FUND HISTORY |
||||
DESCRIPTION OF THE FUNDS'
INVESTMENTS AND RISKS |
||||
LEADERSHIP STRUCTURE AND BOARD
OF DIRECTORS |
||||
INVESTMENT ADVISORY AND OTHER
SERVICES |
||||
MULTIPLE CLASS
STRUCTURE |
||||
INTERMEDIARY
COMPENSATION |
||||
BROKERAGE ALLOCATION AND OTHER
PRACTICES |
||||
SHAREHOLDER
RIGHTS |
||||
PRICING OF ACCOUNT
SHARES |
||||
TAX
CONSIDERATIONS |
||||
PORTFOLIO HOLDINGS
DISCLOSURE |
||||
PROXY VOTING POLICIES AND
PROCEDURES |
||||
FINANCIAL
STATEMENTS |
||||
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM |
||||
GENERAL
INFORMATION |
||||
CONTROL PERSONS AND PRINCIPAL
HOLDERS OF SECURITIES |
||||
PORTFOLIO MANAGER
DISCLOSURE |
||||
APPENDIX A |
||||
APPENDIX B - DESCRIPTION OF
BOND RATINGS |
||||
APPENDIX C - PROXY VOTING
POLICIES |
Share
Class | ||
Account
Name |
1 |
2 |
Balanced |
X |
|
Bond Market
Index |
X |
|
Core Plus Bond (formerly Bond
& Mortgage Securities) |
X |
X |
Diversified
Balanced |
X | |
Diversified Balanced Managed
Volatility |
X | |
Diversified
Growth |
X | |
Diversified Growth Managed
Volatility |
X | |
Diversified
Income |
X | |
Diversified
International |
X |
X |
Equity Income |
X |
X |
Government & High Quality
Bond |
X |
X |
Income |
X |
X |
International Emerging
Markets |
X |
X |
LargeCap
Growth |
X |
X |
LargeCap Growth
I |
X |
X |
LargeCap S&P 500
Index |
X |
X |
LargeCap S&P 500 Managed
Volatility Index |
X |
|
LargeCap Value |
X |
X |
MidCap |
X |
X |
Money Market |
X |
X |
Multi-Asset
Income |
X |
X |
Principal Capital
Appreciation |
X |
X |
Principal LifeTime Strategic
Income |
X |
|
Principal LifeTime
2010 |
X |
|
Principal LifeTime
2020 |
X |
X |
Principal LifeTime
2030 |
X |
X |
Principal LifeTime
2040 |
X |
X |
Principal LifeTime
2050 |
X |
X |
Principal LifeTime
2060 |
X |
|
Real Estate
Securities |
X |
X |
SAM (Strategic Asset
Management) Balanced |
X |
X |
SAM (Strategic Asset
Management) Conservative Balanced |
X |
X |
SAM (Strategic Asset
Management) Conservative Growth |
X |
X |
SAM (Strategic Asset
Management) Flexible Income |
X |
X |
SAM (Strategic Asset
Management) Strategic Growth |
X |
X |
Short-Term
Income |
X |
X |
SmallCap (formerly SmallCap
Blend) |
X |
X |
1) |
Account may not issue senior
securities, except as permitted under the 1940 Act, as amended, and as
interpreted, modified or otherwise permitted by regulatory authority
having jurisdiction, from time to time. |
2) |
Account may not purchase or sell commodities,
except as permitted under the 1940 Act, as amended, and as interpreted,
modified or otherwise permitted by regulatory authority having
jurisdiction, from time to time.
|
3) |
Account may not purchase or
sell real estate, which term does not include securities of companies
which deal in real estate or mortgages or investments secured by real
estate or interests therein, except that each Account reserves freedom of
action to hold and to sell real estate acquired as a result of the
Account’s ownership of securities. |
4) |
Account may not borrow money,
except as permitted under the Investment Company Act of 1940, as amended,
and as interpreted, modified or otherwise permitted by regulatory
authority having jurisdiction, from time to
time. |
5) |
Account may not make loans
except as permitted under the 1940 Act, as amended, and as interpreted,
modified or otherwise permitted by regulatory authority having
jurisdiction, from time to time. |
6) |
Account, except the Real
Estate Securities Account, has elected to be treated as a “diversified”
investment company, as that term is used in the 1940 Act, as amended, and
as interpreted, modified or otherwise permitted by regulatory authority
having jurisdiction, from time to time. |
7) |
Account may not act as an
underwriter of securities, except to the extent that the Account may be
deemed to be an underwriter in connection with the sale of securities held
in its portfolio. |
8) |
Account may not concentrate,
as that term is used in the 1940 Act, its investments in a particular
industry, except as permitted under the 1940 Act, as amended, and as
interpreted, modified or otherwise permitted by regulatory authority
having jurisdiction, from time to time. This restriction does not apply to
the Real Estate Securities Account (the restriction applies to the Bond
Market Index Account, LargeCap S&P 500 Index Account, and LargeCap
S&P 500 Managed Volatility Index Account except to the extent that the
related Index is also so concentrated). |
1) |
Invest more than 15% (5% in
the case of the Money Market Account) of its net assets in illiquid
securities and in repurchase agreements maturing in more than seven days
except to the extent permitted by applicable
law. |
2) |
Pledge, mortgage, or
hypothecate its assets, except to secure permitted borrowings. The deposit
of underlying securities and other assets in escrow and other collateral
arrangements in connection with transactions in put or call options,
futures contracts, options on futures contracts, and over-the-counter swap
contracts are not deemed to be pledges or other
encumbrances. |
3) |
Invest in companies for the
purpose of exercising control or
management. |
4) |
Invest more than 25% of its
assets in foreign securities, except that the Diversified International,
International Emerging Markets, and Money Market Accounts each may invest
up to 100% of its assets in foreign securities. The Bond Market Index,
LargeCap S&P 500 Index and LargeCap S&P 500 Managed Volatility
Index Accounts may invest in foreign securities to the extent that the
relevant index is so invested. The Government & High Quality Bond
Account may not invest in foreign
securities. |
5) |
Invest more than 5% of its
total assets in real estate limited partnership interests (except Real
Estate Securities Account). |
6) |
Acquire securities of other
investment companies in reliance on Section 12(d)(1)(F) or (G) of the 1940
Act, invest more than 10% of its total assets in securities of other
investment companies, invest more than 5% of its total assets in the
securities of any one investment company, or acquire more than 3% of the
outstanding voting securities of any one investment company except in
connection with a merger, consolidation or plan of reorganization and
except as permitted by the 1940 Act, SEC rules adopted under the 1940 Act
or exemptions granted by the Securities and Exchange Commission. The
Account may purchase securities of closed-end investment companies in the
open market where no underwriter or dealer’s commission or profit, other
than a customary broker’s commission, is
involved. |
1) |
Pledge, mortgage or
hypothecate its assets, except to secure permitted borrowings. For the
purpose of this restriction, collateral arrangements with respect to the
writing of options by the underlying funds and collateral arrangements
with respect to initial or variation margin for futures by the underlying
funds are not deemed to be pledges of
assets. |
2) |
Invest in companies for the
purpose of exercising control or
management. |
• |
Exchange-Traded Options. An
exchange-traded option may be closed out only on an exchange that
generally provides a liquid secondary market for an option of the same
series. If a liquid secondary market for an exchange-traded option does
not exist, it might not be possible to effect a closing transaction with
respect to a particular option, with the result that an Account would have
to exercise the option in order to consummate the transaction.
|
• |
Over the Counter ("OTC")
Options. OTC options differ from exchange-traded options in that they are
two-party contracts, with price and other terms negotiated between buyer
and seller, and generally do not have as much market liquidity as
exchange-traded options. An OTC option (an option not traded on an
established exchange) may be closed out only by agreement with the other
party to the original option transaction. With OTC options, an Account is
at risk that the other party to the transaction will default on its
obligations or will not permit the Account to terminate the transaction
before its scheduled maturity. While an Account will seek to enter into
OTC options only with dealers who agree to or are expected to be capable
of entering into closing transactions with such Account, there can be no
assurance that an Account will be able to liquidate an OTC option at a
favorable price at any time prior to its expiration. OTC options are not
subject to the protections afforded purchasers of listed options by the
Options Clearing Corporation or other clearing organizations.
|
• |
Interest rate swaps. Interest
rate swaps involve the exchange by an Account with another party of their
respective commitments to pay or receive interest (for example, an
exchange of floating rate payments for fixed rate payments with respect to
a notional amount of principal). Forms of swap agreements also
include interest rate caps, under which, in return for a premium, one
party agrees to make payments to the other to the extent that interest
rates exceed a specified rate, or "cap"; interest rate floors, under
which, in return for a premium, one party agrees to make payments to the
other to the extent that interest rates fall below a specified rate, or
"floor"; and interest rate collars, under which a party sells a cap and
purchases a floor or vice versa in an attempt to protect itself against
interest rate movements exceeding given minimum or maximum levels.
|
• |
Currency swaps. A currency
swap is an agreement to exchange cash flows on a notional amount based on
changes in the relative values of the specified currencies.
|
• |
Index swaps. An index swap is
an agreement to make or receive payments based on the different returns
that would be achieved if a notional amount were invested in a specified
basket of securities (such as the S&P 500 Index) or in some other
investment (such as U.S. Treasury Securities).
|
• |
Total return swaps. A total
return swap is an agreement to make payments of the total return from a
specified asset or instrument (or a basket of such instruments) during the
specified period, in return for payments equal to a fixed or floating rate
of interest or the total return from another specified asset or
instrument. Alternatively, a total return swap can be structured so that
one party will make payments to the other party if the value of the
relevant asset or instrument increases, but receive payments from the
other party if the value of that asset or instrument decreases.
|
• |
Commodity swap agreements.
Consistent with an Account's investment objectives and general investment
policies, certain of the Accounts may invest in commodity swap agreements.
For example, an investment in a commodity swap agreement may involve the
exchange of floating-rate interest payments for the total return on a
commodity index. In a total return commodity swap, an Account will receive
the price appreciation of a commodity index, a portion of the index, or a
single commodity in exchange for paying an agreed-upon fee. If the
commodity swap is for one period, an Account may pay a fixed fee,
established at the outset of the swap. However, if the term of the
commodity swap is for more than one period, with interim swap payments, an
Account may pay an adjustable or floating fee. With a "floating" rate, the
fee may be pegged to a base rate, such as the London Interbank Offered
Rate, and is adjusted each period. Therefore, if interest rates increase
over the term of the swap contract, an Account may be required to pay a
higher fee at each swap reset date. |
• |
Credit default swap
agreements. The "buyer" in a credit default contract is obligated to pay
the "seller" a periodic stream of payments over the term of the contract
provided that no event of default on an underlying reference obligation
has occurred. If an event of default occurs, the seller must pay the buyer
the full notional value, or "par value," of the reference obligation in
exchange for the reference obligation. An Account may be either the buyer
or seller in a credit default swap transaction. If an Account is a buyer
and no event of default occurs, the Account will lose its investment and
recover nothing. However, if an event of default occurs, the Account (if
the buyer) will receive the full notional value of the reference
obligation that may have little or no value. As a seller, an Account
receives a fixed rate of income throughout the term of the contract, which
typically is between six months and five years, provided that there is no
default event. If an event of default occurs, the seller must pay the
buyer the full notional value of the reference obligation. In addition,
collateral posting requirements are individually negotiated and there is
no regulatory requirement that a counterparty post collateral to secure
its obligations or a specified amount of cash, depending upon the terms of
the swap, under a credit default swap. Furthermore, there is no
requirement that a party be informed in advance when a credit default swap
agreement is sold. Accordingly, an Account may have difficulty identifying
the party responsible for payment of its claims. The notional value of
credit default swaps with respect to a particular investment is often
larger than the total par value of such investment outstanding and, in
event of a default, there may be difficulties in making the required
deliveries of the reference investments, possibly delaying
payments. |
• |
Investment Pools. The Accounts
may invest in publicly or privately issued interests in investment pools
whose underlying assets are credit default, credit-linked, interest rate,
currency exchange, equity-linked or other types of swap contracts and
related underlying securities or securities loan agreements. The pools’
investment results may be designed to correspond generally to the
performance of a specified securities index or “basket” of securities, or
sometimes a single security. These types of pools are often used to gain
exposure to multiple securities with a smaller investment than would be
required to invest directly in the individual securities. They also may be
used to gain exposure to foreign securities markets without investing in
the foreign securities themselves and/or the relevant foreign market. To
the extent that an Account invests in pools of swaps and related
underlying securities or securities loan agreements whose return
corresponds to the performance of a foreign securities index or one or
more foreign securities, investing in such pools will involve risks
similar to the risks of investing in foreign securities. In addition to
the risks associated with investing in swaps generally, an Account bears
the risks and costs generally associated with investing in pooled
investment vehicles, such as paying the fees and expenses of the pool and
the risk that the pool or the operator of the pool may default on its
obligations to the holder of interests in the pool, such as an Account.
Interests in privately offered investment pools of swaps may be considered
illiquid. |
• |
Contracts for differences.
“Contracts for differences” are swap arrangements in which an Account may
agree with a counterparty that its return (or loss) will be based on the
relative performance of two different groups or “baskets” of securities.
