|
Ticker
Symbols by Share Class | ||||||||
Fund |
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 (formerly, Global 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 (formerly, International
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 |
PINQX |
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 |
|
|
Pending |
Pending |
Pending |
Pending |
Pending |
Pending |
|
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 |
|
|
Pending |
Pending |
|
|
|
|
Pending |
|
Ticker
Symbols by Share Class | ||||||||
Fund |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
Real
Estate Securities |
PRRAX |
PRCEX |
PREJX |
PIREX |
PRAEX |
PRERX |
PRETX |
PREPX |
PFRSX |
SAM
Balanced |
SABPX |
SCBPX |
PSAJX |
PSBIX |
PSBGX |
PBAPX |
PSBLX |
PSBFX |
|
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 (formerly, Global 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 (formerly, International 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 |
Principal
LifeTime Hybrid 2040 |
|
|
X |
X |
|
|
|
|
X |
Principal
LifeTime Hybrid 2045 |
|
|
X |
X |
|
|
|
|
X |
|
Share
Class | ||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-3 |
R-4 |
R-5 |
R-6 |
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
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 |
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 |
1,549 |
1,430 |
119 |
Core
Fixed Income(1)
|
1,518 |
1,448 |
70 |
Core
Plus Bond |
545 |
535 |
10 |
Diversified
Income |
10,026 |
10,019 |
7 |
Diversified
International |
1,075 |
1,044 |
31 |
Equity
Income |
4,835 |
4,572 |
263 |
Finisterre
Emerging Markets Total Return Bond(2)
|
15 |
13 |
2 |
Global
Emerging Markets(3)
|
500 |
483 |
17 |
Global
Real Estate Securities |
483 |
443 |
40 |
Government
& High Quality Bond |
800 |
774 |
26 |
Government
Money Market |
|
|
|
High
Income(4)
|
4 |
4 |
|
High
Yield |
2,217 |
2,190 |
27 |
Inflation
Protection |
60 |
56 |
4 |
International
I |
25 |
25 |
|
LargeCap
Growth I |
2,432 |
2,321 |
111 |
LargeCap
S&P 500 Index |
3,509 |
3,305 |
204 |
LargeCap
Value III |
150 |
147 |
3 |
MidCap |
7,357 |
7,357 |
|
MidCap
Growth |
245 |
243 |
2 |
MidCap
Growth III |
101 |
101 |
|
MidCap
S&P 400 Index |
505 |
474 |
31 |
MidCap
Value I |
410 |
399 |
11 |
Money
Market |
640 |
|
640 |
Fund |
Paid
by Fund to PFD
(amounts
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amounts
in thousands) |
Retained
by PFD
(amounts
in thousands) |
Overseas |
2 |
2 |
|
Principal
Capital Appreciation |
3,350 |
3,222 |
128 |
Principal
LifeTime 2010 |
475 |
466 |
9 |
Principal
LifeTime 2015 |
105 |
100 |
5 |
Principal
LifeTime 2020 |
2,051 |
2,023 |
28 |
Principal
LifeTime 2025 |
433 |
413 |
20 |
Principal
LifeTime 2030 |
3,008 |
2,961 |
47 |
Principal
LifeTime 2035 |
347 |
337 |
10 |
Principal
LifeTime 2040 |
2,090 |
2,064 |
26 |
Principal
LifeTime 2045 |
269 |
265 |
4 |
Principal
LifeTime 2050 |
1,012 |
997 |
15 |
Principal
LifeTime 2055 |
143 |
141 |
2 |
Principal
LifeTime 2060 |
94 |
93 |
1 |
Principal
LifeTime 2065 |
9 |
9 |
|
Principal
LifeTime 2070(5)
|
|
|
|
Principal
LifeTime Hybrid 2015 |
63 |
63 |
|
Principal
LifeTime Hybrid 2020 |
200 |
200 |
|
Principal
LifeTime Hybrid 2025 |
226 |
226 |
|
Principal
LifeTime Hybrid 2030 |
187 |
187 |
|
Principal
LifeTime Hybrid 2035 |
152 |
152 |
|
Principal
LifeTime Hybrid 2040 |
119 |
119 |
|
Principal
LifeTime Hybrid 2045 |
74 |
74 |
|
Principal
LifeTime Hybrid 2050 |
61 |
61 |
|
Principal
LifeTime Hybrid 2055 |
24 |
24 |
|
Principal
LifeTime Hybrid 2060 |
9 |
9 |
|
Principal
LifeTime Hybrid 2065 |
6 |
6 |
|
Principal
LifeTime Hybrid 2070(6)
|
|
|
|
Principal
LifeTime Hybrid Income |
41 |
41 |
|
Principal
LifeTime Strategic Income |
198 |
190 |
8 |
Real
Estate Securities |
1,518 |
1,445 |
73 |
SAM
Balanced |
11,105 |
10,791 |
314 |
SAM
Conservative Balanced |
4,082 |
3,964 |
118 |
SAM
Conservative Growth |
7,891 |
7,647 |
244 |
SAM
Flexible Income |
7,176 |
6,902 |
274 |
SAM
Strategic Growth |
5,129 |
4,952 |
177 |
Short-Term
Income |
1,484 |
1,336 |
148 |
SmallCap |
1,485 |
1,359 |
126 |
SmallCap
Growth I |
231 |
221 |
10 |
SmallCap
S&P 600 Index |
638 |
610 |
28 |
SmallCap
Value II |
57 |
56 |
1 |
Tax-Exempt
Bond |
1,350 |
1,226 |
124 |
Underwriting
Fees for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2021 |
2020 |
2019 |
California
Municipal |
32 |
197 |
41 |
Core
Fixed Income |
123 |
122 |
67(1)
|
Core
Plus Bond |
45 |
75 |
38 |
Diversified
Income(2)
|
150 |
266 |
317 |
Diversified
International |
106 |
87 |
91 |
Equity
Income |
294 |
344 |
347 |
Finisterre
Emerging Markets Total Return Bond |
8(3)
|
3 |
|
Global
Emerging Markets(4)
|
61 |
50 |
63 |
Global
Real Estate Securities |
19 |
30 |
41 |
Government
& High Quality Bond |
61 |
95 |
64 |
High
Income |
1 |
6 |
9(5)
|
High
Yield |
64 |
84 |
82 |
Inflation
Protection |
1 |
8 |
3 |
International
I |
2 |
16 |
41 |
LargeCap
Growth I |
195 |
184 |
93 |
LargeCap
S&P 500 Index |
260 |
260 |
272 |
LargeCap
Value III |
|
1 |
|
MidCap |
356 |
285 |
212 |
MidCap
Growth |
8 |
4 |
2 |
MidCap
Growth III |
1 |
1 |
1 |
MidCap
S&P 400 Index |
6 |
10 |
6 |
MidCap
Value I |
65 |
61 |
32 |
Money
Market |
102 |
76 |
50 |
Principal
Capital Appreciation |
171 |
159 |
193 |
Principal
Lifetime Strategic Income |
22 |
13 |
9 |
Principal
LifeTime 2010 |
11 |
15 |
14 |
Principal
LifeTime 2020 |
107 |
99 |
166 |
Principal
LifeTime 2030 |
256 |
253 |
287 |
Principal
LifeTime 2040 |
246 |
240 |
265 |
Principal
LifeTime 2050 |
315 |
271 |
280 |
Principal
LifeTime 2060 |
6 |
2 |
2 |
Principal
LifeTime Hybrid Income |
4 |
|
1 |
Principal
LifeTime Hybrid 2015 |
7 |
9 |
3 |
Principal
LifeTime Hybrid 2020 |
57 |
26 |
41 |
Principal
LifeTime Hybrid 2025 |
76 |
34 |
28 |
Principal
LifeTime Hybrid 2030 |
46 |
23 |
20 |
Principal
LifeTime Hybrid 2035 |
43 |
36 |
14 |
Principal
LifeTime Hybrid 2040 |
37 |
31 |
19 |
Principal
LifeTime Hybrid 2045 |
20 |
21 |
10 |
Principal
LifeTime Hybrid 2050 |
23 |
12 |
4 |
Principal
LifeTime Hybrid 2055 |
9 |
4 |
3 |
Principal
LifeTime Hybrid 2060 |
3 |
|
|
Principal
LifeTime Hybrid 2065 |
1 |
|
|
Real
Estate Securities |
76 |
124 |
135 |
SAM
Balanced |
985 |
936 |
1,026 |
SAM
Conservative Balanced |
487 |
434 |
525 |
SAM
Conservative Growth |
768 |
724 |
903 |
SAM
Flexible Income |
616 |
637 |
785 |
SAM
Strategic Growth |
608 |
660 |
682 |
Short-Term
Income |
340 |
280 |
185 |
SmallCap |
145 |
98 |
138 |
Underwriting
Fees for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2021 |
