
$4.5 billion |
2 |
$473.9 million |
Tom
Rozycki:
MidCap Fund | ||||
Registered
investment companies |
5 |
$9.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.6 billion |
0 |
$0 |
Other
accounts |
68 |
$11.2 billion |
0 |
$0 |
Jeffrey
A. Schwarte:
LargeCap S&P 500 Index, MidCap S&P 400 Index, and SmallCap S&P
600 Index Funds | ||||
Registered
investment companies |
27 |
$9.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$39.7 billion |
0 |
$0 |
Other
accounts |
4 |
$1.7 billion |
0 |
$0 |
Marc
R. Shapiro:
MidCap Growth Fund | ||||
Registered
investment companies |
2 |
$270.7 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$377.4 million |
0 |
$0 |
Other
accounts |
10 |
$201.9 million |
0 |
$0 |
Aaron
J. Siebel:
LargeCap S&P 500 Index, MidCap S&P 400 Index, and SmallCap S&P
600 Index Funds | ||||
Registered
investment companies |
26 |
$9.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$39.7 billion |
0 |
$0 |
Other
accounts |
2 |
$1.7 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Paul
H. Blankenhagen |
Diversified
International |
over
$1,000,000 |
Juliet
Cohn |
Diversified
International |
$100,001 -
$500,000 |
Christopher
T. Corbett |
MidCap
Growth |
$500,001
- $1,000,000 |
Jeffrey
Kilkenny |
Global Emerging
Markets |
$100,001 -
$500,000 |
K.
William Nolin |
MidCap |
over
$1,000,000 |
Phil
Nordhus |
SmallCap |
over
$1,000,000 |
Brian
Pattinson |
SmallCap |
over
$1,000,000 |
Tom
Rozycki |
MidCap |
over
$1,000,000 |
Jeffrey
A. Schwarte |
LargeCap
S&P 500 Index |
$100,001
- $500,000 |
Jeffrey
A. Schwarte |
MidCap S&P
400 Index |
None |
Jeffrey
A. Schwarte |
SmallCap
S&P 600 Index |
$10,001
- $50,000 |
Marc
R. Shapiro |
MidCap
Growth |
$100,001 -
$500,000 |
Aaron
J. Siebel |
LargeCap
S&P 500 Index |
None |
Aaron
J. Siebel |
MidCap S&P
400 Index |
None |
Aaron
J. Siebel |
SmallCap
S&P 600 Index |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Damien
Buchet:
Finisterre Emerging Markets Total Return Bond
Fund | ||||
Registered
Investment Companies |
4 |
$491.8 million |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$1.5 billion |
0 |
$0 |
Other
accounts |
1 |
$363.0 million |
0 |
$0 |
Christopher
Watson:
Finisterre Emerging Markets Total Return Bond
Fund | ||||
Registered
Investment Companies |
4 |
$491.8 million |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$1.5 billion |
0 |
$0 |
Other
accounts |
1 |
$363.0 million |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Damien
Buchet |
Finisterre
Emerging Markets Total Return Bond |
None |
Christopher
Watson |
Finisterre
Emerging Markets Total Return Bond |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
William
C. Armstrong:
Core Plus Bond Fund | ||||
Registered
investment companies |
4 |
$1.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$2.7 billion |
0 |
$0 |
Other
accounts |
37 |
$2.7 billion |
3 |
$1.4 billion |
Bryan
C. Davis:
Core Plus Bond and Government & High Quality Bond
Funds | ||||
Registered
investment companies |
7 |
$2.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
9 |
$7.5 billion |
0 |
$0 |
Other
accounts |
15 |
$5.2 billion |
3 |
$1.1 billion |
Mark
P. Denkinger:
High Yield Fund | ||||
Registered
investment companies |
7 |
$411.9 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$560.6 million |
0 |
$0 |
Other
accounts |
38 |
$2.6 billion |
2 |
$78.6 million |
John
R. Friedl:
Core Fixed Income and Short-Term Income Funds | ||||
Registered
investment companies |
2 |
$140.7 million |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.5 billion |
0 |
$0 |
Other
accounts |
8 |
$69.9 million |
0 |
$0 |
Zach
Gassmann:
Government & High Quality Bond Fund | ||||
Registered
investment companies |
7 |
$414.5 million |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$1.2 billion |
0 |
$0 |
Other