For example, as to one of the baskets, an Account’s return is based on
theoretical long |
• |
Swaptions. A swap option (also
known as “swaptions”) is a contract that gives a counterparty the right
(but not the obligation) in return for payment of a premium, to enter into
a new swap agreement or to shorten, extend, cancel, or otherwise modify an
existing swap agreement, at some designated future time on specified
terms. The buyer and seller of the swap option agree on the strike price,
length of the option period, the term of the swap, notional amount,
amortization and frequency of settlement. An Account may engage in swap
options for hedging purposes or in an attempt to manage and mitigate
credit and interest rate risk. Each Account (except the Money Market
Account) may write (sell) and purchase put and call swap options. The use
of swap options involves risks, including, among others, imperfect
correlation between movements of the price of the swap options and the
price of the securities, indices or other assets serving as reference
instruments for the swap option, reducing the effectiveness of the
instrument for hedging or investment purposes.
|
• |
the frequency of trades and
quotations, |
• |
the number of dealers and
prospective purchasers in the marketplace,
|
• |
dealer undertakings to make a
market, |
• |
the nature of the security
(including any demand or tender features), and
|
• |
the nature of the marketplace
for trades (including the ability to assign or offset a portfolio's rights
and obligations relating to the investment).
|
• |
Bank Notes are notes issued by
local governmental bodies and agencies such as those described above to
commercial banks as evidence of borrowings. The purposes for which the
notes are issued are varied but they are frequently issued to meet
short-term working-capital or capital-project needs. These notes may have
risks similar to the risks associated with TANs and RANs.
|
• |
Bond Anticipation Notes
("BANs") are usually general obligations of state and local governmental
issuers which are sold to obtain interim financing for projects that will
eventually be funded through the sale of long-term debt obligations or
bonds. The ability of an issuer to meet its obligations on its BANs is
primarily dependent on the issuer's access to the long-term municipal bond
market and the likelihood that the proceeds of such bond sales will be
used to pay the principal and interest on the BANs.
|
• |
Construction Loan Notes are
issued to provide construction financing for specific projects. Permanent
financing, the proceeds of which are applied to the payment of
construction loan notes, is sometimes provided by a commitment by the
Government National Mortgage Association ("GNMA") to purchase the loan,
accompanied by a commitment by the Federal Housing Administration to
insure mortgage advances thereunder. In other instances, permanent
financing is provided by commitments of banks to purchase the loan.
|
• |
Revenue Anticipation Notes
("RANs") are issued by governments or governmental bodies with the
expectation that future revenues from a designated source will be used to
repay the notes. In general they also constitute general obligations of
the issuer. A decline in the receipt of projected revenues, such as
anticipated revenues from another level of government, could adversely
affect an issuer's ability to meet its obligations on outstanding RANs. In
addition, the possibility that the revenues would, when received, be used
to meet other obligations could affect the ability of the issuer to pay
the principal and interest on RANs. |
• |
Tax Anticipation Notes
("TANs") are issued by state and local governments to finance the current
operations of such governments. Repayment is generally to be derived from
specific future tax revenues. TANs are usually general obligations of the
issuer. A weakness in an issuer's capacity to raise taxes due to, among
other things, a decline in its tax base or a rise in delinquencies, could
adversely affect the issuer's ability to meet its obligations on
outstanding TANs. |
Account/Portfolio |
2014 |
2013 |
Explanation |
Diversified Growth Managed
Volatility |
8.0% |
127.3% |
The Account commenced
operations in 2013, thus 2014 turnover levels reflect a full year of
shareholder activity and rebalancing activity. |
Government & High Quality
Bond |
19.1% |
45.3% |
Low market volatility and the
portfolio management team's view on the market results in lower portfolio
turnover. |
LargeCap S&P 500
Index |
2.8% |
7.4% |
Turnover was higher in 2013 due
to elevated shareholder activity as well as rebalancing activity. Turnover
stabilized in 2014. |
LargeCap S&P 500 Managed
Volatility Index |
24.6% |
74.7% |
The Account commenced
operations in 2013, thus 2014 turnover levels reflect a full year of
shareholder activity and rebalancing activity. |
Principal LifeTime 2030
|
23.9% |
58.6% |
In 2013, the Account made more
changes to the underlying funds beyond the regular rebalancing than in
2014. |
Principal LifeTime 2040
|
21.1% |
67.2% |
In 2013, the Account made more
changes to the underlying funds beyond the regular rebalancing than in
2014. |
Principal LifeTime 2050
|
28.5% |
68.0% |
In 2013, the Account made more
changes to the underlying funds beyond the regular rebalancing than in
2014. |
SAM Balanced |
16.4% |
46.7% |
There was less Account movement
in 2014 than in 2013, resulting in lower turnover. |
SAM Conservative Growth
|
19.4% |
48.5% |
There was less Account movement
in 2014 than in 2013, resulting in lower turnover. |
SAM Strategic Growth
|
20.4% |
62.5% |
There was less Account movement
in 2014 than in 2013, resulting in lower
turnover. |
• |
Traditional Preferred
Securities. Traditional preferred securities may be issued by an entity
taxable as a corporation and pay fixed or floating rate dividends.
However, these claims are subordinated to more senior creditors, including
senior debt holders. “Preference” means that a company must pay dividends
on its preferred securities before paying any dividends on its common
stock, and the claims of preferred securities holders are ahead of common
stockholders’ claims on assets in a corporate liquidation. Holders of
preferred securities usually have no right to vote for corporate directors
or on other matters. Preferred securities share many investment
characteristics with both common stock and bonds.
|
• |
Hybrid or Trust Preferred
Securities. Hybrid-preferred securities are debt instruments that have
characteristics similar to those of traditional preferred securities
(characteristics of both subordinated debt and preferred stock). Hybrid
preferred securities may be issued by corporations, generally in the form
of interest-bearing instruments with preferred securities characteristics,
or by an affiliated trust or partnership of the corporation, generally in
the form of preferred interests in subordinated business trusts or
similarly structured securities. The hybrid-preferred securities market
consists of both fixed and adjustable coupon rate securities that are
either perpetual in nature or have stated maturity dates. Hybrid preferred
holders generally have claims to assets in a corporate liquidation that
are senior to those of traditional preferred securities but subordinate to
those of senior debt holders. Certain subordinated debt and senior debt
issues that have preferred characteristics are also considered to be part
of the broader preferred securities market.
|
• |
Floating rate preferred
securities. Floating rate preferred securities provide for a periodic
adjustment in the interest rate paid on the securities. The terms of such
securities provide that interest rates are adjusted periodically based
upon an interest rate adjustment index. The adjustment intervals may be
regular, and range from daily up to annually, or may be event-based, such
as a change in the short-term interest rate. Because of the interest rate
reset feature, floating rate securities provide the Account with a certain
degree of protection against rising interest rates, although the interest
rates of floating rate securities will participate in any declines in
interest rates as well. |
• |
U.S. Government Securities -
Securities issued or guaranteed by the U.S. government, including treasury
bills, notes, and bonds. |
• |
U.S. Government Agency
Securities - Obligations issued or guaranteed by agencies or
instrumentalities of the U.S. government.
|
• |
U.S. agency obligations
include, but are not limited to, the Bank for Cooperatives, Federal Home
Loan Banks, and Federal Intermediate Credit Banks.
|
• |
U.S. instrumentality
obligations include, but are not limited to, the Export-Import Bank,
Federal Home Loan Mortgage Corporation, and Federal National Mortgage
Association. |
• |
Bank Obligations -
Certificates of deposit, time deposits and bankers' acceptances of U.S.
commercial banks having total assets of at least one billion dollars and
overseas branches of U.S. commercial banks and foreign banks, which in the
opinion of the Sub-Advisor, are of comparable quality. The Account may
acquire obligations of U.S. banks that are not members of the Federal
Reserve System or of the Federal Deposit Insurance Corporation.
|
• |
Commercial Paper - Short-term
promissory notes issued by U.S. or foreign corporations.
|
• |
Short-term Corporate Debt -
Corporate notes, bonds, and debentures that at the time of purchase have
397 days or less remaining to maturity. |
• |
Repurchase Agreements -
Instruments under which securities are purchased from a bank or securities
dealer with an agreement by the seller to repurchase the securities at the
same price plus interest at a specified rate.
|
• |
Taxable Municipal Obligations
- Short-term obligations issued or guaranteed by state and municipal
issuers which generate taxable income. |
Name,
Address,
and Year of
Birth |
Position(s)
Held
with
Fund |
Length
of
Time
Served
as
Director |
Principal
Occupation(s)
During Past
5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Director |
Other
Directorships
Held by
Director
During Past
5 Years |
Elizabeth
Ballantine
655 9th Street
Des Moines, IA
50392
1948 |
Director
Member Nominating and
Governance Committee |
Since 2004 |
Principal, EBA
Associates
(consulting and
investments) |
116 |
Durango Herald,
Inc.;
McClatchy Newspapers,
Inc. |
Leroy T. Barnes,
Jr.
655 9th Street
Des Moines, IA 50392 1951 |
Director
Member Audit
Committee |
Since 2012 |
Retired
|
116 |
McClatchy Newspapers, Inc.;
Herbalife Ltd.; Frontier Communications, Inc.
|
Craig Damos
655 9th Street
Des Moines, IA 50392 1954 |
Director
Member 15(c)
Committee
Member Audit Committee
|
Since 2008 |
President, The Damos Company
(consulting services) |
116 |
Hardin
Construction |
Mark A. Grimmett
655 9th Street
Des Moines, IA 50392 1960 |
Director
Member 15(c)
Committee
Member Executive
Committee
Member Nominating and
Governance Committee |
Since 2004 |
Formerly, Executive Vice
President and CFO, Merle Norman Cosmetics, Inc. (cosmetics
manufacturing) |
116 |
None |
Fritz S. Hirsch
655 9th Street
Des Moines, IA 50392 1951 |
Director
Member 15(c)
Committee
Member Operations
Committee |
Since 2005 |
CEO, MAM USA (manufacturer of
infant and juvenile products). |
116 |
Focus Products Group
(housewares) |
Tao Huang
655 9th Street
Des Moines, IA 50392 1962 |
Director
Member 15(c)
Committee
Member Operations
Committee |
Since 2012 |
Formerly, Chief Operating
Officer, Morningstar, Inc. (investment research) |
116 |
Armstrong World Industries,
Inc. (manufacturing) |
Karen ("Karrie”)
McMillan 655 9th Street Des Moines, IA 50392 1961 |
Director
Member Operations
Committee |
Since 2014 |
Managing Director, Patomak
Global Partners, LLC. Formerly, General Counsel, Investment Company
Institute* |
116 |
None |
Elizabeth A.
Nickels
655 9th Street
Des Moines, IA 50392 1962
|
Director
Member Audit
Committee |
Since 2015 |
Formerly Executive Director,
Herman Miller Foundation; Formerly President, Herman Miller
Healthcare |
116 |
Charlotte Russe; Follet
Corporation; Herman Miller, Inc.; PetSmart; SpartanNash; Spectrum Health
Systems |
Daniel Pavelich
655 9th Street
Des Moines, IA 50392 1944 |
Director
Member Audit
Committee |
Since 2007 |
Retired |
116 |
None |
* Ms. McMillan served as an
officer of the Investment Company Institute, a national association of
U.S. investment companies. Appendix A provides information about the
members of the Investment Company Institute’s Board of Governors who are
affiliates of the Funds’ investment
advisors. |
Name,
Address,
and Year of
Birth |
Position(s)
Held
with
Fund |
Length
of
Time
Served
|
Positions
with the Manager
and its
affiliates;
Principal
Occupation(s)
During Past
5 Years**
(unless
noted otherwise) |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Director |
Other
Directorships
Held
by
Director
During Past
5
Years |
Michael J.
Beer
Des
Moines, IA 50392
1961
|
Chief Executive
Officer
President
Director
Member Executive
Committee |
Since 2015
Since 2015
Since 2012
Since 2001 |
Chief Executive Officer,
PFD
Director, PFD (since 2015)
VP/Mutual Funds & Broker
Dealer, PLIC (2001-2014)
VP/Chief Operating Officer
Principal Funds, PLIC (2014-2015)
Executive Director/Principal
Funds & Trust, PLIC (since 2015)
President & Chief Executive
Officer, PMC (since 2015)
EVP/Chief Operating Officer,
PMC (2008-2015)
Chair, PMC (since 2015)
Director, PMC
(2006-2015)
Director, Princor
(2005-2015)
President, Princor
(2005-2015)
Chairman, PSS (since 2015)
Director, PSS
(2007-2015)
President, PSS
(2007-2015)
Executive Vice President, PSS
(since 2015) |
116 |
None |
Nora M.
Everett
Des
Moines, IA 50392
1959 |
Chair
Director
Member Executive
Committee
|
Since 2012
Since 2008
|
Director, Edge
(2008-2011)
Director, Finisterre (since
2011)
Director, Origin (since
2011)
Chairman, PFA
(2010-2015)
Chairman, PFD
(2011-2015)
Director, PFD
(2008-2011)
President/RIS, PLIC (since
2015)
Senior Vice President/RIS, PLIC
(2008-2015)
Chairman, PMC
(2011-2015)
President, PMC
(2008-2015)
Director, PMC
(2008-2011)
Director, Princor (2008-2011,
and since 2015)
Chief Executive Officer,
Princor (2009-2015)
Chairman, Princor
(2011-2015)
Chairman, PSS
(2011-2015)
Director, PSS
(2008-2011) |
116 |
None |
Name,
Address
and Year of
Birth |
Position(s)
Held
with Fund
and
Length of
Time Served |
Positions
with the Manager and its Affiliates;
Principal
Occupations During Past 5 Years**
(unless
noted otherwise) |
Michael J. Beer Des Moines, IA 50392 1961 |
Chief Executive Officer (since
2015)
President (since
2015)
Director (since 2012) Member Executive Committee |
Chief Executive Officer,
PFD
Director, PFD (since 2015)
VP/Mutual Funds & Broker
Dealer, PLIC (2001-2014)
VP/Chief Operating Officer
Principal Funds, PLIC (2014-2015)
Executive Director/Principal
Funds & Trust, PLIC (since 2015)
President & Chief Executive
Officer, PMC (since 2015)
EVP/Chief Operating Officer,
PMC (2008-2015)
Chair, PMC (since 2015)
Director, PMC
(2006-2015)
Director, Princor
(2005-2015)
President, Princor
(2005-2015)
Chairman, PSS (since 2015)
Director, PSS
(2007-2015)
President, PSS
(2007-2015)
Executive Vice President, PSS
(since 2015) |
Randy L. Bergstrom
Des Moines, IA 50392
1955 |
Assistant Tax
Counsel
(since 2005) |
Counsel, PGI
Counsel,
PLIC |
Jennifer A. Block
Des Moines, IA
50392
1973 |
Assistant Counsel
(since 2010)
Assistant
Secretary
(since 2015) |
Counsel, PFD (2009-2013)
Counsel, PLIC Counsel, PMC (2009-2013, 2014-present) Counsel, Princor (2009-2013) Counsel, PSS (2009-2013) |
Tracy Bollin
Des Moines, IA
50392
1970 |
Chief Financial
Officer
(since 2014) |
Chief Financial Officer, PFA
(2010-2015)
Senior Vice President, PFD
(since 2015)
Chief Financial Officer, PFD
(since 2010)
Senior Vice President, PMC
(since 2015)
Chief Financial Officer, PMC
(2010-2015)
Director, PMC (since 2015)
Chief Financial Officer,
Princor (2010-2015)
Director, PSS (since 2015)
President, PSS (since
2015)
Chief Financial Officer, PSS
(2010-2015) |
David J. Brown
Des Moines, IA 50392
1960 |
Chief Compliance
Officer
(since 2004) |
Senior Vice President,
PFD
Chief Compliance Officer-Funds,
PLIC (since 2016)
Vice President/Compliance,
PLIC
Senior Vice President,
PMC
Senior Vice President,
Princor
Senior Vice President,
PSS |
Teresa M. Button
Des Moines, IA 50392
1963 |
Treasurer
(since 2011) |
Vice President/Treasurer, Edge
(since 2011)
Vice President/Treasurer, PFA
(since 2011)
Vice President/Treasurer, PFD
(since 2011)
Vice President/Treasurer, PGI
(since 2011)
Vice President/Treasurer, PLIC
(since 2011)
Vice President/Treasurer, PMC
(since 2011)
Vice President/Treasurer, Post
(since 2011)
Vice President/Treasurer,
Principal-REI (since 2011)
Vice President/Treasurer,
Princor (since 2011)
Vice President/Treasurer, PSS
(since 2011)
Treasurer, Spectrum (since
2011) |
Name,
Address
and Year of
Birth |
Position(s)
Held
with Fund
and
Length of
Time Served |
Positions
with the Manager and its Affiliates;
Principal
Occupations During Past 5 Years**
(unless
noted otherwise) |
Nora M.