2020 |
2019 |
SmallCap
Growth I |
10 |
4 |
2 |
SmallCap
S&P 600 Index |
4 |
3 |
5 |
SmallCap
Value II |
4 |
11 |
13 |
Tax-Exempt
Bond |
76 |
82 |
59 |
Fund |
2021
Turnover |
2020
Turnover |
Comments |
California
Municipal |
13.2% |
40.1% |
Turnover
decreased in 2021 relative to 2020, as market conditions warranted a
longer
holding period of current holdings, and a majority of inflows during the
year
were
invested in existing holdings. |
Government
& High Quality Bond |
343.7% |
84.3% |
Turnover
increased as a result of increasing mortgage exposure, particularly within
TBA
securities. |
Principal
LifeTime 2065 |
22.5% |
55.1% |
Turnover
varies from year-to-year due to the aging of the glidepath and asset
allocation
decisions. |
Principal
LifeTime Hybrid 2050 |
12.1% |
26.5% |
Turnover
varies from year-to-year due to the aging of the glidepath and asset
allocation
decisions. |
Principal
LifeTime Hybrid 2060 |
12.9% |
31.4% |
Turnover
varies from year-to-year due to the aging of the glidepath and asset
allocation
decisions. |
Principal
LifeTime Hybrid 2065 |
31.3% |
65.7% |
Turnover
varies from year-to-year due to the aging of the glidepath and asset
allocation
decisions. |
SAM
Conservative Growth |
34.3% |
16.2% |
Turnover
increased due to increased tactical trading. |
Tax-Exempt
Bond |
24.8% |
66.7% |
Turnover
decreased in 2021 relative to 2020, as market conditions warranted a
longer
holding period of current holdings, and a majority of inflows during the
year
were
invested in existing
holdings. |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
15(c)
Committee
Fritz
S. Hirsch, Chair
Padel
L. Lattimer
Karrie
McMillan
Meg
VanDeWeghe |
The
Committees 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. |
4 |
Audit
Committee
Victor
Hymes, Chair
Leroy
T. Barnes, Jr.
Elizabeth
A. Nickels
Meg
VanDeWeghe |
The
Committees primary purpose is to assist the Board by serving as an
independent and
objective
party to monitor the Fund Complexs 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
Complexs financial
statements;
2) the Fund Complexs compliance with certain legal and regulatory
requirements;
3)
the independent registered public accountants qualifications and
independence; and 4) the
performance
of the Fund Complexs independent registered public accountants. The Audit
Committee
also provides an open avenue of communication among the independent
registered
public
accountants, PGIs internal auditors, Fund Complex management, and the
Board. |
9 |
Executive
Committee
Timothy
M. Dunbar, Chair
Craig
Damos
Patrick
G. Halter |
The
Committees 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 Complexs 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
Hymes |
The
Committees 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
Committees
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
Committees
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
nominees
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 candidates 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 Committee meets with nominees and
conducts a
reference
check. 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. |
5 |
Operations
Committee
Karrie
McMillan, Chair
Craig
Damos
Padel
L. Lattimer |
The
Committees primary purpose is to review and oversee the provision of
administrative and
distribution
services to the Fund Complex, communications with the Fund Complexs
shareholders,
and the Fund Complexs operations. |
4 |
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 |
131 |
McClatchy
Newspapers,
Inc.;
Frontier Communi-
cations,
Inc.; formerly,
Herbalife
Ltd. |
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) |
131 |
None |
Director,
PFI and PVC (since 2008) | ||||
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Fritz
S. Hirsch
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2005) |
February
2020 to October
2020,
Interim CEO, MAM
USA
(manufacturer of infant
and
juvenile products) |
131 |
MAM
USA |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Victor
Hymes
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2020) |
Founder
and Managing
Member,
Legato Capital
Management,
LLC
(investment
management
company) |
131 |
Formerly,
Montgomery
Street
Income Securities
Inc. |
Trustee,
PDSRA and PETF
(since
2020) | ||||
| ||||
Padelford
(Padel) 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) |
131 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
Karen
(Karrie) McMillan
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2014) |
Founder/Owner,
Tyche
Consulting
LLC (consulting
services)
Formerly,
Managing
Director,
Patomak Global
Partners,
LLC
(financial
services
consulting) |
131 |
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 |
131 |
SpartanNash |
Trustee,
PETF (since 2015) | ||||
Trustee,
PDSRA (since 2019) |
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 |
Mary
M. (Meg)
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) |
131 |
Helmerich
& Payne;
Formerly:
Brown
Advisory;
Denbury
Resources
Inc. |
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)
Executive
Vice President and
Chief
Investment Officer (2014-2018) Post Director
(2018-2020) RobustWealth Chair
and Executive Vice President
(2018-2021) |
131 |
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)
Chief
Operating Officer (2017-2018)
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)
Chief
Executive Officer (2005-2018) Origin Director
(2018-2019) |
131 |
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)
Deputy
Chief Compliance Officer
(2015-2018) |
Chief
Compliance Officer - Funds, PGI (since 2018)
Deputy
Chief Compliance Officer, PGI (2017-2018)
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,
PGI (2017-2018)
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)
Of
Counsel (2015-2018) |
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
2022)
Vice
President, Associate General Counsel, and
Assistant
Corporate Secretary (2019-2022) 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 |
Barnes |
Damos |
Hirsch |
Hymes(1)
|
Lattimer(1)
|
McMillan |
Nickels |
VanDeWeghe |
Core
Fixed Income |
A |
A |
A |
E |
A |
A |
A |
A |
Core
Plus Bond |
A |
E |
C |
A |
A |
A |
A |
A |
Diversified
Income |
E |
A |
D |
E |
A |
D |
B |
A |
Diversified
International |
A |
A |
D |
D |
A |
A |
A |
A |
Equity
Income |
A |
E |
A |
A |
A |
A |
A |
A |
Global
Emerging Markets |
A |
A |
C |
A |
A |
A |
A |
A |
Global