accounts |
18 |
$3.7 billion |
5 |
$338.8 million |
Erika
Isley:
Government Money Market and Money Market Funds | ||||
Registered
investment companies |
2 |
$4,654 |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$1.4 billion |
0 |
$0 |
Other
accounts |
9 |
$1.2 billion |
2 |
$57.7 million |
James
Noble:
California Municipal and Tax-Exempt Bond Funds | ||||
Registered
investment companies |
2 |
$134.2 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$73.0 million |
0 |
$0 |
Other
accounts |
11 |
$577.2 million |
0 |
$0 |
Scott
J. Peterson:
Core Fixed Income and Short-Term Income Funds | ||||
Registered
investment companies |
2 |
$140.7 million |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.5 billion |
0 |
$0 |
Other
accounts |
8 |
$69.9 million |
0 |
$0 |
Josh
Rank:
High Yield Fund | ||||
Registered
investment companies |
7 |
$411.9 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$560.6 million |
0 |
$0 |
Other
accounts |
38 |
$2.6 billion |
2 |
$78.6 million |
Tracy
Reeg:
Government Money Market and Money Market Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
0 |
Other
pooled investment vehicles |
1 |
$1.4 billion |
0 |
$0 |
Other
accounts |
1 |
$253.6 million |
0 |
$0 |
Darrin
E. Smith:
High Yield Fund | ||||
Registered
investment companies |
7 |
$411.9 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$560.6 million |
0 |
$0 |
Other
accounts |
38 |
$2.6 billion |
2 |
$78.6 million |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
James
Welch:
California Municipal and Tax-Exempt Bond Funds | ||||
Registered
investment companies |
2 |
$134.2 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$73.0 million |
0 |
$0 |
Other
accounts |
11 |
$577.2 million |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
William
C. Armstrong |
Core
Plus Bond |
over
$1,000,000 |
Bryan
C. Davis |
Core Plus
Bond |
$500,001 -
$1,000,000 |
Bryan
C. Davis |
Government
& High Quality Bond |
over
$1,000,000 |
Mark
P. Denkinger |
High
Yield |
over
$1,000,000 |
John
R. Friedl |
Core
Fixed Income |
$100,001
- $500,000 |
John
R. Friedl |
Short-Term
Income |
$1 -
$10,000 |
Zach
Gassmann |
Government
& High Quality Bond |
$100,001
- $500,000 |
Erika
Isley |
Government
Money Market |
None |
Erika
Isley |
Money
Market |
None |
James
Noble |
California
Municipal |
$1 -
$10,000 |
James
Noble |
Tax-Exempt
Bond |
$100,001
- $500,000 |
Scott
J. Peterson |
Core Fixed
Income |
$1 -
$10,000 |
Scott
J. Peterson |
Short-Term
Income |
$500,001
- $1,000,000 |
Josh
Rank |
High
Yield |
$500,001 -
$1,000,000 |
Tracy
Reeg |
Government
Money Market |
None |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Tracy
Reeg |
Money
Market |
$1 -
$10,000 |
Darrin
E. Smith |
High
Yield |
$500,001
- $1,000,000 |
James
Welch |
California
Municipal |
$1 -
$10,000 |
James
Welch |
Tax-Exempt
Bond |
$100,001
- $500,000 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Akiva
Dickstein:
Inflation Protection Fund | ||||
Registered
investment companies |
22 |
$23.0 billion |
0 |
$0 |
Other
pooled investment vehicles |
25 |
$7.6 billion |
0 |
$0 |
Other
accounts |
224 |
$95.3 billion |
5 |
$1.6 billion |
David
Rogal:
Inflation Protection Fund |
|
|
|
|
Registered
investment companies |
19 |
$76.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
13 |
$18.1 billion |
0 |
$0 |
Other
accounts |
20 |
$11.4 million |
0 |
$0 |
Portfolio
Manager |
Benchmarks |
Christopher
Allen |
Varied
Euro-Based Benchmarks and global inflation
benchmark. |
Akiva
Dickstein |
A
combination of market-based indices (e.g. Bloomberg
US
Aggregate Index, Bloomberg US Universal Index and
Bloomberg
Intermediate Aggregate Index), certain
customized
indices and certain fund industry peer groups. |
David
Rogal |
A
combination of market-based indices (e.g., Bloomberg
U.S.