Everett
Des
Moines, IA 50392
1959 |
Chair (since 2012)
Director (since
2008)
Member Executive
Committee
|
Director, Edge
(2008-2011)
Director, Finisterre (since
2011)
Director, Origin (since
2011)
Chairman, PFA
(2010-2015)
Chairman, PFD
(2011-2015)
Director, PFD
(2008-2011)
President/RIS, PLIC (since
2015)
Senior Vice President/RIS, PLIC
(2008-2015)
Chairman, PMC
(2011-2015)
President, PMC
(2008-2015)
Director, PMC
(2008-2011)
Director, Princor (2008-2011,
and since 2015)
Chief Executive Officer,
Princor (2009-2015)
Chairman, Princor
(2011-2015)
Chairman, PSS
(2011-2015)
Director, PSS
(2008-2011) |
Carolyn F. Kolks
Des Moines, IA 50392
1962 |
Assistant Tax Counsel
(since 2005) |
Counsel, PGI
Counsel,
PLIC |
Layne A. Rasmussen
Des Moines, IA 50392
1958 |
Vice President (since
2005)
Controller (since
2000) |
Vice President/Controller,
PMC |
Greg Reymann
Des Moines, IA
50392
1958 |
Assistant Counsel
(since 2014) |
Assistant General Counsel, PLIC
(since 2014)
Assistant General Counsel, PMC
(since 2015)
Assistant General Counsel, TAMG
(2013-2014)
Vice President/CFTC Principal,
TAM (2013-2014)
VP, Chief Compliance Officer
and Chief Risk Officer, TAM (2010-2012) |
Teri R. Root
Des Moines, IA
50392
1979 |
Deputy Chief Compliance
Officer(since 2015) |
Vice President and Chief
Compliance Officer, PMC (since 2015)
Compliance Officer, PMC
(2010-2013)
Vice President, PSS (since
2015) |
Britney L.
Schnathorst
Des Moines, IA
50392
1981 |
Assistant Counsel
(since 2014) |
Counsel, PLIC (since
2013)
Prior thereto, Attorney in
Private Practice |
Adam U. Shaikh
Des Moines, IA 50392
1972 |
Assistant Counsel
(since 2006) |
Counsel, PFD
(2006-2013)
Counsel, PLIC
Counsel, PMC (2007-2013,
2014-present)
Counsel, Princor
(2007-2013)
Counsel, PSS
(2007-2013) |
Dan L. Westholm
Des Moines, IA 50392
1966 |
Assistant Treasurer
(since 2006) |
Assistant Vice
President/Treasury, PFA (since 2013)
Director-Treasury, PFA
(2011-2013)
Assistant Vice
President/Treasury, PFD (since 2013)
Director-Treasury, PFD
(2011-2013)
Assistant Vice
President/Treasury, PLIC (since 2014)
Director-Treasury, PLIC
(2007-2014)
Director-Treasury, PMC
(2003-2013)
Assistant Vice
President/Treasury, PMC (since 2013)
Assistant Vice
President/Treasury, Princor (since 2013)
Director-Treasury, Princor
(2011-2013)
Assistant Vice
President/Treasury, PSS (since 2013)
Director-Treasury, PSS
(2007-2013) |
Beth C. Wilson
Des Moines, IA 50392
1956 |
Vice President and Secretary
(since 2007) |
Director and Secretary-Funds,
PLIC
Vice President, PMC
(2007-2013) |
Clint Woods
Des Moines, IA
50392
1961 |
Counsel (since
2015)
|
Vice President, Associate
General Counsel, Governance Officer, and Assistant Corporate Secretary,
PLIC (since 2015)
Assistant General Counsel,
Assistant Corporate Secretary, and Governance Officer, PLIC
(2013-2015)
Associate General Counsel,
AEGON (2003-2012) |
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 |
Directors | |||||||||||
Independent
Directors |
considered
to be | ||||||||||
(not
considered to be "Interested Persons") |
"Interested
Persons" | ||||||||||
PVC Account
* |
Ballantine |
Barnes |
Damos |
Grimmett |
Hirsch |
Huang |
McMillan |
Nickels |
Pavelich |
Beer |
Everett |
SAM Strategic
Growth |
A |
A |
A |
A |
A |
A |
A |
A |
A |
E |
A |
Total Fund
Complex |
E |
E |
E |
E |
E |
E |
E |
D |
E |
E |
E |
* Directors own shares of
Principal Variable Contracts Funds, Inc. through variable annuity
contracts or variable life
policies. |
Director |
The
Fund* |
Fund
Complex |
Elizabeth
Ballantine |
$18,255 |
$214,375 |
Leroy Barnes |
$19,717 |
$231,500 |
Craig Damos |
$20,483 |
$240,500 |
Mark A.
Grimmett |
$22,507 |
$264,250 |
Fritz Hirsch |
$21,112 |
$247,875 |
Tao Huang |
$19,493 |
$228,875 |
Karen ("Karrie")
McMillan** |
$9,372 |
$109,917 |
Elizabeth A.
Nickels*** |
$0 |
$0 |
Daniel Pavelich |
$21,421 |
$251,500 |
* |
The Multi-Asset Income Account
is new since the most recent fiscal year ended December 31,
2014. |
Sub-Advisor: |
Brown
Advisory, LLC (“Brown”) is a wholly-owned subsidiary
of Brown Advisory Management, LLC. |
Account(s): |
a portion of the assets of
LargeCap Growth I |
Sub-Advisor: |
Columbus
Circle Investors ("CCI") is an affiliate of PGI, which
is a member of the Principal Financial Group.
|
Account(s): |
LargeCap
Growth |
Sub-Advisor: |
Edge Asset
Management, Inc. ("Edge") is an affiliate of Principal
and a member of the Principal Financial Group.
|
Account(s): |
Equity Income, Government
& High Quality Bond, Income, Principal Capital Appreciation,
Short-Term Income, SAM Balanced Portfolio, SAM Conservative Balanced
Portfolio, SAM Conservative Growth Portfolio, SAM Flexible Income
Portfolio, and SAM Strategic Growth
Portfolio |
Sub-Advisor: |
Mellon
Capital Management Corporation (“Mellon Capital”) is directly owned by MBC
Investments Corporation, a Delaware holding company. MBC Investments
Corporation is directly owned by The Bank of New York Mellon
Corporation. |
Account(s): |
Bond Market
Index |
Sub-Advisor: |
Principal
Global Investors, LLC (“PGI”), is an indirect wholly owned
subsidiary of Principal Life Insurance Company, an affiliate of Principal,
and a member of the Principal Financial
Group. |
Account(s): |
Balanced, Core Plus Bond,
Diversified International, International Emerging Markets, LargeCap
S&P 500 Index, LargeCap Value, MidCap, Money Market, Multi-Asset
Income, Principal LifeTime Strategic Income, Principal LifeTime 2010,
Principal LifeTime 2020, Principal LifeTime 2030, Principal LifeTime 2040,
Principal LifeTime 2050, Principal LifeTime 2060, SmallCap, and a portion
of the assets of LargeCap S&P 500 Managed Volatility Index
|
Sub-Advisor: |
Principal
Real Estate Investors, LLC ("Principal - REI"), an indirect wholly owned
subsidiary of Principal Life, an affiliate of Principal, and a member of
the Principal Financial Group. |
Account(s): |
Real Estate
Securities |
Sub-Advisor: |
Spectrum
Asset Management, Inc. ("Spectrum"), is an indirect subsidiary of
Principal Life, an affiliate of PGI and a member of the Principal
Financial Group. |
Account(s): |
a portion of the assets of the
LargeCap S&P 500 Managed Volatility
Index |
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.
|
Account(s): |
a portion of the assets of
LargeCap Growth I |
Net Asset
Value of Account | |||||
Account |
First
$250
million |
Next
$250
million |
Next
$250
million |
Next
$250
million |
Thereafter |
LargeCap Value |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
Diversified
International |
0.85% |
0.80% |
0.75% |
0.70% |
0.65% |
International Emerging
Markets |
1.25% |
1.20% |
1.15% |
1.10% |
1.05% |
Net Asset
Value of Account | |||||
Account |
First
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$1
billion |
Over
$3
billion |
LargeCap Growth |
0.68% |
0.63% |
0.61% |
0.56% |
0.51% |
Net Asset
Value of Account | |||||
Account |
First
$2
billion |
Over
$2
billion |
|||
Government & High Quality
Bond |
0.50% |
0.45% |
|||
Income |
0.50% |
0.45% |
Net Asset
Value of Account | |||||
Account |
Overall
Fee |
||||
Bond Market
Index |
0.25% |
||||
Diversified
Balanced |
0.05% |
||||
Diversified Balanced Managed
Volatility |
0.05% |
||||
Diversified
Growth |
0.05% |
||||
Diversified Growth Managed
Volatility |
0.05% |
||||
Diversified
Income |
0.05% |
||||
LargeCap S&P 500
Index |
0.25% |
||||
LargeCap S&P 500 Managed
Volatility Index |
0.45% |
||||
Multi-Asset
Income |
0.03% |
||||
Principal LifeTime Strategic
Income |
0.00% |
||||
Principal LifeTime
2010 |
0.00% |
||||
Principal LifeTime
2020 |
0.00% |
||||
Principal LifeTime
2030 |
0.00% |
||||
Principal LifeTime
2040 |
0.00% |
||||
Principal LifeTime
2050 |
0.00% |
||||
Principal LifeTime
2060 |
0.00% |
Net Asset
Value of Account | |||||
Account |
First
$200
million |
Next
$300
million |
Over
$500
million | ||
Short-Term
Income |
0.50% |
0.45% |
0.40% |
Net Asset
Value of Account | |||||
Account |
First
$500
million |
Over
$500
million |
|||
Principal Capital
Appreciation |
0.625% |
0.50% |
Net Asset
Value of Account | |||||
Account |
First
$1
billion |
Over
$1
billion |
|||
SAM Balanced* |
0.25% |
0.20% |
|||
SAM Conservative
Balanced* |
0.25% |
0.20% |
|||
SAM Conservative
Growth* |
0.25% |
0.20% |
|||
SAM Flexible
Income* |
0.25% |
0.20% |
|||
SAM Strategic
Growth* |
0.25% |
0.20% |
|||
* Breakpoints are based on
aggregate SAM Portfolio net
assets |
Net Asset
Value of Account | |||||
Account |
First
$100
million |
Next
$100
million |
Next
$100
million |
Next
$100
million |
Thereafter |
Balanced |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
Core Plus Bond |
0.50% |
0.45% |
0.40% |
0.35% |
0.30% |
Equity Income |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
LargeCap Growth
I |
0.80% |
0.75% |
0.70% |
0.65% |
0.60% |
MidCap |
0.65% |
0.60% |
0.55% |
0.50% |
0.45% |
Money Market |
0.50% |
0.45% |
0.40% |
0.35% |
0.30% |
Real Estate
Securities |
0.90% |
0.85% |
0.80% |
0.75% |
0.70% |
SmallCap |
0.85% |
0.80% |
0.75% |
0.70% |
0.65% |
Account |
Class
1 |
Class
2 |
Expiration |
Diversified Balanced Managed
Volatility |
N/A |
0.31% |
April 30,
2016 |
Diversified Growth Managed
Volatility |
N/A |
0.31% |
April 30,
2016 |
LargeCap S&P 500 Managed
Volatility Index |
0.49% |
N/A |
April 30,
2016 |
Multi-Asset
Income |
0.08% |
0.33% |
April 30,
2017 |
Principal LifeTime
2060 |
0.13% |
N/A |
April 30,
2016 |
Account |
Waiver |
Expiration |
LargeCap Growth
I |
0.016% |
April 30,
2016 |
Management
Fees For Periods Ended December 31,
(amounts
in thousands) | ||||||||
Account |
2014 |
2013 |
2012 |
|||||
Balanced |
306 |
|
303 |
|
306 |
|||
Core Plus Bond |
1,427 |
|
1,458 |
|
1,468 |
|||
Bond Market
Index |
3,743 |
|
2,478 |
|
983 |
(1) | ||
Diversified Balanced
|
468 |
|
362 |
|
227 |
|||
Diversified Balanced Managed
Volatility |
20 |
|
– |
|
(2) |
N/A |
||
Diversified
Growth |
1,275 |
|
834 |
|
490 |
|||
Diversified Growth Managed
Volatility |
38 |
|
– |
|
(2) |
N/A |
||
Diversified Income
|
69 |
|
41 |
|
5 |
(1) | ||
Diversified
International |
3,990 |
|
3,991 |
|
3,692 |
|||
Equity Income |
3,108 |
|
3,052 |
|
3,010 |
|||
Government & High Quality
Bond |
1,717 |
|
2,033 |
|
2,237 |
|||
Income |
1,419 |
|
1,424 |
|
1,403 |
|||
International Emerging Markets
|
1,387 |
|
1,648 |
|
1,866 |
|||
LargeCap Growth
|
764 |
|
1,174 |
|
1,380 |
|||
LargeCap Growth
I |
1,861 |
|
1,943 |
|
1,862 |
|||
LargeCap S&P 500 Index
|
4,203 |
|
2,995 |
|
1,890 |
|||
LargeCap S&P 500 Managed
Volatility Index |
230 |
|
— |
|
(2) |
N/A |
||
LargeCap Value |
1,007 |
|
1,277 |
|
1,288 |
|||
MidCap |
3,417 |
|
3,346 |
|
3,058 |
|||
Money Market |
1,246 |
|
1,312 |
|
1,370 |
|||
Principal Capital Appreciation
|
242 |
|
657 |
|
967 |
|||
Principal LifeTime 2010
|
15 |
|
14 |
|
10 |
|||
Principal LifeTime 2020
|
66 |
|
66 |
|
14 |
|||
Principal LifeTime
2030 |
34 |
|
30 |
|
61 |
|||
Principal LifeTime
2040 |
12 |
|
9 |
|
26 |
|||
Principal LifeTime
2050 |
7 |
|
6 |
|
7 |
|||
Principal LifeTime 2060
|
– |
|
– |
|
(3) |
N/A |
||
Principal LifeTime Strategic
Income |
9 |
|
10 |
|
4 |
|||
Real Estate Securities
|
1,304 |
|
1,231 |
|
1,236 |
|||
SAM Balanced |
2,198 |
|
2,219 |
|
2,083 |
|||
SAM Conservative Balanced
|
511 |
|
499 |
|
466 |
|||
SAM Conservative Growth
|
648 |
|
574 |
|
513 |
|||
SAM Flexible Income
|
530 |
|
540 |
|
505 |
|||
SAM Strategic Growth
|
495 |
|
420 |
|
360 |
|||
Short-Term Income
|
1,252 |
|
1,274 |
|
1,237 |
|||
SmallCap |
543 |
|
476 |
|
411 |
Aggregate
Fees Paid to Sub-Advisers (other than Wholly-Owned Sub-Advisors and
Columbus Circle) for Fiscal Years Ended December 31 (dollar amounts in
thousands) | ||||||
Account |
2015 |
2014 |
2013 | |||
Dollar Amount |
Percent
of Average Daily Net
Assets |
Dollar Amount |
Percent
of Average Daily Net
Assets |
Dollar Amount |
Percent
of Average Daily Net
Assets | |
Bond Market
Index |
$xx,xxx |
x.xx% |
$xx,xxx |
x.xx% |
$xx,xxx |
x.xx% |
LargeCap Growth
I |
Fees Paid to
Columbus Circle for Fiscal Years Ended December 31 (dollar amounts in
thousands) | ||||||
Account |
2015 |
2014 |
2013 | |||
Dollar Amount |
Percent
of Average Daily Net
Assets |
Dollar Amount |
Percent
of Average Daily Net
Assets |
Dollar Amount |
Percent
of Average Daily Net
Assets | |
LargeCap Growth Fund (Columbus
Circle) |
$xx,xxx |
x.xx% |
$xx,xxx |
x.xx% |
$xx,xxx |
x.xx% |
• |
formulation and implementation
of marketing and promotional activities; |
• |
preparation, printing, and
distribution of sales literature; |
• |
preparation, printing, and
distribution of prospectuses and the Account reports to other than
existing shareholders; |
• |
obtaining such information
with respect to marketing and promotional activities as the Distributor
deems advisable; |
• |
making payments to dealers and
others engaged in the sale of shares or who engage in shareholder support
services; and |
• |
providing training, marketing,
and support with respect to the sale of
shares. |
Account |
12b-1 Fees
(amounts in
thousands) | |||
Diversified Balanced
|
$ |
2,341 |
|
|
Diversified Balanced Managed
Volatility |
100 |
|
||
Diversified Growth
|
6,375 |
|
||
Diversified Growth Managed
Volatility |
191 |
|
||
Diversified Income
|
342 |
|
||
Diversified International
|
3 |
|
||
Equity Income |
63 |
|
||
Government & High Quality
Bond |
2 |
|
||
Income |
8 |
|
||
LargeCap Growth |
2 |
|
||
MidCap |
38 |
|
||
Money Market |
2 |
|
||
Principal Capital
Appreciation |
16 |
|
||
Real Estate
Securities |
1 |
|
||
SAM Balanced |
252 |
|
||
SAM Conservative
Balanced |
41 |
|
||
SAM Conservative
Growth |
250 |
|
||
SAM Flexible
Income |
49 |
|
||
SAM Strategic
Growth |
228 |
|
||
Short-Term
Income |
2 |
|
Account |
Amount of
Transactions
because
of
Research
Services Provided |
Related
Commissions
Paid | ||
Balanced |
63,659,715 |
6,021 |
||
Diversified
International |
567,759,420 |
167,511 |
||
Equity Income |
176,296,199 |
145,268 |
||
International Emerging
Markets |
238,368,042 |
84,912 |
||
LargeCap Growth |
6,290,906 |
9,909 |
||
LargeCap Growth
I |
80,108,988 |
7,250 |
||
LargeCap S&P 500
Index |
1,257,617,923 |
525 |
||
LargeCap S&P 500 Managed
Volatility Index |
574,616,123 |
195 |
||
LargeCap Value |
385,873,423 |
38,592 |
||
MidCap |
326,863,422 |
32,254 |
||
Principal Capital
Appreciation |
6,500,674 |
4,105 |
||
Real Estate
Securities |
46,572,176 |
9,756 |
||
SmallCap |
99,782,136 |
24,875 |
Total
Brokerage Commissions Paid for Periods Ended December
31 | ||||||||||||
Account |
2014 |
2013 |
2012 |
|||||||||
Balanced |
$ |
39,484 |
|
$ |
51,713 |
|
$ |
58,755 |
|
|||
Core Plus Bond |
124 |
|
— |
|
— |
|
||||||
Diversified
International |
786,233 |
|
1,084,239 |
|
947,474 |
|
||||||
Equity Income |
168,673 |
|
246,155 |
|
310,660 |
|
||||||
International Emerging
Markets |
447,040 |
|
640,703 |
|
604,420 |
|
||||||
LargeCap Growth |
95,800 |
|
184,837 |
|
252,798 |
|
||||||
LargeCap Growth
I |
62,376 |
|
68,478 |
|
81,532 |
|
||||||
LargeCap S&P 500
Index |
32,170 |
|
65,662 |
|
52,686 |
|
||||||
LargeCap S&P 500 Managed
Volatility Index |
14,461 |
|
932 |
|
N/A |
|
||||||
LargeCap Value |
234,353 |
|
402,028 |
|
418,173 |
|
||||||
MidCap |
179,276 |
|
152,261 |
|
245,195 |
|
||||||
Principal Capital
Appreciation |
4,979 |
|
15,998 |
|
24,874 |
|
||||||
Real Estate
Securities |
49,395 |
|
46,833 |
|
135,956 |
|
||||||
SmallCap |
110,153 |
|
130,157 |
|
157,559 |
|
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2014 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||||||||
Balanced | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
3,720 |
|
9.42 |
% |
13.57 |
% | ||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,032 |
|
5.15 |
% |
4.65 |
% | |||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
584 |
|
1.48 |
% |
1.96 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
929 |
|
2.35 |
% |
2.43 |
% | |||||||||
Baird Investment
Management |
Robert W. Baird &
Co. |
367 |
|
0.93 |
% |
0.81 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,616 |
|
4.09 |
% |
6.38 |
% | |||||||||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
75 |
|
0.19 |
% |
0.16 |
% | |||||||||
Total |
$ |
9,323 |
|
23.61
|
% |
29.96
|
% | |||||||||
Diversified
International | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
282 |
|
0.04 |
% |
0.11 |
% | |
American Century Investment
Management , Inc. |
CIBC World Markets
Corp. |
3,690 |
|
0.47 |
% |
0.83 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
68,378 |
|
8.70 |
% |
8.52 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
42,841 |
|
5.45 |
% |
4.39 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
60,543 |
|
7.70 |
% |
8.81 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
3,057 |
|
0.39 |
% |
0.79 |
% | ||
Total |
$ |
178,791 |
|
22.75
|
% |
23.45
|
% | ||
Equity
Income | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
45,868 |
|
27.19 |
% |
20.12 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
3,031 |
|
1.80 |
% |
1.87 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
1,632 |
|
0.97 |
% |
1.41 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
9,767 |
|
5.79 |
% |
5.30 |
% | ||
Total |
$ |
60,298 |
|
35.75
|
% |
28.70
|
% | ||
International
Emerging Markets | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
5 |
|
0.00 |
% |
0.00 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
31,920 |
|
7.14 |
% |
7.57 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
31,397 |
|
7.02 |
% |
6.69 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
38,232 |
|
8.55 |
% |
9.09 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
252 |
|
0.06 |
% |
0.12 |
% | ||
Total |
$ |
101,806 |
|
22.77 |
% |
23.47 |
% | ||
LargeCap
Growth | |||||||||
Goldman Sachs Asset Management,