Real Estate Securities |
A |
A |
C |
D |
A |
A |
A |
A |
High
Yield |
A |
A |
C |
A |
A |
A |
A |
A |
LargeCap
S&P 500 Index |
A |
A |
E |
A |
A |
A |
A |
A |
MidCap |
A |
E |
A |
A |
A |
A |
E |
A |
Principal
LifeTime 2030 |
A |
A |
E |
A |
A |
A |
A |
A |
Real
Estate Securities |
A |
A |
A |
D |
A |
A |
A |
A |
SAM
Conservative Growth |
A |
E |
A |
A |
A |
A |
A |
A |
SmallCap |
A |
E |
A |
A |
A |
A |
A |
A |
Total
Fund Complex |
E |
E |
E |
E |
A |
E |
E |
E |
Interested
Board Members | ||
Fund |
Dunbar |
Halter |
Equity
Income |
A |
E |
Government
High Quality Bond |
A |
C |
LargeCap
Growth I |
D |
E |
LargeCap
S&P 500 Index |
A |
E |
Money
Market |
A |
B |
Principal
Capital Appreciation |
D |
A |
Principal
LifeTime Hybrid 2015 |
E |
A |
Principal
LifeTime Hybrid 2020 |
E |
A |
Principal
LifeTime Hybrid 2030 |
E |
A |
Total
Fund Complex |
E |
E |
Board
Member |
Funds
in this SAI |
Fund
Complex |
Leroy
T. Barnes, Jr. |
$230,287 |
$306,000 |
Craig
Damos |
$254,793 |
$338,500 |
Fritz
S. Hirsch |
$243,119 |
$323,000 |
Victor
Hymes(1)
|
$227,261 |
$301,917 |
Padelford
(Padel) L. Lattimer(1)
|
$233,577 |
$310,250 |
Karen
(Karrie) McMillan |
$231,749 |
$307,900 |
Elizabeth
A. Nickels |
$241,581 |
$321,000 |
Mary
M. (Meg) VanDeWeghe |
$229,908 |
$305,500 |
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. BlackRock and its affiliates manage investment company and other
portfolio assets. |
|
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 US 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: |
MetLife
Investment Management, LLC (MIM)
is a wholly-owned indirect subsidiary of MetLife,
Inc. |
Fund(s): |
a
portion of the assets of Diversified Income |
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 private firm that is majority-owned by a subsidiary of
Pacific
Century Group, an Asia-based private investment group. The remaining
interest in PineBridge is
owned
by its employees. |
Fund(s): |
a
portion of the assets of Diversified Income |
Sub-Advisor: |
Polen
Capital Credit, LLC (Polen Credit, f/k/a DDJ Capital Management,
LLC)
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
comprises 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, LP (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 |
0.87 |
0.85 |
0.83 |
0.82 |
SmallCap |
0.75 |
0.73 |
0.71 |
0.70 |
Tax-Exempt
Bond |
0.40 |
0.38 |
0.36 |
0.35 |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Over
$1.5
billion |
MidCap
Growth III |
0.82% |
0.80% |
0.78% |
0.77% |
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 |
0.55% |
0.53% |
0.51% |
0.50% |
0.48% |
0.45% |
Diversified
Income |
0.73 |
0.71 |
0.69 |
0.68 |
0.67 |
0.66 |
Global
Emerging Markets |
1.05 |
1.03 |
1.01 |
1.00 |
0.99 |
0.98 |
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 |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Over
$3
billion |
Overseas |
0.97 |
0.95 |
0.93 |
0.92 |
0.91 |
0.90 |
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 |
Over
$3
billion |
Global
Emerging Markets |
0.99% |
0.97% |
0.95% |
0.94% |
0.93% |
0.92% |
Overseas |
0.93 |
0.91 |
0.89 |
0.88 |
0.87 |
0.86 |
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 |
Over
$5
billion |
Real
Estate Securities |
0.85% |
0.83% |
0.81% |
0.80% |
0.79% |
0.78% |
0.77% |
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 |
Over
$10
billion |
Equity
Income |
0.60% |
0.55% |
0.50% |
0.49% |
0.48% |
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% |
0.14% |
0.13% |
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% |
Fund |
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
$1
billion |
Next
$4
billion |
Over
$5
billion |
Short-Term
Income |
0.40% |
0.38% |
0.35% |
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% |
2/28/2023 |
Core
Fixed Income |
N/A |
N/A |
N/A |
0.46% |
2/28/2023 |
Core
Plus Bond |
0.84% |
N/A |
N/A |
0.56% |
2/28/2023 |
Diversified
Income |
N/A |
N/A |
N/A |
0.68% |
2/28/2023 |
Diversified
International |
N/A |
N/A |
N/A |
0.85% |
2/28/2023 |
Equity
Income |
N/A |
N/A |
N/A |
0.52% |
2/28/2023 |
Finisterre
Emerging Markets Total Return Bond |
N/A |
N/A |
N/A |
0.85% |
2/28/2023 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
Global
Emerging Markets |
1.55% |
N/A |
1.37% |
1.20% |
2/28/2023 |
Global
Real Estate Securities |
N/A |
N/A |
N/A |
0.94% |
2/28/2023 |
Government
& High Quality Bond |
N/A |
N/A |
N/A |
0.53% |
2/28/2023 |
Government
Money Market |
N/A |
N/A |
N/A |
0.20% |
2/29/2024 |
High
Yield |
N/A |
N/A |
N/A |
0.61% |
2/28/2023 |
Inflation
Protection |
N/A |
N/A |
0.85% |
N/A |
2/28/2023 |
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 |
2/28/2023 |
MidCap
Growth |
N/A |
N/A |
N/A |
0.75% |
2/28/2023 |
MidCap
Value I |
1.15% |
N/A |
N/A |
0.69% |
2/28/2023 |
Money
Market |
0.50% |
N/A |
N/A |
N/A |
2/28/2023 |
Principal
LifeTime 2010 |
0.38% |
N/A |
N/A |
N/A |
2/28/2023 |
Principal
LifeTime 2030 |
0.38% |
N/A |
N/A |
N/A |
2/28/2023 |
Principal
LifeTime 2040 |
0.38% |
N/A |
N/A |
N/A |
2/28/2023 |
Principal
LifeTime 2050 |
0.38% |
N/A |
N/A |
N/A |
2/28/2023 |
Principal
LifeTime 2060 |
N/A |
N/A |
0.38% |
N/A |
2/28/2023 |
Principal
LifeTime 2065 |
N/A |
N/A |
N/A |
0.08% |
2/28/2023 |
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 |
2/28/2023 |
Principal
LifeTime Hybrid 2015 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2020 |
N/A |
N/A |
N/A |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2025 |
N/A |
N/A |
N/A |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2030 |
N/A |
N/A |
N/A |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2035 |
N/A |
N/A |
N/A |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2040 |
N/A |
N/A |
N/A |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2045 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2050 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2055 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2060 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2065 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Principal
LifeTime Hybrid 2070 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2025 |
Principal
LifeTime Hybrid Income |
N/A |
N/A |
0.30% |
0.05% |
2/28/2023 |
Real
Estate Securities |
N/A |
N/A |
N/A |
0.86% |
2/28/2023 |
Short-Term
Income |
N/A |
N/A |
N/A |
0.43% |
2/28/2023 |
SmallCap |
N/A |
N/A |
N/A |
0.85% |
2/28/2023 |
SmallCap
S&P 600 Index |
N/A |
N/A |
N/A |
0.21% |
2/28/2023 |
SmallCap
Value II |
N/A |
N/A |