Aggregate Bond Index), certain customized indices
and
certain fund industry peer
groups. |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Akiva
Dickstein |
Inflation
Protection |
None |
David
Rogal |
Inflation
Protection |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Christopher
Allen:
Inflation Protection Fund | ||||
Registered
investment companies |
6 |
$5.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
14 |
$9.8 billion |
0 |
$0 |
Other
accounts |
24 |
$10.3 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Christopher
Allen |
Inflation
Protection |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Chris
Carter:
International Fund I | ||||
Registered
investment companies |
1 |
$2.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$98.0 million |
0 |
$0 |
Other
accounts |
10 |
$1.2 billion |
0 |
$0 |
Tarlock
Randhawa:
International Fund I | ||||
Registered
investment companies |
1 |
$2.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$98.0 million |
0 |
$0 |
Other
accounts |
10 |
$1.2 billion |
0 |
$0 |
Nerys
Weir:
International Fund I | ||||
Registered
investment companies |
1 |
$2.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$98.0 million |
0 |
$0 |
Other
accounts |
10 |
$1.2 billion |
0 |
$0 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Chris
Carter |
International
I |
None |
Tarlock
Randhawa |
International
I |
None |
Nerys
Weir |
International
I |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Keith
Bokota:
Real Estate Securities Fund | ||||
Registered
investment companies |
4 |
$630.8 million |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$981.9 million |
0 |
$0 |
Other
accounts |
41 |
$3.0 billion |
1 |
$97.0 million |
Simon
Hedger:
Global Real Estate Securities Fund | ||||
Registered
investment companies |
6 |
$896.6 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$1.4 billion |
0 |
$0 |
Other
accounts |
36 |
$5.2 billion |
5 |
$447.5 million |
Anthony
Kenkel:
Global Real Estate Securities and Real Estate Securities
Funds | ||||
Registered
investment companies |
10 |
$1.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$2.3 billion |
0 |
$0 |
Other
accounts |
78 |
$8.2 billion |
6 |
$544.6 million |
Kelly
D. Rush:
Global Real Estate Securities and Real Estate Securities
Funds | ||||
Registered
investment companies |
10 |
$1.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$2.3 billion |
0 |
$0 |
Other
accounts |
79 |
$8.3 billion |
6 |
$544.6 million |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Keith
Bokota |
Real
Estate Securities |
over
$1,000,000 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Simon
Hedger |
Global Real
Estate Securities |
$500,001 -
$1,000,000 |
Anthony
Kenkel |
Global
Real Estate Securities |
over
$1,000,000 |
Anthony
Kenkel |
Real Estate
Securities |
over
$1,000,000 |
Kelly
D. Rush |
Global
Real Estate Securities |
over
$1,000,000 |
Kelly
D. Rush |
Real Estate
Securities |
over
$1,000,000 |
Aaa: |
Obligations
rated Aaa are judged to be of the highest quality, subject to the lowest
level of credit risk. |
Aa: |
Obligations
rated Aa are judged to be of high quality and are subject to very low
credit risk. |
A: |
Obligations
rated A are considered upper-medium grade and are subject to low credit
risk. |
Baa: |
Obligations
rated Baa are subject to moderate credit risk. They are considered
medium-grade and as such may
possess
certain speculative characteristics. |
Ba: |
Obligations
rated Ba are judged to be speculative and are subject to substantial
credit risk. |
B: |
Obligations
rated B are considered speculative and are subject to high credit
risk. |
Caa: |
Obligations
rated Caa are judged to be speculative of poor standing and are subject to
very high credit risk. |
Ca: |
Obligations
rated Ca are highly speculative and are likely in, or very near, default,
with some prospect of
recovery
of principal and interest. |
C: |
Obligations
rated C are the lowest rated class of bonds and are typically in default,
with little prospect for
recovery
of principal or interest. |
NOTE: |
Moody’s
appends numerical modifiers, 1, 2, and 3 to each generic rating
classification from Aa through Caa.
The
modifier 1 indicates that the obligation ranks in the higher end of its
generic rating category, the modifier 2
indicates
a mid-range ranking, and the modifier 3 indicates a ranking in the lower
end of that generic rating
category.
Additionally, a “(hyb)” indicator is appended to all ratings of hybrid
securities issued by banks, issuers,
financial
companies, and securities
firms.* |
AAA: |
Obligations
rated ‘AAA’ have the highest rating assigned by S&P Global Ratings.