L.P. |
BIDS Trading
L.P. |
$ |
396 |
|
0.41 |
% |
0.65 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,661 |
|
1.73 |
% |
1.08 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
1,241 |
|
1.30 |
% |
1.10 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
4,473 |
|
4.67 |
% |
4.91 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
1,998 |
|
2.09 |
% |
2.18 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
551 |
|
0.57 |
% |
0.30 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
719 |
|
0.75 |
% |
1.50 |
% | ||
Total |
$ |
11,039 |
|
11.52 |
% |
11.72 |
% | ||
LargeCap
Growth I | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
1,942 |
|
3.11 |
% |
1.90 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,902 |
|
3.05 |
% |
3.73 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
5,306 |
|
8.51 |
% |
5.95 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
69 |
|
0.11 |
% |
0.08 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
5,638 |
|
9.04 |
% |
6.79 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
1,549 |
|
2.48 |
% |
1.24 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
2,150 |
|
3.45 |
% |
3.09 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,063 |
|
1.70 |
% |
0.90 |
% | ||
Total |
$ |
19,619 |
|
31.45 |
% |
23.68 |
% | ||
LargeCap
S&P 500 Index | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
999 |
|
3.11 |
% |
0.56 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
159 |
|
0.49 |
% |
0.06 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
7,769 |
|
24.15 |
% |
26.04 |
% | ||
Total |
$ |
8,927 |
|
27.75 |
% |
26.66 |
% | ||
LargeCap
S&P 500 Managed Volatility Index | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
186 |
|
1.29 |
% |
1.60 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,962 |
|
13.57 |
% |
13.82 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
1 |
|
0.01 |
% |
0.00 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
3,054 |
|
21.12 |
% |
19.87 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
50 |
|
0.35 |
% |
0.49 |
% | ||
Total |
$ |
5,253 |
|
36.34 |
% |
35.78 |
% |
LargeCap
Value | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
22,949 |
|
9.79 |
% |
17.84 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
3,408 |
|
1.45 |
% |
2.22 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
2,927 |
|
1.25 |
% |
2.02 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
14,923 |
|
6.37 |
% |
3.46 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
5,475 |
|
2.34 |
% |
2.08 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
8,625 |
|
3.68 |
% |
5.13 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
774 |
|
0.33 |
% |
0.22 |
% | ||
Total |
$ |
59,081 |
|
25.21 |
% |
32.97 |
% | ||
MidCap | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
26,870 |
|
14.99 |
% |
22.97 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
10,578 |
|
5.90 |
% |
4.93 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
3,358 |
|
1.87 |
% |
1.37 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
3,519 |
|
1.96 |
% |
1.27 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
3,676 |
|
2.05 |
% |
1.39 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
4,179 |
|
2.33 |
% |
2.35 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
4,273 |
|
2.38 |
% |
1.92 |
% | ||
Total |
$ |
56,453 |
|
31.48 |
% |
36.20 |
% | ||
Principal
Capital Appreciation | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
384 |
|
7.71 |
% |
12.02 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
25 |
|
0.51 |
% |
0.05 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
49 |
|
0.99 |
% |
1.69 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
120 |
|
2.42 |
% |
1.79 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
18 |
|
0.37 |
% |
0.63 |
% | ||
Total |
$ |
596 |
|
12.00 |
% |
16.18 |
% | ||
Real Estate
Securities | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
2,725 |
|
5.52 |
% |
5.15 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,478 |
|
5.02 |
% |
7.70 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
1,528 |
|
3.09 |
% |
1.91 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
885 |
|
1.79 |
% |
2.22 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
2,056 |
|
4.16 |
% |
2.55 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
123 |
|
0.25 |
% |
0.59 |
% | ||
Total |
$ |
9,795 |
|
19.83 |
% |
20.12 |
% | ||
SmallCap | |||||||||
Goldman Sachs Asset Management,
L.P. |
BIDS Trading
L.P. |
$ |
38 |
|
0.03 |
% |
0.01 |
% | |
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
2,481 |
|
2.25 |
% |
2.94 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
9,325 |
|
8.47 |
% |
9.15 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
7,543 |
|
6.85 |
% |
6.90 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
4,757 |
|
4.32 |
% |
3.57 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
1,982 |
|
1.80 |
% |
3.73 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
392 |
|
0.36 |
% |
0.90 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
38 |
|
0.03 |
% |
0.03 |
% | ||
Total |
$ |
26,556 |
|
24.11 |
% |
27.23 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2013 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||||||||
Balanced | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
5,094 |
|
9.85 |
% |
12.87 |
% | ||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,597 |
|
3.09 |
% |
3.49 |
% | |||||||||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
95 |
|
0.18 |
% |
0.50 |
% | |||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
828 |
|
1.60 |
% |
1.75 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
1,633 |
|
3.16 |
% |
3.18 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
2,383 |
|
4.61 |
% |
5.37 |
% | |||||||||
Total |
$ |
11,630 |
|
22.49 |
% |
27.16 |
% | |||||||||
Diversified
International | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
1,211 |
|
0.11 |
% |
0.19 |
% | ||||||||
American Century Investment
Management , Inc. |
CIBC World Markets
Corp. |
1,991 |
|
0.18 |
% |
0.50 |
% | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
79,765 |
|
7.36 |
% |
6.98 |
% | |||||||||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
92 |
|
0.01 |
% |
0.02 |
% | |||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
63,227 |
|
5.83 |
% |
5.45 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
109,235 |
|
10.07 |
% |
11.04 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
3,186 |
|
0.29 |
% |
0.35 |
% | |||||||||
Total |
$ |
258,707 |
|
23.85 |
% |
24.53 |
% | |||||||||
Equity
Income | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
68,097 |
|
27.66 |
% |
27.27 |
% | ||||||||
American Century Investment
Management , Inc. |
CIBC World Markets
Corp. |
897 |
|
0.36 |
% |
0.17 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
8,762 |
|
3.56 |
% |
2.10 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
15,583 |
|
6.33 |
% |
6.12 |
% | |||||||||
Total |
$ |
93,339 |
|
37.91 |
% |
35.66 |
% | |||||||||
International
Emerging Markets | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
1,118 |
|
0.17 |
% |
0.48 |
% | ||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
50,638 |
|
7.90 |
% |
10.34 |
% | |||||||||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
103 |
|
0.02 |
% |
0.06 |
% | |||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
42,208 |
|
6.59 |
% |
5.66 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
50,327 |
|
7.85 |
% |
8.18 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,059 |
|
0.17 |
% |
0.16 |
% | |||||||||
Total |
$ |
145,453 |
|
22.70 |
% |
24.88 |
% | |||||||||
LargeCap
Growth | ||||||||||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
2,581 |
|
1.40 |
% |
1.98 |
% | ||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
486 |
|
0.26 |
% |
0.57 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
8,964 |
|
4.85 |
% |
6.53 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
136 |
|
0.07 |
% |
0.18 |
% | |||||||||
Total |
$ |
12,167 |
|
6.58 |
% |
9.26 |
% | |||||||||
LargeCap
Growth I | ||||||||||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
24 |
|
0.04 |
% |
0.03 |
% | ||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
3,175 |
|
4.64 |
% |
4.39 |
% | |||||||||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,169 |
|
6.09 |
% |
4.84 |
% | |||||||||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
47 |
|
0.07 |
% |
0.03 |
% | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
6,534 |
|
9.54 |
% |
7.23 |
% | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
2,349 |
|
3.43 |
% |
3.53 |
% | |||||||||
Total |
$ |
16,298 |
|
23.81 |
% |
20.05 |
% | |||||||||
LargeCap
S&P 500 Index | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
243 |
|
0.37 |
% |
0.60 |
% | |
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,928 |
|
7.51 |
% |
6.78 |
% | ||
Total |
$ |
5,171 |
|
7.88 |
% |
7.38 |
% | ||
LargeCap
S&P 500 Managed Volatility Index | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
36 |
|
3.86 |
% |
6.17 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
845 |
|
90.67 |
% |
86.44 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
9 |
|
0.97 |
% |
1.59 |
% | ||
Total |
$ |
890 |
|
95.50 |
% |
94.20 |
% | ||
LargeCap
Value | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
32,012 |
|
7.96 |
% |
11.52 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
19,004 |
|
4.73 |
% |
6.02 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
1,208 |
|
0.30 |
% |
1.00 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
13,470 |
|
3.35 |
% |
4.64 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
10,336 |
|
2.57 |
% |
3.76 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
13,393 |
|
3.33 |
% |
5.13 |
% | ||
Total |
$ |
89,423 |
|
22.24 |
% |
32.07 |
% | ||
MidCap | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
10,416 |
|
6.84 |
% |
10.24 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
7,901 |
|
5.19 |
% |
3.36 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
543 |
|
0.36 |
% |
1.01 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
3,386 |
|
2.22 |
% |
4.66 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
416 |
|
0.27 |
% |
0.34 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
3,109 |
|
2.04 |
% |
2.15 |
% | ||
Total |
$ |
25,771 |
|
16.92 |
% |
21.76 |
% | ||
Principal
Capital Appreciation | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
664 |
|
4.15 |
% |
6.47 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
8 |
|
0.05 |
% |
0.07 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
304 |
|
1.90 |
% |
2.67 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
559 |
|
3.49 |
% |
5.89 |
% | ||
Total |
$ |
1,535 |
|
9.59 |
% |
15.10 |
% | ||
Real Estate
Securities | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
8,118 |
|
17.33 |
% |
21.78 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
868 |
|
1.85 |
% |
2.28 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
56 |
|
0.12 |
% |
0.20 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
1,862 |
|
3.97 |
% |
7.98 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
661 |
|
1.41 |
% |
1.45 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
804 |
|
1.72 |
% |
1.58 |
% | ||
Total |
$ |
12,369 |
|
26.40 |
% |
35.27 |
% | ||
SmallCap | |||||||||
Mellon Capital Management
Corporation |
ConvergEx Execution Solutions,
LLC |
$ |
3,591 |
|
2.76 |
% |
4.41 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
5,809 |
|
4.46 |
% |
4.81 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
77 |
|
0.06 |
% |
0.19 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
5,949 |
|
4.57 |
% |
5.83 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
LLC |
7,241 |
|
5.56 |
% |
4.16 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
300 |
|
0.23 |
% |
0.43 |
% | ||
Total |
$ |
22,967 |
|
17.64 |
% |
19.83 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2012 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
Balanced | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
5,609 |
|
9.55 |
% |
13.77 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,750 |
|
4.68 |
% |
6.51 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
1 |
|
0.00 |
% |
0.01 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
603 |
|
1.03 |
% |
0.39 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
1,832 |
|
3.12 |
% |
2.95 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
458 |
|
0.78 |
% |
0.93 |
% | ||
Total |
$ |
11,253 |
|
19.16 |
% |
24.56 |
% | ||
Diversified
International | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
4,003 |
|
0.42 |
% |
0.59 |
% | |
American Century Investment
Management , Inc. |
CIBC World Markets
Corp. |
10,631 |
|
0.01 |
% |
0.01 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
101,577 |
|
10.72 |
% |
10.43 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
59,286 |
|
6.26 |
% |
4.37 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
70,401 |
|
7.43 |
% |
8.35 |
% | ||
Mellon Capital Management
Corporation |
Pershing, LLC |
88 |
|
0.01 |
% |
0.01 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
3,554 |
|
0.38 |
% |
0.69 |
% | ||
Total |
$ |
249,540 |
|
25.23 |
% |
24.45 |
% | ||
Equity
Income | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
113,264 |
|
36.46 |
% |
34.98 |
% | |
American Century Investment
Management , Inc. |
CIBC World Markets
Corp. |
1,636 |
|
0.53 |
% |
0.40 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
354 |
|
0.11 |
% |
0.23 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
9,836 |
|
3.17 |
% |
2.42 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
28,495 |
|
9.17 |
% |
7.34 |
% | ||
Total |
$ |
153,585 |
|
49.44 |
% |
45.37 |
% | ||
International
Emerging Markets | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
543 |
|
0.09 |
% |
0.28 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
50,184 |
|
8.30 |
% |
8.24 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
45,895 |
|
7.59 |
% |
6.44 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
43,260 |
|
7.16 |
% |
7.28 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,236 |
|
0.20 |
% |
0.20 |
% | ||
Total |
$ |
141,118 |
|
23.34 |
% |
22.44 |
% | ||
LargeCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
5,705 |
|
2.26 |
% |
2.46 |
% | |
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,127 |
|
1.63 |
% |
2.37 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
30,613 |
|
12.11 |
% |
15.87 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,598 |
|
0.63 |
% |
0.16 |
% | ||
Total |
$ |
42,043 |
|
16.63 |
% |
20.86 |
% | ||
LargeCap
Growth I | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
3,334 |
|
4.09 |
% |
10.49 |
% | |
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
8,264 |
|
10.14 |
% |
6.31 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
24 |
|
0.03 |
% |
0.15 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
6,433 |
|
7.89 |
% |
7.95 |
% | ||
Herndon Capital
Management |
Jackson
Securities |
30 |
|
0.04 |
% |
0.05 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,742 |
|
2.14 |
% |
1.81 |
% | ||
Total |
$ |
19,827 |
|
24.33 |
% |
26.76 |
% | ||
LargeCap
S&P 500 Index | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
8,169 |
|
15.50 |
% |
15.92 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
101 |
|
0.19 |
% |
0.03 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,960 |
|
9.41 |
% |
9.75 |
% | ||
Total |
$ |
13,230 |
|
25.10 |
% |
25.70 |
% |
LargeCap
Value | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
52,316 |
|
12.51 |
% |
17.61 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
16,722 |
|
4.00 |
% |
5.84 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
29 |
|
0.01 |
% |
0.05 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
877 |
|
0.21 |
% |
0.30 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
17,219 |
|
4.12 |
% |
5.24 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
13,406 |
|
3.21 |
% |
4.27 |
% | ||
Total |
$ |
100,569 |
|
24.06 |
% |
33.31 |
% | ||
MidCap | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
22,727 |
|
9.27 |
% |
16.54 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
6,992 |
|
2.85 |
% |
2.32 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
216 |
|
0.09 |
% |
0.17 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
605 |
|
0.25 |
% |
0.71 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
8,304 |
|
3.39 |
% |
4.61 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
4,758 |
|
1.94 |
% |
2.09 |
% | ||
Total |
$ |
43,602 |
|
17.79 |
% |
26.44 |
% | ||
Principal
Capital Appreciation | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
976 |
|
3.92 |
% |
5.68 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
151 |
|
0.61 |
% |
1.01 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
388 |
|
1.56 |
% |
1.90 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,235 |
|
4.97 |
% |
8.07 |
% | ||
Total |
$ |
2,750 |
|
11.06 |
% |
16.66 |
% | ||
Real Estate
Securities | |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
21,378 |
|
15.72 |
% |
21.97 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,730 |
|
2.01 |
% |
3.13 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
38 |
|
0.03 |
% |
0.04 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
147 |
|
0.11 |
% |
0.35 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
5,546 |
|
4.08 |
% |
4.86 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
4,265 |
|
3.14 |
% |
4.56 |
% | ||
Total |
$ |
34,104 |
|
25.09 |
% |
34.91 |
% | ||
SmallCap
| |||||||||
Mellon Capital Management