1.30% |
0.96% |
2/28/2023 |
Tax-Exempt
Bond |
N/A |
1.60% |
N/A |
0.45% |
2/28/2023 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
Global
Emerging Markets |
1.45% |
N/A |
1.30% |
1.10% |
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% |
2/28/2023 |
Principal
LifeTime 2065 |
0.93% |
0.62% |
0.43% |
0.31% |
2/28/2023 |
Principal
LifeTime 2070 |
0.93% |
0.62% |
0.43% |
0.31% |
2/28/2025 |
Short-Term
Income |
N/A |
N/A |
0.79% |
N/A |
2/28/2023 |
Contractual
Limits on Other Expenses | ||
Fund |
R-6 |
Expiration |
Diversified
Income |
0.02% |
2/28/2023 |
Diversified
International |
0.04% |
2/28/2023 |
Global
Emerging Markets |
0.04% |
2/28/2023 |
Government
Money Market |
0.00% |
2/29/2024 |
International
I |
0.04% |
2/28/2023 |
MidCap |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid Income |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2015 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2020 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2025 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2030 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2035 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2040 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2045 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2050 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2055 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2060 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2065 |
0.02% |
2/28/2023 |
Principal
LifeTime Hybrid 2070 |
0.02% |
2/28/2025 |
SmallCap |
0.02% |
2/28/2023 |
SmallCap
Growth I |
0.01% |
2/28/2023 |
SmallCap
Value II |
0.02% |
2/28/2023 |
Contractual
Management Fee Waivers | ||
Fund |
Waiver |
Expiration |
Core
Plus Bond |
0.060% |
2/28/2023 |
Diversified
Income |
0.040% |
2/28/2023 |
High
Income |
0.015% |
2/28/2023 |
LargeCap
Growth I |
0.016% |
2/28/2023 |
LargeCap
Value III |
0.065% |
2/28/2023 |
MidCap
Growth III |
0.020% |
2/28/2023 |
MidCap
Value I |
0.020% |
2/28/2023 |
Overseas |
0.035% |
2/28/2023 |
SmallCap
Growth I |
0.020% |
2/28/2023 |
SmallCap
Value II |
0.020% |
2/28/2023 |
Contractual
Management Fee Waivers | ||
Fund |
Waiver |
Expiration |
Overseas |
0.020% |
2/29/2024 |
Management
Fees Paid for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2021 |
2020 |
2019 |
California
Municipal |
$3,131 |
$2,845 |
$2,084 |
Core
Fixed Income |
42,275 |
36,919 |
16,042(1)
|
Core
Plus Bond |
3,807 |
3,450 |
15,494 |
Diversified
Income(2)
|
34,945 |
45,991 |
55,947 |
Diversified
International |
64,677 |
89,822 |
92,912 |
Equity
Income |
50,710 |
38,888 |
36,623 |
Finisterre
Emerging Markets Total Return Bond |
4,255(3)
|
1,742 |
1,004 |
Global
Emerging Markets(4)
|
3,248 |
3,113 |
6,956 |
Global
Real Estate Securities |
31,046 |
25,893 |
29,700 |
Government
& High Quality Bond |
6,299 |
8,297 |
7,512 |
Government
Money Market |
5,744 |
5,474 |
4,714 |
High
Income |
21,522 |
18,032 |
20,720(5)
|
High
Yield |
15,327 |
14,861 |
14,617 |
Inflation
Protection |
6,099 |
6,413 |
6,102 |
International
I |
2,562 |
2,562 |
3,173 |
LargeCap
Growth I |
79,586 |
64,062 |
51,967 |
LargeCap
S&P 500 Index |
8,942 |
8,950 |
8,578 |
LargeCap
Value III |
22,166 |
15,252 |
16,084 |
MidCap |
129,006 |
104,065 |
91,161 |
MidCap
Growth |
1,829 |
1,109 |
1,144 |
MidCap
Growth III |
10,240 |
9,880 |
10,372 |
MidCap
S&P 400 Index |
1,987 |
1,619 |
1,972 |
MidCap
Value I |
17,373 |
14,640 |
12,785 |
Money
Market |
2,933 |
2,634 |
2,035 |
Overseas |
27,536 |
24,669 |
29,657 |
Principal
Capital Appreciation |
9,848 |
8,454 |
8,447 |
Real
Estate Securities |
44,740 |
38,244 |
34,712 |
SAM
Balanced |
13,123 |
12,100 |
12,374 |
SAM
Conservative Balanced |
4,968 |
4,606 |
4,637 |
SAM
Conservative Growth |
8,999 |
8,045 |
8,245 |
SAM
Flexible Income |
7,863 |
7,443 |
7,229 |
SAM
Strategic Growth |
5,850 |
5,015 |
5,069 |
Short-Term
Income |
21,762 |
22,102 |
19,743 |
SmallCap |
8,827 |
4,750 |
4,880 |
SmallCap
Growth I |
24,764 |
17,309 |
19,383 |
SmallCap
S&P 600 Index |
2,100 |
1,671 |
1,926 |
SmallCap
Value II |
11,863 |
8,425 |
10,223 |
Tax-Exempt
Bond |
3,192 |
2,752 |
2,018 |
Management
Fees Waived for Periods Ended October 31 (amounts in
thousands) | |||
Fund |
2021 |
2020 |
2019 |
Core
Plus Bond |
$420 |
$379 |
$1,835 |
Diversified
Income(1)
|
3,794 |
5,056 |
5,249 |
Diversified
International |
|
4,122 |
9,641 |
Finisterre
Emerging Markets Total Return Bond |
(2)
|
|
15 |
Global
Emerging Markets(3)
|
|
162 |
684 |
Government
Money Market |
396 |
304 |
310 |
High
Income |
532 |
442 |
158(4)
|
International
I |
|
178 |
439 |
LargeCap
Growth I |
2,136 |
1,714 |
1,387 |
LargeCap
Value III |
1,904 |
1,285 |
1,348 |
MidCap
Growth III |
234 |
333 |
851 |
MidCap
Value I |
539 |
452 |
765 |
Overseas |
1,034 |
1,035 |
1,814 |
SmallCap
Growth I |
588 |
620 |
1,664 |
SmallCap
Value II |
254 |
291 |
417 |
Expenses
Reimbursed for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2021 |
2020 |
2019 |
California
Municipal |
$60 |
$55 |
$59 |
Core
Fixed Income |
|
(1)
|
91 |
Core
Plus Bond |
347 |
263 |
110 |
Diversified
Income(2)
|
2,042 |
2,934 |
3,714 |
Diversified
International |
83 |
24 |
28 |
Equity
Income |
1,494 |
1,317 |
709 |
Finisterre
Emerging Markets Total Return Bond |
64(3)
|
195 |
89 |
Global
Emerging Markets(4)
|
218 |
408 |
561 |
Global
Real Estate Securities |
756 |
1,550 |
3,410 |
Government
& High Quality Bond |
44 |
225 |
273 |
Government
Money Market |
3,887 |
993 |
177 |
High
Income |
8 |
32 |
33(5)
|
High
Yield |
226 |
356 |
704 |
Inflation
Protection |
|
13 |
38 |
International
I |
70 |
57 |
146 |
LargeCap
S&P 500 Index |
|
|
16 |
MidCap
Growth |
22 |
18 |
31 |
MidCap
Value I |
116 |
166 |
92 |
Money
Market |
3,005 |
861 |
247 |
Principal
Capital Appreciation |
106 |
288 |
305 |
Principal
LifeTime Strategic Income |
19 |
24 |
25 |
Principal
LifeTime 2010 |
7 |
11 |
17 |
Principal
LifeTime 2030 |
|
|
22 |
Principal
LifeTime 2040 |
|
17 |
47 |
Principal
LifeTime 2050 |
36 |
57 |
83 |
Principal
LifeTime 2060 |
5 |
19 |
22 |
Expenses
Reimbursed for Periods Ended October 31
(amounts
in thousands) | |||
Fund |
2021 |
2020 |
2019 |
Principal
LifeTime 2065 |
4 |
21 |
31 |
Principal
LifeTime Hybrid Income |
42 |
53 |
70 |
Principal
LifeTime Hybrid 2015 |
34 |
34 |
54 |
Principal
LifeTime Hybrid 2020 |
21 |
15 |
10 |
Principal
LifeTime Hybrid 2025 |
22 |
17 |
29 |
Principal
LifeTime Hybrid 2030 |
26 |
11 |
22 |
Principal
LifeTime Hybrid 2035 |
22 |
25 |