The obligor’s capacity to
meet
its financial commitment on the obligation is extremely
strong. |
AA: |
Obligations
rated ‘AA’ differ from the highest-rated issues only in small degree. The
obligor’s capacity to
meet
its financial commitment on the obligation is very
strong. |
A: |
Obligations
rated ‘A’ have a strong capacity to meet financial commitment on the
obligation although they
are
somewhat more susceptible to the adverse effects of changes in
circumstances and economic
conditions
than obligations in higher-rated categories. |
BBB: |
Obligations
rated ‘BBB’ exhibit adequate protection parameters; however, adverse
economic conditions or
changing
circumstances are more likely to lead to a weakened capacity to meet
financial commitment on
the
obligation. |
BB,
B, CCC,
CC
and C: |
Obligations
rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded, on balance, as having
significant speculative
characteristics.
‘BB’ indicates the lowest degree of speculation and ‘C’ the highest degree
of speculation.
While
such obligations will likely have some quality and protective
characteristics, these may be
outweighed
by large uncertainties or major risk exposures to adverse
conditions. |
BB: |
Obligations
rated ‘BB’ are less vulnerable to nonpayment than other speculative
issues. However it faces
major
ongoing uncertainties or exposure to adverse business, financial, or
economic conditions which
could
lead to the obligor’s inadequate capacity to meet its financial commitment
on the obligation. |
B: |
Obligations
rated ‘B’ are more vulnerable to nonpayment than ‘BB’ but the obligor
currently has the
capacity
to meet its financial commitment on the obligation. Adverse business,
financial, or economic
conditions
will likely impair this capacity. |
CCC: |
Obligations
rated ‘CCC’ are currently vulnerable to nonpayment and is dependent upon
favorable
business,
financial, and economic conditions for the obligor to meet its financial
commitment on the
obligation.
If adverse business, financial, or economic conditions occur, the obligor
is not likely to have the
capacity
to meet its financial commitment on the
obligation. |
CC: |
Obligations
rated ‘CC’ are currently highly vulnerable to nonpayment. The ‘CC’ rating
is used when a
default
has not yet occurred but S&P Global Ratings expects default to be a
virtual certainty, regardless of
anticipated
time to default. |
C: |
The
rating ‘C’ is highly vulnerable to nonpayment, the obligation is expected
to have lower relative seniority
or
lower ultimate recovery compared to higher rated
obligations. |
D: |
Obligations
rated ‘D’ are in default, or in breach of an imputed promise. For
non-hybrid capital instruments,
the
‘D’ rating category is used when payments on an obligation are not made on
the date due, unless S&P
Global
Ratings believes that such payments will be made within five business days
in the absence of a
stated
grace period or within the earlier of the stated grace period or 30
calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual
certainty.
If an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
NR: |
Indicates
that no rating has been requested, that there is insufficient information
on which to base a rating or
that
S&P Global Ratings does not rate a particular type of obligation as a
matter of policy. |
A-1: |
This
is the highest category. The obligor’s capacity to meet its financial
commitment on the obligation is strong.
Within
this category, certain obligations are designated with a plus sign (+).
This indicates that the obligor’s
capacity
to meet its financial commitment on these obligations is extremely
strong. |
A-2: |
Issues
carrying this designation are somewhat more susceptible to the adverse
effects of the changes in
circumstances
and economic conditions than obligations in higher rating categories.
However, the obligor’s
capacity
to meet its financial commitment on the obligation is
satisfactory. |
A-3: |
Issues
carrying this designation exhibit adequate capacity to meet their
financial obligations. However, adverse
economic
conditions or changing circumstances are more likely to lead to a weakened
capacity of the obligor to
meet
it financial commitment on the obligation. |
B: |
Issues
rated ‘B’ are regarded as vulnerable and have significant speculative
characteristics. The obligor has
capacity
to meet financial commitments; however, it faces major ongoing
uncertainties which could lead to
obligor’s
inadequate capacity to meet its financial
obligations. |
C: |
This
rating is assigned to short-term debt obligations that are currently
vulnerable to nonpayment and is
dependent
upon favorable business, financial, and economic conditions to meet its
financial commitment on the
obligation. |
D: |
This
rating indicates that the issue is either in default or in breach of an
imputed promise. For non-hybrid capital
instruments,
the ‘D’ rating category is used when payments on an obligation are not
made on the date due,
unless
S&P Global Ratings believes that such payments will be made within
five business days in the absence
of
a stated grace period or within the earlier of the stated grace period or
30 calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual certainty.