Corporation |
BNY ConvergEx Execution
Solutions, LLC |
$ |
7,112 |
|
4.51 |
% |
8.03 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
4,901 |
|
3.11 |
% |
2.90 |
% | ||
Pyramis Global Advisors,
LLC |
Fidelity Brokerage Services
LLC |
80 |
|
0.05 |
% |
0.09 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
8,041 |
|
5.10 |
% |
4.24 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities,
Inc. |
3,406 |
|
2.16 |
% |
1.68 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.
LLC |
1,147 |
|
0.73 |
% |
0.88 |
% | ||
Total |
$ |
24,687 |
|
15.66 |
% |
17.82 |
% |
Holdings of
Securities of Principal Variable Contracts Funds, Inc. Regular Brokers and
Dealers | ||||
Account |
Broker or
Dealer |
Holdings
(in
thousands) | ||
Balanced |
Bank of America
Corp |
530 |
|
|
Citigroup Inc |
135 |
|
||
Goldman Sachs Group
Inc/The |
651 |
|
||
UBS AG |
72 |
|
||
Core Plus Bond |
Bank of America
Corp |
3,428 |
|
|
Citigroup Inc |
1,120 |
|
||
Deutsche Bank
AG |
192 |
|
||
Goldman Sachs Group
Inc/The |
2,416 |
|
||
UBS AG |
2,083 |
|
||
Bond Market Index
|
Bank of America
Corp |
11,082 |
|
|
Bank of New York Mellon
Corp/The |
893 |
|
||
Citigroup Inc |
9,700 |
|
||
Deutsche Bank
AG |
881 |
|
||
Goldman Sachs Group
Inc/The |
178,764 |
|
||
UBS AG |
2,979 |
|
||
Government & High Quality
Bond |
Citigroup Inc |
3,772 |
|
|
Income |
Bank of America
Corp |
3,010 |
|
|
Citigroup Inc |
3,169 |
|
||
Goldman Sachs Group
Inc/The |
2,754 |
|
||
LargeCap Growth
I |
Goldman Sachs Group
Inc/The |
1,976 |
|
|
LargeCap S&P 500 Index
|
Bank of America
Corp |
18,633 |
|
|
Bank of New York Mellon
Corp/The |
4,523 |
|
||
Citigroup Inc |
16,235 |
|
||
Goldman Sachs Group
Inc/The |
7,776 |
|
||
LargeCap S&P 500 Managed
Volatility Index |
Bank of America
Corp |
899 |
|
|
Bank of New York Mellon
Corp/The |
218 |
|
||
Citigroup Inc |
784 |
|
||
Goldman Sachs Group
Inc/The |
375 |
|
||
LargeCap Value |
Bank of America
Corp |
4,107 |
|
|
Goldman Sachs Group
Inc/The |
4,453 |
|
||
Money Market |
Bank of America
Corp |
16,200 |
|
|
Citigroup Inc |
2,000 |
|
||
Deutsche Bank
AG |
4,800 |
|
||
Principal Capital Appreciation
|
Goldman Sachs Group
Inc/The |
197 |
|
|
Short-Term Income
|
Bank of America
Corp |
6,360 |
|
|
Bank of New York Mellon
Corp/The |
1,003 |
|
||
Citigroup Inc |
3,739 |
|
||
Deutsche Bank
AG |
35 |
|
||
Goldman Sachs Group
Inc/The |
2,522 |
|
• |
Principal serves as the
investment adviser to the underlying mutual funds in which the funds of funds invest, and PGI
or an affiliated investment adviser may serve as sub-adviser to the mutual
funds in which Principal LifeTime Accounts or other funds of funds may
invest. This raises a potential conflict because Principal’s or an
affiliated company’s profit margin may vary depending upon the underlying
fund in which the funds of funds invest; |
• |
Principal or an affiliated
person may serve as investment adviser to a portion of a Multi-Managed
Account. This raises a potential conflict because Principal’s or an
affiliated investment adviser’s profit margin may vary depending on the
extent to which a Multi-Managed Account’s assets are managed by Principal
or allocated to an affiliated adviser. |
• |
A sub-advisor may determine
that the asset class PVC has hired it to manage (for example, small
capitalization growth stocks) can be managed effectively only by limiting
the amount of money devoted to the purchase of securities in the asset
class. In such a case, a sub-advisor may impose a limit on the amount of
money PVC may place with the sub-advisor for management. When a
sub-advisor for two or more PVC Accounts imposes such a limit, Principal
and/or the sub-advisor may need to determine which Account will be
required to limit its investment in the asset class and the degree to
which the Account will be so limited. Principal and the sub-advisor may
face a conflict of interest in making its
determination. |
• |
Maintains a documented,
systematic methodology for determining into which mutual funds the
Principal LifeTime Accounts and other funds of funds invest that does not
give undue consideration to the impact to Principal, PGI, or
affiliates. |
• |
Maintains a documented,
systematic methodology for determining the portions of a Multi-Managed
Account to be allocated to a sub-adviser that does not give undue
consideration to the impact to Principal or its
affiliates; |
• |
Reminds its investment
personnel who provide services to the Principal LifeTime Accounts, other
funds of funds, or Multi-Managed Accounts of Principal’s inherent
conflicts of interest, and Principal’s duties of loyalty and care as a
fiduciary, and obtains a quarterly written affirmation from each portfolio
manager that he/she has employed the applicable methodology in good faith
in making investment decisions during the preceding quarter;
and |
• |
Principal’s Investment
Oversight and Risk Committee monitors the services provided to the
Principal LifeTime Accounts, other funds of funds, and Multi-Managed
Accounts to ensure such services conform to the applicable investment
methodology, that undue consideration is not given to Principal or its
affiliates, and that such services reflect Principal’s duties of loyalty
and care as a fiduciary. |
• |
taking the current market
value of the total assets of the Account |
• |
subtracting liabilities of the
Account |
• |
dividing the remainder
proportionately into the classes of the
Account |
• |
subtracting the liability of
each class |
• |
dividing the remainder by the
total number of shares owned in that
class. |
1) |
Daily to the Fund's portfolio
pricing services, Interactive Data Corporation, J.J. Kenny, Standard &
Poor’s Securities Evaluations, Inc., Markit Partners, and J.P. Morgan
PricingDirect, Inc. to obtain prices for portfolio
securities; |
2) |
Upon proper request to
government regulatory agencies or to self-regulatory
organizations; |
3) |
As needed to Ernst & Young
LLP, the independent registered public accounting firm, in connection with
the performance of the services provided by Ernst & Young LLP to the
Fund; |
4) |
To the sub-advisers' proxy
service providers (Automatic Data Processing, Glass Lewis & Co., and
Institutional Shareholder Services (ISS)) to facilitate voting of proxies;
and |
5) |
To the Fund's custodian and
tax service provider, The Bank of New York Mellon, in connection with the
tax and custodial services it provides to the
Fund. |
Abel Noser |
Infinit
Outsourcing |
Advent |
Investment Company Institute
(ICI) |
Advent Custodial Data
(ACD) |
Iron
Mountain |
Barclays |
ITG |
Barra |
JPMorgan Worldwide Securities
Services |
Black Mountain
Systems |
LexisNexis |
Bloomberg |
Lipper |
BNY/Mellon Analytical Solutions
|
Logan Circle
Partners |
Broadridge Financial Solutions,
Inc. |
Mathias &
Carr |
Brown Brothers
Harriman |
Market WSO
Services |
Charles River
Development |
Misys International Banking
Systems, Inc. |
Charles River Systems,
Inc. |
Morningstar,
Inc. |
Citigroup Global Transaction
Services |
Omgeo LLC |
Compliance
Science |
Principal Global Investors,
LLC |
Confidential
Shredding |
RR Donnelley and
Sons |
Confluence
Technologies |
Russell Implementation
Services |
Cortland Capital Market
Services LLC |
Security APL |
Credit Suisse |
SEI Global Services,
Inc. |
Diversified Information
Technologies, Inc. |
State Street Bank &
Trust |
Eagle Investment Systems
Corp. |
State Street Investment
Management Solutions |
Electra Information
Systems |
SunGard Investment Management
Systems |
Electra Securities &
Reconciliation System |
SunGard Personal Trading
System |
Eze Castle Software
LLC |
SunGard/Protogent
PTA |
FactSet Research Systems
Inc. |
Syntel Inc. |
Financial Recovery Technologies
(FRT) |
TriOptima |
Financial Tracking Technologies
LLC |
Wilshire |
Global Link -
GTSS |
Wolters
Kluwer |
Global Trading
Analytics |
Yield Book |
INDATA |
Zeno Consulting
Group |
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
BALANCED |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST VUL II |
Iowa |
Principal Financial
Group |
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
BOND & MORTGAGE
|
74.10% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
SECURITIES |
VARIABLE UNIVERSAL LIFE INCOME
II |
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
BOND MARKET INDEX
|
58.44% |
DIVERSIFIED GROWTH ACCOUNT
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
BOND MARKET INDEX
|
27.88% |
DIVERSIFIED BALANCED ACCOUNT
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED
BALANCED |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS |
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
DIVERSIFIED BALANCED
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MANAGED
VOLATILITY |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY |
|||
MAIL FLOW 750-07A24
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED GROWTH
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS |
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
DIVERSIFIED
GROWTH |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MANAGED
VOLATILITY |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY |
|||
MAIL FLOW 750-07A24
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED INCOME
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS |
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
DIVERSIFIED
INTERNATIONAL |
74.86% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
EQUITY INCOME |
48.92% |
PRINCIPAL NATIONAL LIFE INS CO
|
Iowa |
Principal Financial
Group |
FBO VUL INCOME III
|
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
GOVERNMENT &
HIGH |
56.92% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Maryland |
Principal Financial
Group |
QUALITY BOND |
FREEDOM 2 VARIABLE ANNUNITY
|
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INCOME |
46.82% |
SAM BALANCED PORTFOLIO PVC
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INCOME |
26.52% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INTERNATIONAL
EMERGING |
99.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MARKETS |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY |
|||
ATTN NPIO TRADE DESK
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
LARGECAP GROWTH
|
90.67% |
PRINCIPAL NATIONAL LIFE INS CO
|
Iowa |
Principal Financial
Group |
FBO VUL INCOME III
|
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
LARGECAP GROWTH
I |
99.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
BENE VAR UNIVERSAL LIFE II
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP S&P 500 INDEX
|
70.08% |
DIVERSIFIED GROWTH ACCOUNT
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP S&P
500 |
69.32% |
DIVERSIFIED GROWTH MANAGED
|
Maryland |
Principal Financial
Group |
MANAGED VOLATILITY
INDEX |
VOLATILITY ACCOUNT
|
|||
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP S&P
500 |
30.67% |
DIVERSIFIED BALANCED MANAGED
|
Maryland |
Principal Financial
Group |
MANAGED VOLATILITY
INDEX |
VOLATILITY ACCOUNT
|
|||
ATTN MUTUAL FUND ACCOUNTING
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP VALUE |
99.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
MIDCAP |
83.19% |
PRINCIPAL LIFE INSURANCE CO
CUST BVUL |
Iowa |
Principal Financial
Group |
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
MONEY MARKET |
98.98% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL
CAPITAL |
83.34% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
APPRECIATION |
FREEDOM 2 VARIABLE ANNUNITY
|
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL
LIFETIME |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
STRATEGIC
INCOME |
VARIABLE UNIVERSAL LIFE INCOME
II |
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2010 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2020 |
99.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2030 |
99.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2040 |
99.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2050 |
99.95% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY |
||||
ATTN NPIO TRADE DESK
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2060 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VARIABLE UNIVERSAL LIFE INCOME
II |
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
REAL ESTATE
SECURITIES |
99.52% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY |
||||
MAIL FLOW 750-07A24
|
||||
711 HIGH STREET G-012-S41
|
||||
DES MOINES IA 50392-0001
|
||||
SAM BALANCED |
82.29% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
90.55% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
BALANCED |
FREEDOM 2 VARIABLE ANNUNITY
|
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
54.41% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
GROWTH |
FREEDOM 2 VARIABLE ANNUNITY
|
|||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
26.50% |
FARMERS NEW WORLD LIFE INS CO
|
California |
Farmer's Insurance
Group |
GROWTH |
VARIABLE UNIVERSAL LIFE II
AGENT |
|||
ATTN SEPARATE ACCOUNTS
|
||||
3003 77TH AVE SE
|
||||
MERCER ISLAND WA 98040-2890
|
||||
SAM FLEXIBLE
INCOME |
87.32% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM STRATEGIC
GROWTH |
54.47% |
PRINCIPAL NATIONAL LIFE INS CO
|
Iowa |
Principal Financial
Group |
FBO VUL INCOME III
|
||||
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST G-012-S41
|
||||
DES MOINES IA 50392-9992
|
||||
SAM STRATEGIC
GROWTH |
36.30% |
FARMERS NEW WORLD LIFE INS CO
|
California |
Farmer's Insurance
Group |
3003 77TH AVE SE
|
||||
MERCER ISLAND WA 98040-2890
|
||||
Account
Name |
Percentage
of
Voting
Securities
Owned
of
Each
Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person
is a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
SHORT-TERM INCOME
|
59.82% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SMALLCAP BLEND |
96.41% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
FREEDOM 2 VARIABLE ANNUNITY
|
||||
ATTN IND ACCTNG G-12-S41
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
BALANCED; Class 1
|
60.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BALANCED; Class 1
|
5.82% |
PRINCIPAL LIFE INSURANCE CO
|
SEPARATE ACCOUNT B - PREMIER
| ||
RIS FIN MGMT B&C T-005-W40
| ||
THE PRINCIPAL FINANCIAL GROUP
| ||
DES MOINES IA 50392-0001
| ||
BALANCED; Class 1
|
18.91% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND & MORTGAGE SECURITIES;
Class 1 |
22.26% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
BOND & MORTGAGE SECURITIES;
Class 1 |
6.65% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND & MORTGAGE SECURITIES;
Class 1 |
28.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND & MORTGAGE SECURITIES;
Class 1 |
11.33% |
LIFETIME 2020 ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING-
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND & MORTGAGE SECURITIES;
Class 2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
BOND MARKET INDEX; Class 1
|
58.43% |
DIVERSIFIED GROWTH ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND MARKET INDEX; Class 1
|
27.88% |
DIVERSIFIED BALANCED ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
BOND MARKET INDEX; Class
1 |
6.22% |
DIVERSIFIED INCOME ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED
BALANCED |
81.57% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED
BALANCED |
18.13% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS | |
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-9992
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
DIVERSIFIED BALANCED; Class 2
|
96.91% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED
GROWTH |
87.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED
GROWTH |
11.88% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS | |
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-9992
| ||
DIVERSIFIED GROWTH; Class 2
|
98.78% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INCOME; Class 2
|
95.86% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
24.18% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
9.90% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
8.09% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
DIVERSIFIED INTERNATIONAL;
Class 1 |
12.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
12.88% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
5.41% |
SAM CONS GROWTH PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
11.23% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
||
30.16% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO | |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
||
51.79% |
FARMERS NEW WORLD LIFE INS CO
| |
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPARATE ACCOUNTS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
||
6.81% |
THE U.S. LIFE INS. CO. IN THE
CITY OF N.Y. | |
FS VARIABLE SEPARATE ACCT
| ||
ATTN LEGAL DEPART
| ||
21650 OXNARD ST STE 750
| ||
WOODLAND HILLS CA 91367-4997
| ||
EQUITY INCOME; Class
1 |
9.49% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
EQUITY INCOME; Class 1
|
32.08% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
EQUITY INCOME; Class 1
|
17.47% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
EQUITY INCOME; Class
1 |
6.95% |
SAM CONS GROWTH PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
EQUITY INCOME; Class
1 |
6.17% |
SAM STRATEGIC GROWTH PORTFOLIO
PVC |
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
EQUITY INCOME; Class
1 |
7.84% |
TIAA-CREF LIFE SEPARATE ACCOUNT
|
VA-1 OF TIAA-CREF LIFE INS CO
| ||
8500 ANDREW CARNEGIE BLVD
| ||
MAIL CODE - E3/N6
| ||
CHARLOTTE NC 28262-8500
| ||
EQUITY INCOME; Class 2
|
25.76% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
EQUITY INCOME; Class
2 |