49 |
Principal
LifeTime Hybrid 2040 |
21 |
21 |
40 |
Principal
LifeTime Hybrid 2045 |
33 |
37 |
66 |
Principal
LifeTime Hybrid 2050 |
34 |
48 |
66 |
Principal
LifeTime Hybrid 2055 |
66 |
71 |
83 |
Principal
LifeTime Hybrid 2060 |
79 |
79 |
86 |
Principal
LifeTime Hybrid 2065 |
79 |
83 |
84 |
Real
Estate Securities |
|
273 |
428 |
SAM
Conservative Balanced |
|
|
18 |
SAM
Flexible Income |
|
|
51 |
Short-Term
Income |
144 |
177 |
102 |
SmallCap |
19 |
33 |
57 |
SmallCap
Growth I |
1 |
46 |
124 |
SmallCap
S&P 600 Index |
52 |
|
|
SmallCap
Value II |
182 |
172 |
124 |
Tax-Exempt
Bond |
73 |
92 |
97 |
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) | ||||||
|
2021 |
2020 |
2019 | |||
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 |
$4,188 |
0.34% |
$5,463 |
0.33% |
$10,249 |
0.34% |
High
Income |
4,902 |
0.22 |
4,285 |
0.24 |
8,158 |
0.26 |
Inflation
Protection |
997 |
0.06 |
1,258 |
0.07 |
1,292 |
0.08 |
LargeCap
Growth I |
27,296 |
0.23 |
21,933 |
0.23 |
19,166 |
0.25 |
LargeCap
Value III |
4,974 |
0.20 |
3,543 |
0.21 |
3,802 |
0.21 |
MidCap
Growth III |
3,769 |
0.36 |
3,579 |
0.37 |
3,528 |
0.38 |
MidCap
Value I |
6,477 |
0.27 |
5,594 |
0.28 |
4,469 |
0.29 |
Overseas |
8,887 |
0.34 |
7,938 |
0.36 |
9,061 |
0.36 |
SmallCap
Growth I |
11,138 |
0.42 |
7,828 |
0.43 |
7,674 |
0.46 |
SmallCap
Value II |
4,289 |
0.38 |
3,177 |
0.41 |
3,801 |
0.40 |
Fees
Paid to Origin and Post for Fiscal Years Ended October 31
(dollar
amounts in thousands) | ||||||
|
2021 |
2020 |
2019 | |||
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) |
$1,798 |
0.29% |
$2,919 |
0.29% |
$3,178 |
0.30% |
High
Income (Post) |
3,816 |
0.28 |
3,283 |
0.28 |
912 |
0.28 |
International
I (Origin) |
1,176 |
0.34 |
$1,115 |
0.35% |
$1,253 |
0.36% |
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 |
$1,339 |
$8,065 |
$ |
$ |
$ |
$(79,328) |
$ |
$(71,262) |
$72,601 |
Core
Plus Bond |
2,151 |
33,345 |
|
|
|
(331,314) |
|
(297,969) |
300,120 |
Diversified
Income |
3,941 |
46,004 |
|
|
|
(456,170) |
|
(410,165) |
414,106 |
Diversified
International |
3,360 |
83,843 |
|
|
|
(835,078) |
|
(751,235) |
754,594 |
Equity
Income |
4,045 |
64,835 |
|
|
|
(644,312) |
|
(579,476) |
583,521 |
Finisterre
Emerging
Markets
Total
Return
Bond |
64 |
761 |
|
|
|
(7,547) |
|
(6,786) |
6,850 |
Global
Emerging
Markets |
16 |
294 |
|
|
|
(2,929) |
|
(2,634) |
2,651 |
Global
Real
Estate
Securities |
719 |
6,756 |
|
|
|
(66,839) |
|
(60,083) |
60,803 |
Government
&
High
Quality
Bond |
101 |
119 |
|
|
|
(1,092) |
|
(973) |
1,074 |
High
Income |
1,506 |
23,807 |
|
|
|
(236,650) |
|
(212,843) |
214,350 |
High
Yield |
745 |
10,407 |
|
|
|
(103,334) |
|
(92,927) |
93,673 |
Inflation
Protection |
115 |
180 |
|
|
|
(1,691) |
|
(1,511) |
1,625 |
International
I |
602 |
5,609 |
|
|
|
(55,493) |
|
(49,884) |
50,486 |
LargeCap
Growth
I |
1,216 |
43,120 |
|
|
|
(430,039) |
|
(386,919) |
388,136 |
LargeCap
S&P
500
Index |
179 |
4,353 |
|
|
|
(43,356) |
|
(39,003) |
39,182 |
LargeCap
Value
III |
246 |
16,113 |
|
|
|
(160,928) |
|
(144,814) |
145,060 |
MidCap |
1,284 |
6,743 |
|
|
|
(66,153) |
|
(59,410) |
60,694 |
MidCap
Growth |
58 |
100 |
|
|
|
(942) |
|
(842) |
900 |
MidCap
Growth
III |
610 |
2,232 |
|
|
|
(21,751) |
|
(19,519) |
20,129 |
MidCap
S&P 400
Index |
616 |
1,657 |
|
|
|
(15,962) |
|
(14,305) |
14,921 |
MidCap
Value I |
692 |
12,120 |
|
|
|
(120,553) |
|
(108,432) |
109,124 |
Overseas |
4,664 |
60,613 |
|
|
|
(601,499) |
|
(540,886) |
545,550 |
Principal
Capital
Appreciation |
27 |
225 |
|
|
|
(2,220) |
|
(1,995) |
2,022 |
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 |
Short-Term
Income |
1,055 |
2,351 |
|
|
|
(22,457) |
|
(20,107) |
21,161 |
SmallCap |
1,613 |
37,685 |
|
|
|
(375,289) |
|
(337,604) |
339,217 |
SmallCap
Growth
I |
3,331 |
71,377 |
|
|
|
(710,850) |
|
(639,472) |
642,804 |
SmallCap
S&P
600
Index |
1,324 |
23,577 |
|
|
|
(234,486) |
|
(210,909) |
212,233 |
SmallCap
Value
II |
642 |
18,886 |
|
|
|
(188,451) |
|
(169,566) |
170,208 |
Fund |
Amount
of
Transactions
because
of
Research
Services
Provided |
Related
Commissions
Paid |
Diversified
Income |
$440,329,768 |
$267,295 |
Diversified
International |
4,517,444,765 |
2,683,419 |
Equity
Income |
2,863,791,394 |
836,171 |
Global
Emerging Markets |
97,328,866 |
57,887 |
Global
Real Estate Securities |
582,179,829 |
370,479 |
International
I |
391,658,322 |
150,021 |
LargeCap
Growth I |
786,735,266 |
138,660 |
LargeCap
S&P 500 Index |
295,257,028 |
53,661 |
LargeCap
Value III |
2,459,556,566 |
804,063 |
MidCap |
4,896,853,110 |
1,492,201 |
MidCap
Growth |
213,354,303 |
81,498 |
MidCap
Growth III |
565,694,591 |
136,538 |
MidCap
S&P 400 Index |
37,258,283 |
13,234 |
MidCap
Value I |
2,243,763,441 |
775,630 |
Overseas |
1,349,525,354 |
1,000,071 |
Principal
Capital Appreciation |
869,067,306 |
189,839 |
Real
Estate Securities |
872,988,714 |
549,728 |
SmallCap |
416,801,610 |
370,054 |
SmallCap
Growth I |
1,140,764,165 |
653,062 |
SmallCap
S&P 600 Index |
13,936,363 |
10,061 |
SmallCap
Value II |
680,187,783 |
1,028,879 |
Total
Brokerage Commissions Paid for Periods Ended October
31 | |||
Fund |
2021 |
2020 |
2019 |
California
Municipal Fund |
$801 |
$3,290 |
$6,088 |
Core
Fixed Income Fund |
|
|
1,378 |
Core
Plus Bond |
15,956 |
16,172 |
28,375 |
Diversified
Income |
1,637,794 |
1,492,047 |
2,033,406(1)
|
Diversified
International |
7,756,328 |
8,382,170 |
10,964,605 |
Equity
Income |
1,399,777 |
1,334,450 |
1,684,442 |
Global
Emerging Markets |
252,012 |
314,253 |
2,748,447 |
Global
Real Estate Securities |
1,385,168 |
1,766,085 |
2,224,162 |
High
Income |
23 |
1,888 |
2,625 |
High
Yield |
3,132 |
47,036 |
6,208 |
Inflation
Protection |
7,576 |
4,106 |
7,443(1)
|
International
I |
149,981 |
152,478 |
203,032 |
LargeCap
Growth I |
823,663 |
1,319,454 |
1,180,004 |
LargeCap
S&P 500 Index |
199,065 |
153,014 |
29,646 |
LargeCap
Value III |
954,086 |
881,284 |
741,357 |
MidCap |
2,734,986 |
2,183,860 |
3,181,548 |
MidCap
Growth |
257,783 |
234,942 |
215,909 |
MidCap
Growth III |
231,154 |
320,801 |
377,887 |
MidCap
S&P 400 Index |
39,848 |
121,143 |
70,217 |
MidCap
Value I |
949,168 |
1,126,888 |
815,770 |
Overseas |
1,825,373 |
2,280,378 |
1,796,336 |
Principal
Capital Appreciation |
356,313 |
521,687 |
856,827 |
Real
Estate Securities |
1,501,016 |
2,473,748 |
1,417,735 |
SAM
Balanced Portfolio |
105,330 |
77,184 |
110,984 |
SAM
Conservative Balanced Portfolio |
35,810 |
14,242 |
63,891 |
SAM