If
an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
SP-1: |
A
strong capacity to pay principal and interest. Issues that possess a very
strong capacity to pay debt service is
given
a “+” designation. |
SP-2: |
A
satisfactory capacity to pay principal and interest, with some
vulnerability to adverse financial and economic
changes
over the terms of the notes. |
SP-3: |
A
speculative capacity to pay principal and
interest. |
Class
A
Maximum
Offering Price Calculation
(as
of October 31, 2022) | |||
|
NAV |
= |
Maximum
Offering Price |
(1-Sales
Charge Percentage) |
Fund | |||
California
Municipal Fund |
$9.27 |
= |
$9.63 |
(1-.0375) | |||
Core
Fixed Income Fund |
$8.19 |
= |
$8.38 |
(1-.0225) | |||
Core
Plus Bond Fund |
$8.84 |
= |
$9.18 |
(1-.0375) | |||
Diversified
Income Fund(1) |
$11.58 |
= |
$12.03 |
(1-.0375) | |||
Diversified
International Fund |
$10.77 |
= |
$11.40 |
(1-.0550) | |||
Equity
Income Fund |
$35.30 |
= |
$37.35 |
(1-.0550) | |||
Global
Emerging Markets Fund(2) |
$20.06 |
= |
$21.23 |
(1-.0550) | |||
Global
Real Estate Securities Fund |
$7.69 |
= |
$8.14 |
(1-.0550) | |||
Government
& High Quality Bond Fund |
$8.62 |
= |
$8.82 |
(1-.0225) | |||
High
Yield Fund |
$6.29 |
= |
$6.54 |
(1-.0375) | |||
LargeCap
Growth Fund I |
$14.20 |
= |
$15.03 |
(1-.0550) | |||
LargeCap
S&P 500 Index Fund |
$19.91 |
= |
$20.21 |
(1-.0150) | |||
MidCap
Fund |
$30.71 |
= |
$32.50 |
(1-.0550) | |||
MidCap
Value Fund I |
$16.23 |
= |
$17.17 |
(1-.0550) | |||
Money
Market Fund |
$1.00 |
= |
$1.00 |
(1-.0000) | |||
Principal
Capital Appreciation Fund |
$53.59 |
= |
$56.71 |
(1-.0550) |
Fund | |||
Principal
LifeTime 2010 Fund |
$11.12 |
= |
$11.55 |
(1-.0375) | |||
Principal
LifeTime 2020 Fund |
$12.14 |
= |
$12.61 |
(1-.03750) | |||
Principal
LifeTime 2030 Fund |
$13.12 |
= |
$13.88 |
(1-.0550) | |||
Principal
LifeTime 2040 Fund |
$13.86 |
= |
$14.67 |
(1-.0550) | |||
Principal
LifeTime 2050 Fund |
$14.82 |
= |
$15.68 |
(1-.0550) | |||
Principal
LifeTime Strategic Income Fund |
$10.46 |
= |
$10.87 |
(1-.0375) | |||
Real
Estate Securities Fund |
$25.62 |
= |
$27.11 |
(1-.0550) | |||
SAM
Balanced Portfolio |
$14.16 |
= |
$14.98 |
(1-.0550) | |||
SAM
Conservative Balanced Portfolio |
$10.85 |
= |
$11.48 |
(1-.0550) | |||
SAM
Conservative Growth Portfolio |
$16.64 |
= |
$17.61 |
(1-.0550) | |||
SAM
Flexible Income Portfolio |
$10.78 |
= |
$11.20 |
(1-.0375) | |||
SAM
Strategic Growth Portfolio |
$18.24 |
= |
$19.30 |
(1-.0550) | |||
Short-Term
Income Fund |
$11.40 |
= |
$11.66 |
(1-.0225) | |||
SmallCap
Fund |
$22.97 |
= |
$24.31 |
(1-.0550) | |||
Tax-Exempt
Bond Fund |
$6.31 |
= |
$6.56 |
(1-.0375) |
Shareholder
Proposal |
|
For |
Against |
Case-by-
Case |
Board
and Director Proposals | ||||
|
Board
Diversity |
|
|
+ |
+ |
Establish
New Board Committees and Elect Board Members with Specific
Expertise |
|
|
+ |
|
Changes
in Board Structure and Amending the Articles of
Incorporation |
+ |
|
|
|
Classified
Boards |
|
+ |
|
|
Director
Liability and Indemnification |
|
|
+ |
+ |
Disclose
CEO Succession Plan |
+ |
|
|
|
Election
of Directors |
+ |
|
|
|
Controlled
Company Exemption |
|
|
+ |
|
Voting