23.06% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
EQUITY INCOME; Class
2 |
39.21% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
EQUITY INCOME; Class 2
|
7.05% |
FARMERS NEW WORLD LIFE INS CO
|
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPARATE ACCOUNTS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
23.45% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
18.34% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
21.67% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
9.10% |
SAM CONS BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
8.11% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 2 |
52.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
GOVERNMENT & HIGH QUALITY
BOND; Class 2 |
45.66% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
INCOME; Class 1 |
47.29% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INCOME; Class 1 |
17.50% |
SAM CONS BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INCOME; Class 1
|
5.59% |
SAM CONS GROWTH PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
INCOME; Class 1
|
26.78% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INCOME; Class 2 |
91.27% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
5.70% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
24.84% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
7.44% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
6.23% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
35.26% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
7.40% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
INTERNATIONAL EMERGING MARKETS;
Class 2 |
31.37% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
ATTN NPIO TRADE DESK
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
INTERNATIONAL EMERGING MARKETS;
Class 2 |
68.62% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
LARGECAP GROWTH I; Class
1 |
35.38% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH I; Class
1 |
25.68% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH I; Class
1 |
8.19% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH I; Class
1 |
7.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH I; Class
1 |
12.90% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH I; Class
2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
LARGECAP GROWTH; Class
1 |
27.50% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
LARGECAP GROWTH; Class
1 |
16.22% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH; Class
1 |
5.98% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH; Class 1
|
10.96% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH; Class 1
|
19.58% |
PRINCIPAL LIFE INSURANCE CO
CUST VUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH; Class
1 |
8.27% |
AMERICAN GENERAL LIFE INSURANCE
CO |
VARIABLE PRODUCTS DEPARTMENT
| ||
ATTN: DEBORAH KERAI
| ||
PO BOX 1591 | ||
HOUSTON TX 77251-1591
| ||
LARGECAP GROWTH; Class
2 |
34.28% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
LARGECAP GROWTH; Class 2
|
43.64% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
LARGECAP GROWTH; Class 2
|
20.32% |
FARMERS NEW WORLD LIFE INS CO
|
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPARATE ACCOUNTS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
LARGECAP S&P 500 INDEX;
Class 1 |
70.08% |
DIVERSIFIED GROWTH ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
LARGECAP S&P 500 INDEX;
Class 1 |
18.20% |
DIVERSIFIED BALANCED ACCOUNT
|
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP S&P 500 INDEX;
Class 2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
LARGECAP S&P 500
MANAGED |
30.76% |
DIVERSIFIED BALANCED MANAGED
|
VOLATILITY INDEX; Class
1 |
VOLATILITY ACCOUNT
| |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP S&P 500
MANAGED |
69.23% |
DIVERSIFIED GROWTH MANAGED
|
VOLATILITY INDEX; Class
1 |
ATTN MUTUAL FUND ACCOUNTING
H221 | |
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP VALUE; Class
1 |
34.09% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP VALUE; Class
1 |
14.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP VALUE; Class
1 |
10.82% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP VALUE; Class
1 |
16.42% |
PRINCIPAL LIFE INSURANCE CO
CUST VUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
LARGECAP VALUE; Class
2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
MIDCAP; Class 1 |
33.13% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MIDCAP; Class 1 |
10.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MIDCAP; Class 1 |
20.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MIDCAP; Class 1 |
8.20% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MIDCAP; Class 2 |
27.21% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
MIDCAP; Class 2 |
56.79% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
MIDCAP; Class 2 |
8.37% |
THE U.S. LIFE INS. CO. IN THE
CITY OF N.Y. |
FS VARIABLE SEPARATE ACCT
| ||
ATTN LEGAL DEPART
| ||
21650 OXNARD ST STE 750
| ||
WOODLAND HLS CA 91367-4997
| ||
MONEY MARKET; Class 1
|
8.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MONEY MARKET; Class 1
|
38.05% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
MONEY MARKET; Class
1 |
7.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MONEY MARKET; Class
1 |
27.01% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
MONEY MARKET; Class
2 |
76.51% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
MONEY MARKET; Class 2
|
22.70% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
22.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
53.15% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
6.32% |
AMERICAN GENERAL LIFE INSURANCE
CO |
VARIABLE PRODUCTS DEPARTMENT
| ||
ATTN: DEBORAH KERAI
| ||
PO BOX 1591 | ||
HOUSTON TX 77251-1591
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
6.85% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
7.59% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
12.59% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
21.05% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
28.69% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
27.34% |
FARMERS NEW WORLD LIFE INS CO
|
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPARATE ACCOUNTS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
PRINCIPAL LIFETIME 2010; Class
1 |
16.37% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2010; Class
1 |
61.45% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2010; Class
1 |
9.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2020; Class
1 |
16.46% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2020; Class
1 |
58.55% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2020; Class
1 |
13.54% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2020; Class
2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
PRINCIPAL LIFETIME 2030; Class
1 |
15.04% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2030; Class
1 |
5.43% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2030; Class
1 |
55.92% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2030; Class
1 |
11.36% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2030; Class
2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
PRINCIPAL LIFETIME 2040; Class
1 |
16.93% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2040; Class
1 |
15.06% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2040; Class
1 |
29.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2040; Class
1 |
20.79% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2040; Class
2 |
100.00% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
PRINCIPAL LIFETIME 2050; Class
1 |
12.70% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
1 |
18.85% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
1 |
||
34.93% |
PRINCIPAL LIFE INSURANCE CO
CUST | |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
1 |
||
6.80% |
PRINCIPAL LIFE INSURANCE CO
CUST VUL II | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
1 |
12.67% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2050; Class
1 |
5.11% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VARIABLE UNIVERSAL LIFE INCOME
II | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
2 |
69.16% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
ATTN NPIO TRADE DESK
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2050; Class
2 |
30.83% |
PRINCIPAL MANAGEMENT
CORPORATION |
PRINCIPAL FINANCIAL GROUP
| ||
ATTN: SUBSIDIARY ACCOUNT
N002-E020 | ||
711 HIGH ST | ||
DES MOINES IA 50392-9992
| ||
PRINCIPAL LIFETIME 2060; Class
1 |
47.81% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2060; Class
1 |
15.52% |
PRINCIPAL NATIONAL LIFE INS CO
|
FBO VUL INCOME III
| ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST G-012-S41
| ||
DES MOINES IA 50392-9992
| ||
PRINCIPAL LIFETIME 2060; Class
1 |
22.25% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME 2060; Class
1 |
8.80% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VARIABLE UNIVERSAL LIFE INCOME
II | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME
STRATEGIC |
12.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
FLEX VARIABLE ANNUITY
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME
STRATEGIC |
17.73% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
INCOME; Class 1 |
ATTN IND ACCTNG G-12-S41
| |
711 HIGH ST | ||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME
STRATEGIC |
54.14% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
PRINCIPAL LIFETIME
STRATEGIC |
5.22% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
EXEC VAR UNIVERSAL LIFE II
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
1 |
6.70% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
1 |
27.68% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
1 |
16.57% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
1 |
24.02% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
1 |
7.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE II
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
REAL ESTATE SECURITIES; Class
2 |
82.18% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
REAL ESTATE SECURITIES; Class
2 |
16.56% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM BALANCED PORTFOLIO; Class
1 |
8.08% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM BALANCED PORTFOLIO; Class
1 |
74.28% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM BALANCED PORTFOLIO; Class
2 |
32.37% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM BALANCED PORTFOLIO; Class
2 |
11.33% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM BALANCED PORTFOLIO; Class
2 |
33.87% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM BALANCED PORTFOLIO; Class
2 |
7.42% |
THE U.S. LIFE INS. CO. IN THE
CITY OF N.Y. |
FS VARIABLE SEPARATE ACCT
| ||
ATTN LEGAL DEPART
| ||
21650 OXNARD ST STE 750
| ||
WOODLAND HLS CA 91367-4997
| ||
SAM BALANCED PORTFOLIO; Class
2 |
10.22% |
FARMERS NEW WORLD LIFE INS CO
|
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
BALANCED |
8.86% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FLEX VARIABLE ANNUITY
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SAM CONSERVATIVE
BALANCED |
70.57% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
BALANCED |
10.93% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
EXEC VAR UNIVERSAL LIFE II
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
BALANCED |
12.11% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
2 |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | |
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
BALANCED |
41.22% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
BALANCED |
6.64% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
BALANCED |
26.91% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPARATE ACCOUNT
| |
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM CONSERVATIVE
BALANCED |
10.12% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
3003 77TH AVE SE
| |
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
GROWTH |
7.51% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FLEX VARIABLE ANNUITY
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
GROWTH |
5.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VUL INCOME | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SAM CONSERVATIVE
GROWTH |
43.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
GROWTH |
9.67% |
AMERICAN GENERAL LIFE INSURANCE
CO |
PORTFOLIO; Class
1 |
VARIABLE PRODUCTS DEPARTMENT
| |
ATTN: DEBORAH KERAI
| ||
PO BOX 1591 | ||
HOUSTON TX 77251-1591
| ||
SAM CONSERVATIVE
GROWTH |
9.43% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
1 |
VARIABLE SEPARATE ACCOUNT
| |
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM CONSERVATIVE
GROWTH |
8.48% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VARIABLE UNIVERSAL LIFE INCOME
II | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM CONSERVATIVE
GROWTH |
26.11% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
GROWTH |
30.47% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM CONSERVATIVE
GROWTH |
18.16% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPARATE ACCOUNT
| |
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM CONSERVATIVE
GROWTH |
16.67% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
3003 77TH AVE SE
| |
MERCER ISLAND WA 98040-2890
| ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 1 |
15.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SAM FLEXIBLE INCOME PORTFOLIO;
Class 1 |
69.42% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
14.68% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
41.43% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
34.24% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM STRATEGIC
GROWTH |
6.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FLEX VARIABLE ANNUITY
| |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM STRATEGIC
GROWTH |
7.25% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VUL INCOME | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM STRATEGIC
GROWTH |
39.96% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
INVESTMENT PLUS VARIABLE
ANNUITY | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM STRATEGIC
GROWTH |
7.86% |
PRINCIPAL NATIONAL LIFE INS CO
|
PORTFOLIO; Class
1 |
FBO VUL INCOME III
| |
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST G-012-S41
| ||
DES MOINES IA 50392-9992
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SAM STRATEGIC
GROWTH |
6.31% |
AMERICAN GENERAL LIFE INSURANCE
CO |
PORTFOLIO; Class
1 |
VARIABLE PRODUCTS DEPARTMENT
| |
ATTN: DEBORAH KERAI
| ||
PO BOX 1591 | ||
HOUSTON TX 77251-1591
| ||
SAM STRATEGIC
GROWTH |
12.35% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VARIABLE UNIVERSAL LIFE INCOME
II | |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SAM STRATEGIC
GROWTH |
20.61% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM STRATEGIC
GROWTH |
42.02% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
ATTN SEGREGATED ASSETS
| |
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM STRATEGIC
GROWTH |
8.65% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPARATE ACCOUNT
| |
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SAM STRATEGIC
GROWTH |
6.79% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
VARIABLE UNIVERSAL LIFE II
AGENT | |
ATTN SEPARATE ACCOUNTS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SAM STRATEGIC
GROWTH |
19.75% |
FARMERS NEW WORLD LIFE INS CO
|
PORTFOLIO; Class
2 |
3003 77TH AVE SE
| |
MERCER ISLAND WA 98040-2890
| ||
SHORT-TERM INCOME; Class
1 |
7.41% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SHORT-TERM INCOME; Class 1
|
39.19% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SHORT-TERM INCOME; Class 1
|
15.55% |
SAM BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SHORT-TERM INCOME; Class 1
|
6.55% |
SAM CONS BALANCED PORTFOLIO PVC
|
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SHORT-TERM INCOME; Class
1 |
8.89% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
ATTN MUTUAL FUND
ACCOUNTING-H221 | ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SHORT-TERM INCOME; Class 2
|
51.89% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
SHORT-TERM INCOME; Class
2 |
45.25% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
| ||
SMALLCAP BLEND; Class
1 |
13.19% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX LIFE
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SMALLCAP BLEND; Class
1 |
31.42% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SMALLCAP BLEND; Class
1 |
7.10% |
PRINCIPAL LIFE INSURANCE CO
CUST EVUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SMALLCAP BLEND; Class
1 |
23.95% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INVESTMENT PLUS VARIABLE
ANNUITY | ||
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
Account and
Class Name |
Percentage
of
Ownership
of an
Account
by Class |
Principal
Holders of Securities
Name and
Address |
SMALLCAP BLEND; Class
1 |
8.83% |
PRINCIPAL LIFE INSURANCE CO
CUST VUL |
ATTN IND ACCTNG G-12-S41
| ||
711 HIGH ST | ||
DES MOINES IA 50392-0001
| ||
SMALLCAP BLEND; Class
2 |
12.61% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY | ||
MAIL FLOW 750-07A24
| ||
711 HIGH STREET G-012-S41
| ||
DES MOINES IA 50392-0001
| ||
SMALLCAP BLEND; Class
2 |
31.66% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SMALLCAP BLEND; Class
2 |
42.70% |
FARMERS NEW WORLD LIFE INS CO
|
ATTN SEGREGATED ASSETS
| ||
3003 77TH AVE SE
| ||
MERCER ISLAND WA 98040-2890
| ||
SMALLCAP BLEND; Class
2 |
8.92% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
1 SUNAMERICA CTR
| ||
LOS ANGELES CA 90067-6100
|
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 W.