Conservative Growth Portfolio |
75,010 |
37,530 |
167,250 |
SAM
Flexible Income Portfolio |
11,390 |
162,488 |
110,368 |
SAM
Strategic Growth Portfolio |
18,910 |
61,420 |
346,583 |
Short-Term
Income |
|
|
|
SmallCap |
855,323 |
538,900 |
373,121 |
SmallCap
Growth I |
1,572,443 |
1,218,085 |
1,214,616 |
SmallCap
S&P 600 Index |
49,801 |
167,498 |
24,974 |
SmallCap
Value II |
1,365,112 |
1,362,063 |
1,212,061 |
Tax-Exempt
Bond |
4,111 |
3,300 |
6,439 |
Fund |
Sub-Advisor
Employed
by
the Fund Complex |
Affiliated
Broker
Receiving
Commissions |
2021
Commissions
Paid
to
Affiliated
Broker |
%
of Funds
Total
Commissions |
%
of
Dollar
Amount
of
Funds
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 Funds
Total
Commissions |
%
of
Dollar
Amount
of
Funds
Commissionable
Transactions |
Diversified
Income | |||||
|
Principal
Financial Group |
SAMI
Brokerage LLC |
$38,686 |
2.59% |
1.26% |
|
|
Total |
$38,686 |
2.59% |
1.26% |
Fund |
Sub-Advisor
Employed
by
the Fund Complex |
Affiliated
Broker
Receiving
Commissions |
2019
Commissions
Paid
to
Affiliated
Broker |
%
of Funds
Total
Commissions |
%
of
Dollar
Amount
of
Funds
Commissionable
Transactions |
Diversified
Income | |||||
|
Principal
Financial Group |
SAMI
Brokerage LLC |
$5,645 |
0.28% |
0.18
% |
|
|
Total |
$5,645 |
0.28% |
0.18% |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Core
Fixed Income |
Bank
of America |
$ 102,170 |
Bank
of New York Mellon
Corp/The |
107,266 | |
Citigroup
Inc |
100,818 | |
Goldman
Sachs Group Inc/The |
99,118 | |
Jefferies
Group LLC |
75,911 | |
JPMorgan
Chase & Co |
100,230 | |
Morgan
Stanley |
97,422 |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Core
Plus Bond |
Bank
of America |
$ 6,964 |
Barclays
PLC |
2,616 | |
BNP
Paribas SA |
2,199 | |
Citigroup
Inc |
1,185 | |
Credit
Suisse Group AG |
4,993 | |
Goldman
Sachs Group Inc/The |
4,109 | |
JPMorgan
Chase & Co |
1,464 | |
Morgan
Stanley |
9,304 | |
UBS
Group AG |
451 | |
Diversified
Income |
Bank
of America |
17,822 |
Bank
of New York Mellon
Corp/The |
13,492 | |
Barclays
PLC |
13,278 | |
BNP
Paribas SA |
11,492 | |
Citigroup
Inc |
27,879 | |
Credit
Suisse Group AG |
12,743 | |
Goldman
Sachs Group Inc/The |
21,425 | |
Jefferies
Group LLC |
886 | |
JPMorgan
Chase & Co |
27,168 | |
Morgan
Stanley |
4,194 | |
UBS
Group AG |
9,755 | |
Diversified
International Fund |
BNP
Paribas SA |
38,324 |
Equity
Income |
Bank
of America |
112,171 |
JPMorgan
Chase & Co |
271,867 | |
Morgan
Stanley |
167,615 | |
High
Yield |
Barclays
PLC |
14,715 |
JPMorgan
Chase & Co |
7,380 | |
International
Fund I |
UBS
Group AG |
3,167 |
LargeCap
Growth I |
Goldman
Sachs Group Inc/The |
497 |
LargeCap
S&P 500 Index |
Bank
of America |
55,830 |
Bank
of New York Mellon
Corp/The |
7,418 | |
Citigroup
Inc |
22,118 | |
Goldman
Sachs Group Inc/The |
21,987 | |
JPMorgan
Chase & Co |
80,105 | |
Morgan
Stanley |
23,673 | |
LargeCap
Value III |
Bank
of America |
39,176 |
Bank
of New York Mellon
Corp/The |
1,330 | |
Citigroup
Inc |
22,864 | |
Goldman
Sachs Group Inc/The |
75,907 | |
Jefferies
Group LLC |
267 | |
JPMorgan
Chase & Co |
33,308 | |
Morgan
Stanley |
3,978 | |
MidCap
S&P 400 Index |
Jefferies
Group LLC |
4,818 |
MidCap
Value I |
Bank
of New York Mellon
Corp/The |
33,270 |
Jefferies
Group LLC |
466 | |
Money
Market |
Barclays
PLC |
12,999 |
BNP
Paribas SA |
7,000 | |
Citigroup
Inc |
9,400 | |
Goldman
Sachs Group Inc/The |
16,565 | |
JPMorgan
Chase & Co |
3,000 | |
Mizuho
Bank Ltd/New York NY |
8,799 |
Holdings
of Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||
Fund |
Broker
or Dealer |
Holdings
(in
thousands) |
Overseas |
Barclays
PLC |
$ 19,678 |
BNP
Paribas SA |
6,556 | |
Credit
Suisse Group AG |
16,620 | |
Mizuho
Bank Ltd/New York NY |
1,267 | |
UBS
Group AG |
2,656 | |
Principal
Capital Appreciation |
JPMorgan
Chase & Co |
63,008 |
Short-Term
Income |
Bank
of America |
95,030 |
Bank
of New York Mellon
Corp/The |
24,722 | |
BNP
Paribas SA |
10,113 | |
Citigroup
Inc |
55,375 | |
Credit
Suisse Group AG |
33,691 | |
Goldman
Sachs Group Inc/The |
48,634 | |
JPMorgan
Chase & Co |
103,002 | |
Morgan
Stanley |
83,726 | |
UBS
Group AG |
30,448 |
Exchange
From Class |
Exchange
To Class |
A |
Institutional |
C |
A,
Institutional |
Institutional |
A,
C, R-6 |
|
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 |
10 |
$2.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$208.7 million |
0 |
$0 |
Other
accounts |
44 |
$3.5 billion |
0 |
$0 |
Theodore
Jayne:
Principal Capital Appreciation Fund | ||||
Registered
investment companies |
4 |
$821.6 million |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
9 |
$325.4 million |
0 |
$0 |
Sarah
E. Radecki:
Equity Income Fund | ||||
Registered
investment companies |
5 |
$2.0 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$208.7 million |
0 |
$0 |
Other
accounts |
34 |
$3.1 billion |
0 |
$0 |
Nedret
Vidinli:
Equity Income Fund | ||||
Registered
investment companies |
3 |
$844.8 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$116.0 million |
0 |
$0 |
Other
accounts |
9 |
$164.5 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 |
Damien
Buchet:
Finisterre Emerging Markets Total Return Bond
Fund | ||||
Registered
Investment Companies |
2 |
$309.9 million |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$2.3 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Christopher
Watson:
Finisterre Emerging Markets Total Return Bond
Fund | ||||
Registered
Investment Companies |
2 |
$309.9 million |
0 |
$0 |
Other
Pooled Investment Vehicles |
5 |
$2.3 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
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 |
Paul
H. Blankenhagen:
Diversified International Fund | ||||
Registered
investment companies |
3 |
$1.0 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$12.1 billion |
0 |
$0 |
Other
accounts |
11 |
$1.5 billion |
1 |
$338.0 million |
Juliet
Cohn:
Diversified International Fund | ||||
Registered
investment companies |
3 |
$1.0 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$12.1 billion |
0 |
$0 |
Other
accounts |
11 |
$1.5 billion |
1 |
$338.0 million |
Christopher
T. Corbett:
MidCap Growth Fund | ||||
Registered
investment companies |
3 |
$464.2 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$655.1 million |
0 |
$0 |
Other
accounts |
15 |
$439.9 million |
0 |
$0 |
Jeffrey
Kilkenny:
Global Emerging Markets Fund | ||||
Registered
investment companies |
1 |