for Director Nominees in a Contested Election |
|
|
+ |
+ |
Independent
Lead Director |
+ |
|
|
+ |
Limit
Term of Directorship |
|
|
+ |
+ |
Majority
of Independent Directors |
+ |
|
|
+ |
Majority
of Independent Directors on Key Committees |
+ |
|
|
+ |
Majority
Votes for Directors |
+ |
|
|
+ |
Removal
of Directors Without Cause |
+ |
|
|
+ |
Require
Independent Board Chairman |
|
|
+ |
+ |
Require
Two Candidates for Each Board Seat |
|
+ |
|
Compensation
Proposals | ||||
+ |
Elimination
of Single Trigger Change-in-Control Agreements |
+ |
|
|
+ |
Pro
Rata Vesting of Equity Compensation Awards-Change of
Control |
|
|
+ |
+ |
Adopt
Policies to Prohibit any Death Benefits to Senior
Executives |
|
+ |
|
+ |
Advisory
Vote to Ratify Directors’ Compensation |
+ |
|
|
+ |
Amend
Executive Compensation Plan Tied to Performance (Bonus
Banking) |
|
+ |
|
|
Approve
Remuneration for Directors and Auditors |
|
|
+ |
|
Approve
Remuneration Reports |
|
|
+ |
|
Approve
Retirement Bonuses for Directors (Japan and South
Korea) |
|
|
+ |
|
Approve
Special Payments to Continuing Directors and Auditors
(Japan) |
|
|
+ |
+ |
Disclose
Executive and Director Pay |
|
|
+ |
+ |
Exclude
Pension Income from Performance-Based Compensation |
+ |
|
|
|
Executive
and Employee Compensation Plans |
|
|
+ |
+ |
Limit
Dividend Payments to Executives |
|
+ |
|
+ |
Limit
Executive Pay |
|
|
+ |
+ |
Mandatory
Holding Periods |
|
+ |
|
+ |
Performance-Based
Stock Option Plans |
|
|
+ |
+ |
Prohibit
Relocation Benefits to Senior Executives |
|
+ |
|
+ |
Recovery
of Performance-Based Compensation |
+ |
|
|
+ |
Submit
Golden Parachutes/Severance Plans to a Shareholder
Vote |
|
+ |
|
+ |
Submit
Golden Parachutes/Severance Plans to a Shareholder Vote prior to their
being
Negotiated
by Management |
|
|
+ |
+ |
Submit
Survivor Benefit Compensation Plans to a Shareholder
Vote |
+ |
|
|
Capital
Changes and Anti-Take Over Proposals | ||||
+ |
Amend
Exclusive Forum Bylaw |
|
+ |
|
|
Amend
Net Operating Loss (“NOL”) Rights Plans |
+ |
|
|
|
Authorize
Share Repurchase |
+ |
|
|
Shareholder
Proposal |
|
For |
Against |
Case-by-
Case |
|
Blank
Check Preferred Stock |
|
+ |
|
|
Corporate
Restructurings, Merger Proposals and Spin-Offs |
|
|
+ |
|
Elimination
of Preemptive Rights |
|
|
+ |
+ |
Expensing
Stock Options |
+ |
|
|
|
Fair
Price Provisions |
|
|
+ |
|
Increase
Authorized Common Stock |
|
|
+ |
|
Issuance
of Equity without Preemptive Rights |
+ |
|
|
|
Issuance
of Stock with Unequal Voting Rights |
|
|
+ |
|
Net
Long Position Requirement |
+ |
|
|
|
Reincorporation |
|
|
+ |
+ |
Reincorporation
to Another jurisdiction to Permit Majority Voting or Other Changes in
Corporate
Governance |
|
|
+ |
|
Stock
Splits |
+ |
|
|
+ |
Submit
Company’s Shareholder Rights Plan to a Shareholder
Vote |
+ |
|
|
|
Transferrable
Stock Options |
|
|
+ |
Auditor
Proposals | ||||
|
Appointment
of Auditors |
+ |
|
|
|
Approval
of Financial Statements |
+ |
|
|
|
Approval
of Internal Statutory Auditors |
+ |
|
|
+ |
Limit
Compensation Consultant Services |
|
+ |
|
|
Limitation
of Liability of External Statutory Auditors (Japan) |
|
|
+ |
+ |
Separating
Auditors and Consultants |
|
|
+ |