Fennessey: Diversified Balanced,
Diversified Balanced Managed Volatility, Diversified Growth, Diversified
Growth Managed Volatility, Diversified Income, LargeCap Growth I,
Principal LifeTime Strategic Income, 2010, 2020, 2030, 2040, 2050, 2060
Accounts |
||||
Registered investment
companies |
36 |
$63.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
37 |
$16.2 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Jeffrey R.
Tyler: Principal LifeTime
Strategic Income, 2010, 2020, 2030, 2040, 2050, and 2060
Accounts |
||||
Registered investment
companies |
23 |
$25.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
35 |
$14.9 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Randy L.
Welch: Diversified Balanced,
Diversified Balanced Managed Volatility, Diversified Growth, Diversified
Growth Managed Volatility, Diversified Income, LargeCap Growth I,
Principal LifeTime Strategic Income, 2010, 2020, 2030, 2040, 2050, 2060
Accounts |
||||
Registered investment
companies |
33 |
$47.5 billion |
0 |
$0 |
Other pooled investment
vehicles |
36 |
$15.8 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
James W.
Fennessey |
Diversified Balanced
|
None |
James W.
Fennessey |
Diversified Balanced Managed
Volatility |
None |
James W.
Fennessey |
Diversified Growth
|
None |
James W.
Fennessey |
Diversified Growth Managed
Volatility |
None |
James W.
Fennessey |
Diversified
Income |
None |
James W.
Fennessey |
LargeCap Growth
I |
None |
James W.
Fennessey |
Principal LifeTime
2010 |
None |
James W.
Fennessey |
Principal LifeTime
2020 |
None |
James W.
Fennessey |
Principal LifeTime
2030 |
None |
James W.
Fennessey |
Principal LifeTime
2040 |
None |
James W.
Fennessey |
Principal LifeTime
2050 |
None |
James W.
Fennessey |
Principal LifeTime
2060 |
None |
James W.
Fennessey |
Principal LifeTime Strategic
Income |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2010 |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2020 |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2030 |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2040 |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2050 |
None |
Jeffrey R.
Tyler |
Principal LifeTime
2060 |
None |
Jeffrey R.
Tyler |
Principal LifeTime Strategic
Income |
None |
Randy L. Welch |
Diversified Balanced
|
None |
Randy L. Welch |
Diversified Balanced Managed
Volatility |
None |
Randy L. Welch |
Diversified Growth
|
None |
Randy L. Welch |
Diversified Growth Managed
Volatility |
None |
Randy L. Welch |
Diversified
Income |
None |
Randy L. Welch |
LargeCap Growth
I |
None |
Randy L. Welch |
Principal LifeTime
2010 |
None |
Randy L. Welch |
Principal LifeTime
2020 |
None |
Randy L. Welch |
Principal LifeTime
2030 |
None |
Randy L. Welch |
Principal LifeTime
2040 |
None |
Randy L. Welch |
Principal LifeTime
2050 |
None |
Randy L. Welch |
Principal LifeTime
2060 |
None |
Randy L. Welch |
Principal LifeTime Strategic
Income |
None |
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 | |
Thomas J.
Bisighini: Large Cap Growth
Account |
||||
Registered investment
companies |
8 |
$5.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$401 million |
0 |
$0 |
Other accounts |
72 |
$5.0 billion |
1 |
$89.0
million |
Anthony
Rizza: Large
Cap Growth Account |
||||
Registered investment
companies |
8 |
$5.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$401 million |
0 |
$0 |
Other accounts |
72 |
$5.0 billion |
1 |
$89.0
million |
a. |
Base Salary. Each member of
the professional staff is paid a fixed base salary, which varies depending
on the experience and responsibilities assigned to that individual. The
firm's goal is to maintain competitive base salaries through an annual
review process, which includes an analysis of industry standards, market
conditions, and salary surveys. |
b. |
Bonus. Each member of the
professional staff is eligible to receive an annual bonus. Targeted bonus
amounts vary among professional staff based on the experience level and
responsibilities. Bonus compensation is based upon the performance of the
investment strategy and the role that person plays in adding to the
overall value added to the portfolio(s). |
c. |
Equity Payments. Professional
staff who are equity partners of CCI receive also quarterly distributions
based upon their equity ownership share and firm profitability.
|
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Thomas J.
Bisighini |
LargeCap Growth |
None |
Anthony Rizza |
LargeCap Growth |
None |
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 | |
Charles D.
Averill: SAM
Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible
Income and SAM Strategic Growth Portfolios |
||||
Registered investment
companies |
6 |
$14.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Daniel R.
Coleman: Equity
Income and Principal Capital Appreciation Accounts |
||||
Registered investment
companies |
3 |
$10.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$128.2 million |
0 |
$0 |
Other accounts |
2 |
$710.3 million |
0 |
$0 |
Jill R.
Cuniff: SAM
Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible
Income and SAM Strategic Growth Portfolios |
||||
Registered investment
companies |
5 |
$13.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
John R.
Friedl: Government
& High Quality Bond, Income and Short-Term Income
Accounts |
||||
Registered investment
companies |
3 |
$7.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$458.1 million |
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 |
$14.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Theodore
Jayne: Principal Capital
Appreciation Account
|
||||
Registered investment
companies |
0 |
$0 |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Ryan P.
McCann: Government
& High Quality Bond, Income, and Short-Term Income
Accounts |
||||
Registered investment
companies |
3 |
$7.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$458.1 million |
0 |
$0 |
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 | |
Scott J.
Peterson: Government & High Quality
Bond, Income, and Short-Term Income Accounts |
||||
Registered investment
companies |
3 |
$7.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$458.1 million |
0 |
$0 |
David W.
Simpson: Equity
Income Account |
||||
Registered investment
companies |
2 |
$7.5 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$128.2 million |
0 |
$0 |
Other accounts |
2 |
$710.3 million |
0 |
$0 |
Gregory L.
Tornga: Government
& High Quality Bond, Income, and Short-Term Income Accounts
|
||||
Registered investment
companies |
3 |
$7.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$458.1 million |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Charles D.
Averill |
SAM Balanced |
None |
Charles D.
Averill |
SAM Conservative
Balanced |
None |
Charles D.
Averill |
SAM Conservative
Growth |
None |
Charles D.
Averill |
SAM Flexible
Income |
None |
Charles D.
Averill |
SAM Strategic
Growth |
None |
Daniel R.
Coleman |
Equity Income |
None |
Daniel R.
Coleman |
Principal Capital
Appreciation |
None |
Jill R. Cuniff |
SAM Balanced |
None |
Jill R. Cuniff |
SAM Conservative
Balanced |
None |
Jill R. Cuniff |
SAM Conservative
Growth |
None |
Jill R. Cuniff |
SAM Flexible
Income |
None |
Jill R. Cuniff |
SAM Strategic
Growth |
None |
John R. Friedl |
Government & High Quality
Bond |
None |
John R. Friedl |
Income Account |
None |
John R. Friedl |
Short-Term Income
|
None |
Todd A.
Jablonski |
SAM Balanced |
None |
Todd A.
Jablonski |
SAM Conservative
Balanced |
None |
Todd A.
Jablonski |
SAM Conservative
Growth |
None |
Todd A.
Jablonski |
SAM Flexible
Income |
None |
Todd A.
Jablonski |
SAM Strategic
Growth |
None |
Theodore Jayne |
Principal Capital
Appreciation |
None |
Ryan P. McCann |
Government & High Quality
Bond |
None |
Ryan P. McCann |
Income Account |
None |
Ryan P. McCann |
Short-Term Income
|
None |
Scott J.
Peterson |
Government & High Quality
Bond |
None |
Scott J.
Peterson |
Income |
None |
Scott J.
Peterson |
Short-Term Income
|
None |
David W.
Simpson |
Equity Income |
None |
Gregory L.
Tornga |
Government & High Quality
Bond |
None |
Gregory L.
Tornga |
Income |
None |
Gregory L.
Tornga |
Short-Term Income
|
None |
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
Benson: Bond Market Index
Account |
||||
Registered investment
companies |
20 |
$ 9.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
45 |
$15.4 billion |
0 |
$0 |
Other accounts |
35 |
$22.2 billion |
0 |
$0 |
David C.
Kwan: Bond Market Index
Account |
||||
Registered investment
companies |
21 |
$ 10.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
44 |
$15.7 billion |
0 |
$0 |
Other accounts |
37 |
$23.7 billion |
0 |
$0 |
Gregg
Lee: Bond Market Index
Account |
||||
Registered investment
companies |
21 |
$ 10.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
44 |
$15.7 billion |
0 |
$0 |
Other accounts |
37 |
$23.7 billion |
0 |
$0 |
Nancy
Rogers: Bond Market Index
Account |
||||
Registered investment
companies |
20 |
$ 9.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
45 |
$15.4 billion |
0 |
$0 |
Other accounts |
35 |
$22.2 billion |
0 |
$0 |
Stephanie
Shu: Bond Market Index
Account |
||||
Registered investment
companies |
20 |
$ 9.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
45 |
$15.4 billion |
0 |
$0 |
Other accounts |
35 |
$22.2 billion |
0 |
$0 |
• |
Motivate and reward superior
investment and business performance |
• |
Motivate and reward continued
growth and profitability |
• |
Attract and retain
high-performing individuals critical to the on-going success of Mellon
Capital |
• |
Create an ownership mentality
for all plan participants |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Paul Benson |
Bond Market
Index |
None |
David C. Kwan |
Bond Market Index
|
None |
Gregg Lee |
Bond Market Index
|
None |
Nancy Rogers |
Bond Market Index
|
None |
Stephanie Shu |
Bond Market Index
|
None |
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
Account |
||||
Registered investment
companies |
1 |
$5.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$2.9 billion |
0 |
$0 |
Other accounts |
4 |
$374.6 million |
1 |
$5.5 million |
Juliet
Cohn: Diversified International
Account |
||||
Registered investment
companies |
1 |
$5.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$2.9 billion |
0 |
$0 |
Other accounts |
4 |
$374.6 million |
1 |
$5.5 million |
Mihail
Dobrinov: International Emerging Markets
Account |
||||
Registered investment
companies |
1 |
$1.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$823.8 million |
0 |
$0 |
Other accounts |
9 |
$1.3 billion |
5 |
$250.3
million |
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 | |
Joel
Fortney: LargeCap Value Account
|
||||
Registered investment
companies |
2 |
$4.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$1.1 billion |
0 |
$0 |
Other accounts |
2 |
$75.0 million |
0 |
$0 |
Christopher
Ibach: LargeCap
Value Account |
||||
Registered investment
companies |
6 |
$5.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
6 |
$1.1 billion |
0 |
$0 |
Other accounts |
4 |
$261.2 million |
0 |
$0 |
Thomas L.