$93.6 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$295.9 million |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
K.
William Nolin:
MidCap Fund | ||||
Registered
investment companies |
5 |
$13.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$3.4 billion |
0 |
$0 |
Other
accounts |
58 |
$11.9 billion |
0 |
$0 |
Phil
Nordhus:
SmallCap Fund | ||||
Registered
investment companies |
7 |
$514.3 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$878.8 million |
0 |
$0 |
Other
accounts |
19 |
$2.1 billion |
2 |
$621.0 million |
Brian
W. Pattinson:
SmallCap Fund | ||||
Registered
investment companies |
9 |
$1.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$3.3 billion |
0 |
$0 |
Other
accounts |
37 |
$4.7 billion |
3 |
$668.4 million |
Tom
Rozycki:
MidCap Fund | ||||
Registered
investment companies |
5 |
$13.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$3.4 billion |
0 |
$0 |
Other
accounts |
58 |
$11.9 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 |
$11.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
10 |
$52.8 billion |
0 |
$0 |
Other
accounts |
5 |
$1.6 billion |
0 |
$0 |
Marc
R. Shapiro:
MidCap Growth Fund | ||||
Registered
investment companies |
3 |
$464.2 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$655.1 million |
0 |
$0 |
Other
accounts |
15 |
$439.9 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 |
$11.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$52.8 billion |
0 |
$0 |
Other
accounts |
2 |
$1.5 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 |
$500,001 -
$1,000,000 |
Christopher
T. Corbett |
MidCap
Growth |
$100,001
- $500,000 |
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 |
William
C. Armstrong:
Core Plus Bond Fund | ||||
Registered
investment companies |
4 |
$1.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$3.6 billion |
0 |
$0 |
Other
accounts |
7 |
$2.7 billion |
3 |
$1.7 billion |
Bryan
C. Davis(1):
Core Plus Bond and Government & High Quality Bond
Funds | ||||
Registered
investment companies |
8 |
$1.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
16 |
$6.3 billion |
0 |
$0 |
Other
accounts |
29 |
$4.8 billion |
0 |
$0 |
Mark
P. Denkinger:
High Yield Fund | ||||
Registered
investment companies |
7 |
$481.7 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$942.9 million |
0 |
$0 |
Other
accounts |
41 |
$4.6 billion |
2 |
$154.4 million |
John
R. Friedl:
Core Fixed Income and Short-Term Income Funds | ||||
Registered
investment companies |
5 |
$195.4 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$1.6 billion |
0 |
$0 |
Other
accounts |
2 |
$198,544 |
0 |
$0 |
Zach
Gassmann:
Government & High Quality Bond Fund | ||||
Registered
investment companies |
8 |
$440.2 million |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$1.2 billion |
0 |
$0 |
Other
accounts |
17 |
$4.4 billion |
4 |
$297.8 million |
Erika
Isley:
Government Money Market and Money Market Funds | ||||
Registered
investment companies |
3 |
$1.5 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$1.2 billion |
0 |
$0 |
Other
accounts |
6 |
$829.5 million |
2 |
$84.2 million |
James
Noble:
California Municipal and Tax-Exempt Bond Funds | ||||
Registered
investment companies |
2 |
$197.1 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$110.7 million |
0 |
$0 |
Other
accounts |
9 |
$848.4 million |
0 |
$0 |
Scott
J. Peterson:
Core Fixed Income and Short-Term Income Funds | ||||
Registered
investment companies |
5 |
$195.4 million |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$1.6 billion |
0 |
$0 |
Other
accounts |
2 |
$198,544 |
0 |
$0 |
Josh
Rank:
High Yield Fund | ||||
Registered
investment companies |
7 |
$481.7 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$942.9 million |
0 |
$0 |
Other
accounts |
41 |
$4.6 billion |
2 |
$154.4 million |
Tracy
Reeg:
Government Money Market and Money Market Funds | ||||
Registered
investment companies |
0 |
$0 |
0 |
0 |
Other
pooled investment vehicles |
1 |
$1.2 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Darrin
E. Smith:
High Yield Fund | ||||
Registered
investment companies |
7 |
$481.7 million |
0 |
$0 |
Other
pooled investment vehicles |
7 |
$942.9 million |
0 |
$0 |
Other
accounts |
41 |
$4.6 billion |
2 |
$154.4 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 |
$197.1 million |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$110.7 million |
0 |
$0 |
Other
accounts |
9 |
$848.4 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 |
$100,001
- $500,000 |
Bryan
C. Davis(1)
|
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 |
$10,001 -
$50,000 |
Scott
J. Peterson |
Short-Term
Income |
over
$1,000,000 |
Josh
Rank |
High
Yield |
$500,001 -
$1,000,000 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Tracy
Reeg |
Government
Money Market |
None |
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 |
Jessica
S. Bush:
Diversified Income Fund | ||||
Registered
investment companies |
2 |
$10.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$3.7 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Brody
Dass(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 |
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 |
15 |
$9.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
26 |
$54.8 billion |
0 |
$0 |
Other
accounts |
33 |
$5.4 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 |
6 |
$2.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Benjamin
E. Rotenberg:
Diversified Income Fund | ||||
Registered
investment companies |
2 |
$10.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$3.7 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 |
6 |
$726.0 million |
0 |
$0 |
Other
pooled investment vehicles |
26 |
$54.8 billion |
0 |
$0 |
Other
accounts |
34 |
$5.6 billion |
0 |
$0 |
May
Tong:
Diversified Income Fund | ||||
Registered
investment companies |
2 |
$10.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$3.7 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 |
15 |
$9.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
26 |
$54.8 billion |
0 |
$0 |
Other
accounts |
33 |
$5.4 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(1)
|
SAM
Balanced |
None |
Brody
Dass(1)
|
SAM
Conservative Balanced |
None |
Brody
Dass(1)
|
SAM
Conservative Growth |
None |
Brody
Dass(1)
|
SAM
Flexible Income |
None |
Brody
Dass(1)
|
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 |
James
W. Fennessey |
Principal
LifeTime 2070 |
None |
James
W. Fennessey |