Shareholder
Access & Voting Proposals | ||||
+ |
A
Shareholder’s Right to Call Special Meetings |
+ |
|
|
+ |
Adopt
Cumulative Voting |
|
|
+ |
+ |
Adopt
Cumulative Voting in Dual Shareholder Class
Structures |
+ |
|
|
+ |
Early
Disclosure of Voting Results |
|
+ |
|
+ |
Implement
Confidential Voting |
+ |
|
|
|
Limiting
a Shareholder’s Right to Call Special Meetings |
|
+ |
|
+ |
Permit
a Shareholder’s Right to Act by Written Consent |
|
|
+ |
+ |
Proxy
Access for Annual Meetings |
+ |
|
|
|
Reduce
Meeting Notification from 21 Days to 14 Days (UK) |
+ |
|
|
+ |
Rotation
of Locale for Annual Meeting |
|
+ |
|
+ |
Shareholder
Proponent Engagement Process |
+ |
|
|
|
Supermajority
Vote Requirements |
|
+ |
|
Environmental
& Social, Disclosure Proposals | ||||
+ |
Animal
Welfare |
|
|
+ |
+ |
Climate
Change |
|
|
+ |
+ |
Carbon
Accounting |
+ |
|
|
+ |
Carbon
Risk |
+ |
|
|
+ |
Charitable
Contributions |
|
|
+ |
+ |
Environmental
Proposals |
|
|
+ |
+ |
Genetically
Altered or Engineered Food and Pesticides |
|
|
+ |
+ |
Health
Proposals |
|
|
+ |
+ |
Pharmaceutical
Pricing (US) |
|
|
+ |
+ |
Human
Rights Policies and Reports |
|
|
+ |
+ |
Include
Sustainability as a Performance Measure (SHP) |
|
|
+ |
+ |
Lobbying
and Political Spending |
+ |
|
|
Shareholder
Proposal |
|
For |
Against |
Case-by-
Case |
+ |
Other
Business |
|
+ |
|
+ |
Reimbursement
of Shareholder Expenses |
|
+ |
|
+ |
Sustainability
Report |
|
|
+ |
+ |
Work
Place: Diversity |
+ |
|
|
+ |
Work
Place: Pay Disparity |
|
|
+ |
Name
of Security |
|
Date
of Shareholder Meeting |
|
Short
Description of the conflict (client, mutual fund distributor,
etc.): |
|
|
|
|
|
1. |
Is
our proposed vote on all issues explicitly addressed by, and consistent
with our
stated
proxy voting policy? |
☐
Yes |
☐
No |
|
If
yes, stop here and sign below as no further review is
necessary. |
|
|
2. |
Is
our proposed vote on consistent with our client’s recommended
vote? |
☐
Yes |
☐
No |
|
If
yes, stop here and sign below as no further review is
necessary. |
|
|
3. |
Is
our proposed vote consistent with the views of Institutional Shareholder
Services? |
☐
Yes |
☐
No |
|
If
yes, stop here and sign below as no further review is
necessary. |
|
|
AB
Conflicts Officer Approval (if necessary. Email
approval
is acceptable.): |
Prepared
by: |
I
hereby confirm that the proxy voting decision
referenced
on this form is reasonable. |
|
|
Print
Name: |
AB
Conflicts Officer |
|
Date: |
Date: |
1.
Security Name I Symbol: | |
| |
2.
Issue up for vote: | |
| |
| |
3.
Summary of ISS recommendation (see attached full ISS
recommendation): | |
| |
| |
4.
Reasons for voting against ISS recommendation (supporting documentation
may be attached): | |
| |
| |
5.
Determination of potential conflicts (if any): | |
| |
| |
6.
Contacted Compliance Department: Yes / No | |
Name
of individual contacted: |
|
Date: |
|
7.
Contacted other Spectrum portfolio managers who have position in same
security: | |
Yes
/ No |
|
Name
of individual contacted: |
|
Date: |
|
8.
Portfolio Manager Signature: | |
Date: |
|
Portfolio
Manager Name: |
|
Portfolio
Manager Signature*: |
|
Date: |
|
Portfolio
Manager Name: |
|