Principal
LifeTime Hybrid Income |
None |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
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 |
None |
Todd
A. Jablonski |
SAM
Conservative Growth |
$100,001 -
$500,000 |
Todd
A. Jablonski |
SAM
Flexible Income |
$10,001
- $50,000 |
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 |
$50,001 -
$100,000 |
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 |
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 |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
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 |
Akiva
Dickstein:
Inflation Protection Fund | ||||
Registered
investment companies |
23 |
$29.6 billion |
0 |
$0 |
Other
pooled investment vehicles |
26 |
$9.8 billion |
0 |
$0 |
Other
accounts |
260 |
$101.4 billion |
5 |
$1.6 billion |
David
Rogal (1):
Inflation Protection Fund |
|
|
|
|
Registered
investment companies |
14 |
$85.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
11 |
$21.9 billion |
0 |
$0 |
Other
accounts |
2 |
$66.8 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 (1)
|
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 |
$5.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
12 |
$4.2 billion |
0 |
$0 |
Other
accounts |
19 |
$8.8 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 |
$3.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$165.0 million |
0 |
$0 |
Other
accounts |
8 |
$2.0 billion |
1 |
$160.0 million |
Nigel
Dutson:
International Fund I | ||||
Registered
investment companies |
1 |
$3.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$165.0 million |
0 |
$0 |
Other
accounts |
8 |
$2.0 billion |
1 |
$160.0 million |
Tarlock
Randhawa:
International Fund I | ||||
Registered
investment companies |
1 |
$3.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$165.0 million |
0 |
$0 |
Other
accounts |
8 |
$2.0 billion |
1 |
$160.0 million |
Nerys
Weir:
International Fund I | ||||
Registered
investment companies |
1 |
$3.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$165.0 million |
0 |
$0 |
Other
accounts |
8 |
$2.0 billion |
1 |
$160.0 million |
Portfolio
Manager |
PFI
Funds Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Chris
Carter |
International
I |
None |
Nigel
Dutson |
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 |
3 |
$731.2 million |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$897.7 million |
0 |
$0 |
Other
accounts |
34 |
$3.1 billion |
0 |
$0 |
Simon
Hedger:
Global Real Estate Securities Fund | ||||
Registered
investment companies |
5 |
$1.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$1.7 billion |
0 |
$0 |
Other
accounts |
36 |
$8.7 billion |
5 |
$833.0 million |
Anthony
Kenkel:
Global Real Estate Securities and Real Estate Securities
Funds | ||||
Registered
investment companies |
8 |
$1.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$2.6 billion |
0 |
$0 |
Other
accounts |
71 |
$11.8 billion |
5 |
$833.0 million |
Kelly
D. Rush:
Global Real Estate Securities and Real Estate Securities
Funds | ||||
Registered
investment companies |
8 |
$1.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$2.6 billion |
0 |
$0 |
Other
accounts |
72 |
$11.9 billion |
5 |
$833.0 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 |
over
$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: |
Moodys
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 obligors 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
obligors 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 obligors 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 obligors 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 obligors
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 obligors
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
obligors
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, 2021) | |||
|
NAV |
= |
Maximum
Offering Price |
(1-Sales
Charge Percentage) |
Fund | |||
California
Municipal Fund |
$11.03 |
= |
$11.46 |
(1-.0375) | |||
Core
Fixed Income Fund(1)
|
$9.96 |
= |
$10.19 |
(1-.0225) | |||
Core
Plus Bond Fund |
$10.99 |
= |
$11.42 |
(1-.0375) | |||
Diversified
Income Fund |
$13.87 |
= |
$14.41 |
(1-.0375) | |||
Diversified
International Fund |
$16.33 |
= |
$17.28 |
(1-.0550) | |||
Equity
Income Fund |
$41.63 |
= |
$44.05 |
(1-.0550) | |||
Finisterre
Emerging Markets Total Return
BondFund |
$10.24 |
= |
$10.64 |
(1-.0375) | |||
Global
Emerging Markets Fund(2)
|
$31.87 |
= |
$33.72 |
(1-.0550) | |||
Global
Real Estate Securities Fund |
$10.83 |
= |
$11.46 |
(1-.0550) | |||
Government
& High Quality Bond Fund |
$10.32 |
= |
$10.56 |
(1-.0225) | |||
High
Yield Fund |
$7.33 |
= |
$7.62 |
(1-.0375) | |||
LargeCap
Growth Fund I |
$23.75 |
= |
$25.13 |
(1-.0550) | |||
LargeCap
S&P 500 Index Fund |
$26.67 |
= |
$27.08 |
(1-.0150) | |||
MidCap
Fund |
$42.87 |
= |
$45.37 |
(1-.0550) | |||
MidCap
Value Fund I |
$18.93 |
= |
$20.03 |
(1-.0550) | |||
Money
Market Fund |
$1.00 |
= |
$1.00 |
(1-.0000) |
Fund | |||
Principal
Capital Appreciation Fund |
$68.29 |
= |
$72.26 |
(1-.0550) | |||
Principal
LifeTime 2010 Fund |
$14.05 |
= |
$14.60 |
(1-.0375) | |||
Principal
LifeTime 2020 Fund |
$15.80 |
= |
$16.42 |
(1-.03750) | |||
Principal
LifeTime 2030 Fund |
$17.49 |
= |
$18.51 |
(1-.0550) | |||
Principal
LifeTime 2040 Fund |
$18.81 |
= |
$19.90 |
(1-.0550) | |||
Principal
LifeTime 2050 Fund |
$20.06 |
= |
$21.23 |
(1-.0550) | |||
Principal
LifeTime Strategic Income Fund |
$13.24 |
= |
$13.76 |
(1-.0375) | |||
Real
Estate Securities Fund |
$33.58 |
= |
$35.53 |
(1-.0550) | |||
SAM
Balanced Portfolio |
$18.95 |
= |
$20.05 |
(1-.0550) | |||
SAM
Conservative Balanced Portfolio |
$13.95 |
= |
$14.76 |
(1-.0550) | |||
SAM
Conservative Growth Portfolio |
$22.20 |
= |
$23.49 |
(1-.0550) | |||
SAM
Flexible Income Portfolio |
$13.56 |
= |
$14.09 |
(1-.0375) | |||
SAM
Strategic Growth Portfolio |
$24.57 |
= |
$26.00 |
(1-.0550) | |||
Short-Term
Income Fund |
$12.32 |
= |
$12.60 |
(1-.0225) | |||
SmallCap
Fund |
$30.71 |
= |
$32.50 |
(1-.0550) | |||
Tax-Exempt
Bond Fund |
$7.61 |
= |
$7.91 |
(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
Companys 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
Shareholders 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 Shareholders Right to Call Special Meetings |
|
+ |
|
+ |
Permit
a Shareholders 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 clients 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: |
|