Kruchten: LargeCap S&P 500
Index & LargeCap S&P 500 Managed Volatility Index Accounts
|
||||
Registered investment
companies |
4 |
$7.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$21.9 billion |
0 |
$0 |
Other accounts |
1 |
$204.9 million |
0 |
$0 |
K. William
Nolin: MidCap
Account |
||||
Registered investment
companies |
2 |
$10.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
21 |
$3.2 billion |
0 |
$0 |
Other accounts |
9 |
$231.6 million |
0 |
$0 |
Phil
Nordhus: SmallCap
Account |
||||
Registered investment
companies |
1 |
$526.2 million |
0 |
$0 |
Other pooled investment
vehicles |
6 |
$1.0 billion |
0 |
$0 |
Other accounts |
1 |
$33.8 million |
0 |
$0 |
Brian
Pattinson: SmallCap Account
|
||||
Registered investment
companies |
2 |
$533.3 million |
0 |
$0 |
Other pooled investment
vehicles |
7 |
$1.9 billion |
0 |
$0 |
Other accounts |
5 |
$1.1 billion |
2 |
$191.4
million |
Tom
Rozycki: MidCap
Account |
||||
Registered investment
companies |
2 |
$10.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$2.2 billion |
0 |
$0 |
Other accounts |
9 |
$231.6 million |
0 |
$0 |
Alan Wang:
International
Emerging Markets Account |
||||
Registered investment
companies |
1 |
$1.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$823.8 million |
0 |
$0 |
Other accounts |
6 |
$1.3 billion |
2 |
$236.5
million |
Mohammed
Zaidi: International Emerging Markets
Account |
||||
Registered investment
companies |
1 |
$1.9 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$823.8 million |
0 |
$0 |
Other accounts |
10 |
$1.4 billion |
5 |
$250.3
million |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Paul H.
Blankenhagen |
Diversified International
|
None |
Juliet Cohn |
Diversified International
|
None |
Mihail Dobrinov |
International Emerging Markets
|
None |
Joel Fortney |
LargeCap Value |
None |
Christopher
Ibach |
LargeCap Value |
None |
Thomas L.
Kruchten |
LargeCap S&P 500 Index
|
None |
Thomas L.
Kruchten |
LargeCap S&P 500 Managed
Volatility Index |
None |
K. William
Nolin |
MidCap |
None |
Phil Nordhus |
SmallCap |
None |
Brian Pattinson |
SmallCap |
None |
Tom Rozycki |
MidCap |
None |
Alan Wang |
International Emerging
Markets |
None |
Mohammed Zaidi |
International Emerging
Markets |
None |
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 | |
Bill
Armstrong: Core
Plus Bond Account |
||||
Registered investment
companies |
3 |
$4.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
2 |
$5.0 billion |
0 |
$0 |
Other accounts |
19 |
$5.2 billion |
2 |
$915.8
million |
Tina
Paris: Core
Plus Bond Account* |
||||
Registered investment
companies |
2 |
$91.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$2.7 billion |
0 |
$0 |
Other accounts |
10 |
$3.2 billion |
0 |
$0 |
Tracy
Reeg: Money Market
Account |
||||
Registered investment
companies |
1 |
$1.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$1.6 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Alice
Robertson: Money Market
Account |
||||
Registered investment
companies |
1 |
$1.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$1.6 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Tim Warrick:
Core Plus Bond
Account |
||||
Registered investment
companies |
1 |
$4.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$6.7 billion |
0 |
$0 |
Other accounts |
38 |
$11.6 billion |
2 |
$915.8
million |
*Information as of April 30,
2015 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Bill Armstrong |
Core Plus Bond |
None |
Tina Paris* |
Core Plus Bond |
None |
Tracy Reeg |
Money Market |
None |
Alice Robertson |
Money Market |
None |
Tim Warrick |
Core Plus Bond |
None |
* Information as of April 30,
2015 |
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 | |
Matthew
Annenberg: Balanced, Multi-Asset
Income*, Principal LifeTime 2010, 2020, 2030, 2040, 2050, 2060, and
Strategic Income Accounts |
||||
Registered investment
companies |
13 |
$26.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
6 |
$824.4 million |
0 |
$0 |
Other accounts |
5 |
$1.2 billion |
0 |
$0 |
Scott
Smith: Balanced and Multi-Asset
Income* Accounts |
||||
Registered investment
companies |
1 |
0 |
0 |
$0 |
Other pooled investment
vehicles |
0 |
0 |
0 |
$0 |
Other accounts |
5 |
$1.2 billion |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Matthew
Annenberg |
Balanced |
None |
Matthew
Annenberg |
Multi-Asset
Income* |
None |
Matthew
Annenberg |
Principal LifeTime
2010 |
None |
Matthew
Annenberg |
Principal LifeTime 2020
|
None |
Matthew
Annenberg |
Principal LifeTime 2030
|
None |
Matthew
Annenberg |
Principal LifeTime 2040
|
None |
Matthew
Annenberg |
Principal LifeTime 2050
|
None |
Matthew
Annenberg |
Principal LifeTime 2060
|
None |
Matthew
Annenberg |
Principal LifeTime Strategic
Income |
None |
Scott Smith |
Balanced |
None |
Scott Smith |
Multi-Asset
Income* |
None |
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 Account |
||||
Registered investment
companies |
1 |
$2.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$42.3 million |
0 |
$0 |
Other accounts |
8 |
$412.6 million |
0 |
$0 |
Anthony
Kenkel: Real
Estate Securities Account |
||||
Registered investment
companies |
6 |
$5.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$433.7 million |
0 |
$0 |
Other accounts |
25 |
$2.6 billion |
1 |
$24.7
million |
Kelly D.
Rush: Real Estate
Securities Account |
||||
Registered investment
companies |
5 |
$5.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$433.7 million |
0 |
$0 |
Other accounts |
25 |
$2.5 billion |
1 |
$24.7
million |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Keith Bokota |
Real Estate Securities
|
None |
Anthony Kenkel |
Real Estate
Securities |
None |
Kelly D. Rush |
Real Estate
Securities |
None |
Sub-Advisor: |
Spectrum
Asset Management, Inc. |
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 | |
L. Phillip
Jacoby, IV: LargeCap S&P 500 Managed
Volatility Index Account |
||||
Registered investment
companies |
7 |
$8.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
20 |
$4.1 billion |
0 |
$0 |
Other accounts |
53 |
$5.2 billion |
0 |
$0 |
Manu
Krishnan: LargeCap S&P 500
Managed Volatility Index Account |
||||
Registered investment
companies |
7 |
$8.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
20 |
$4.1 billion |
0 |
$0 |
Other accounts |
53 |
$5.2 billion |
0 |
$0 |
Kevin
Nugent: LargeCap S&P 500
Managed Volatility Index Account |
||||
Registered investment
companies |
0 |
$0 |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$56.0 million |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
• |
Changes in overall firm assets
under management, including those assets in the Fund. (Portfolio managers
are not directly incentivized to increase assets (“AUM”), although they
are indirectly compensated as a result of an increase in AUM)
|
• |
Portfolio performance (on a
pre-tax basis) relative to benchmarks measured annually. (The relevant
benchmark is a custom benchmark composed of 50% Merrill Lynch Preferred
Stock - Fixed Rate Index and 50% Barclays Securities US Tier 1
Index). |
• |
Contribution to client
servicing |
• |
Compliance with firm and/or
regulatory policies and procedures |
• |
Work ethic
|
• |
Seniority and length of
service |
• |
Contribution to overall
functioning of organization |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
L. Phillip Jacoby, IV
|
LargeCap S&P 500 Managed
Volatility Index Account |
None |
Manu Krishnan |
LargeCap S&P 500 Managed
Volatility Index Account |
None |
Kevin Nugent |
LargeCap S&P 500 Managed
Volatility Index Account |
None |
Investment
Adviser or Principal Underwriter/Control Person |
Name of
Officer |
Company |
Office Held
at Company |
Period of
Service on ICI Board as of February 2014 |
ClearBridge Investments,
LLC |
Joseph A.
Sullivan |
Legg Mason,
Inc. |
President and
CEO |
2013-present |
J.P. Morgan Investment
Management, Inc. |
George C.W.
Gatch |
JPMorgan Asset
Management |
CEO, JPMorgan
Funds |
2011-present |
Mellon Capital
Management |
Jonathan Baum |
Bank of New York Mellon /
Dreyfus Corporation |
Chairman and
CEO |
2009-2013 |
PMC and affiliated sub-advisers
identified as members of the Principal Financial Group in “Investment
Advisory and Other Services” |
Ralph C. Eucher |
Principal Financial
Group |
Executive Vice
President |
2004-2012 |
PMC and affiliated sub-advisers
identified as members of the Principal Financial Group in “Investment
Advisory and Other Services” |
Nora M. Everett |
Principal Variable Contracts
Funds, Inc. |
President and
CEO |
2012-present |
T. Rowe Price Associates,
Inc. |
Edward C.
Bernard |
T. Rowe Price Group,
Inc. |
Vice Chairman |
2006-present |
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. |
• |
Likelihood of default -
capacity and willingness of the obligor to meet its financial commitment
on an obligation in accordance with the terms of the
obligation; |
• |
Nature of and provisions of
the obligation; |
• |
Protection afforded by, and
relative position of, the obligation in the event of bankruptcy,
reorganization, or other arrangement under the laws of bankruptcy and
other laws affecting creditor's rights. |
AAA: |
Obligations rated ‘AAA’ have
the highest rating assigned by Standard & Poor's. The obligor’s
capacity to meet its financial commitment on the obligation is extremely
strong. |
AA: |
Obligations rated ‘AA’ differ
from the highest-rated issues only in small degree. The obligor’s capacity
to meet its financial commitment on the obligation is very
strong. |
A: |
Obligations rated ‘A’ have a
strong capacity to meet financial commitment on the obligation although
they are somewhat more susceptible to the adverse effects of changes in
circumstances and economic conditions than obligations in higher-rated
categories. |
BBB: |
Obligations rated ‘BBB’
exhibit adequate protection parameters; however, adverse economic
conditions or changing circumstances are more likely to lead to a weakened
capacity to meet financial commitment on the obligation.
|
BB, B, CCC, |
Obligations rated ‘BB’, ‘B’,
‘CCC’, ‘CC’, and ‘C’ are regarded, on balance, as having
significant |
CC, and C: |
speculative characteristics.
‘BB’ indicates the lowest degree of speculation and ‘C’ the highest degree
of speculation. While such obligations will likely have some quality and
protective characteristics, these may be outweighed by large uncertainties
or major risk exposures to adverse
conditions. |
BB: |
Obligations rated ‘BB’ are
less vulnerable to nonpayment than other speculative issues. However it
faces major ongoing uncertainties or exposure to adverse business,
financial, or economic conditions which could lead to the obligor’s
inadequate capacity to meet its financial commitment on the
obligation. |
B: |
Obligations rated ‘B’ are more
vulnerable to nonpayment than ‘BB’ but the obligor currently has the
capacity to meet its financial commitment on the obligation. Adverse
business, financial, or economic conditions will likely impair this
capacity. |
CCC: |
Obligations rated ‘CCC’ are
currently vulnerable to nonpayment and is dependent upon favorable
business, financial, and economic conditions for the obligor to meet its
financial commitment on the obligation. If adverse business, financial, or
economic conditions occur, the obligor is not likely to have the capacity
to meeting 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 Standard & Poor’s 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 Standard & Poor’s
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. This rating will also be used upon filing for
bankruptcy petition or the taking or 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 Standard & Poor’s does not rate a particular type of
obligation as a matter of policy. |
A-1: |
This is the highest category.
The obligor’s capacity to meet its financial commitment on the obligation
is strong. Within this category, certain obligations are designated with a
plus sign (+). This indicates that the obligor’s capacity to meet its
financial commitment on these obligations is extremely
strong. |
A-2: |
Issues carrying this
designation are somewhat more susceptible to the adverse effects of the
changes in circumstances and economic conditions than obligations in
higher rating categories. However, the obligor’s capacity to meet its
financial commitment on the obligation is
satisfactory. |
A-3: |
Issues carrying this
designation exhibit adequate protection parameters. However, adverse
economic conditions or changing circumstances are more likely to lead to a
weakened capacity of the obligor to meet it financial commitment on the
obligation. |
B: |
Issues rated ‘B’ are regarded
as vulnerable and have significant speculative characteristics. The
obligor has capacity to meet financial commitments; however, it faces
major ongoing uncertainties which could lead to obligor’s inadequate
capacity to meet its financial
obligations. |
C: |
This rating is assigned to
short-term debt obligations that are currently vulnerable to nonpayment
and is dependent upon favorable business, financial, and economic
conditions to meet its financial commitment on the
obligation. |
D: |
This rating indicates that the
issue is either in default or in breach of an imputed promise. For
non-hybrid capital instruments, the ‘D’ rating category is used when
payments on an obligation are not made on the date due, unless Standard
& Poor’s 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. This rating will also be used
upon filing for bankruptcy petition or the taking or 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. |
AAA: |
Highest credit quality. ‘AAA’
ratings denote the lowest expectation of credit risk. They are assigned
only in case of exceptionally strong capacity for payment of financial
commitments. This capacity is highly unlikely to be adversely affected by
foreseeable events. |
AA: |
Very high credit quality. ‘AA’
ratings denote expectations of very low credit risk. They indicate very
strong capacity for timely payment of financial commitments. This capacity
is not significantly vulnerable to foreseeable
events. |
A: |
High credit quality. ‘A’
ratings denote low expectation of credit risk. The capacity for timely
payment of financial commitments is considered strong. This capacity may,
nevertheless, be more vulnerable to adverse business or economic
conditions than is the case for higher
ratings. |
BBB: |
Good credit quality. ‘BBB’
ratings indicate that expectations of credit risk are currently low. The
capacity for payment of financial commitments is considered adequate, but
adverse business or economic conditions are more likely to impair this
capacity. |
BB: |
Speculative. ‘BB’ ratings
indicate an elevated vulnerability to credit risk, particularly in the
event of adverse changes in business or economic conditions over time;
however, business or financial alternatives may be available to allow
financial commitments to be met. |
B: |
Highly speculative. ‘B’
ratings indicate that material credit risk is
present. |
CCC: |
Substantial credit risk. ‘CCC’
ratings indicate that substantial credit risk is
present. |
CC: |
Very high levels of credit
risk. ‘CC’ ratings indicate very high levels of credit
risk. |
C: |
Exceptionally high levels of
credit risk. ‘C’ indicates exceptionally high levels of credit
risk. |
D: |
Default. ‘D’ ratings indicate
an issuer has entered into bankruptcy filings, administration,
receivership, liquidation or which has otherwise ceased
business. |
F1: |
Highest short-term credit
quality. Indicates the strongest intrinsic capacity for timely payment of
financial commitments; may have an added “+” to denote any exceptionally
strong credit feature. |
F2: |
Good short-term credit
quality. Good intrinsic capacity for timely payment of financial
commitments. |
F3: |
Fair short-term credit
quality. The intrinsic capacity for timely payment of financial
commitments is adequate. |
B: |
Speculative short-term credit
quality. Minimal capacity for timely payment of financial commitments,
plus heightened vulnerability to near term adverse changes in financial
and economic conditions. |
C: |
High short-term default risk.
Default is a real possibility. |
RD: |
Restricted default. Indicates
an entity that has defaulted on one or more of its financial commitments,
although it continues to meet other financial obligations. Typically
applicable to entity ratings only. |
D: |
Default. Indicates a
broad-based default event for an entity, or the default of a specific
short-term obligation. |
RR1: |
Outstanding recovery prospects
given default. ‘RR1’ rated securities have characteristics consistent with
securities historically recovering 91%-100% of current principal and
related interest. |
RR2: |
Superior recovery prospects
given default. ‘RR2’ rated securities have characteristics consistent with
securities historically recovering 71%-90% of current principal and
related interest. |
RR3: |
Good recovery prospects given
default. ‘RR3’ rated securities have characteristics consistent with
securities historically recovering 51%-70% of current principal and
related interest. |
RR4: |
Average recovery prospects
given default. ‘RR4’ rated securities have characteristics consistent with
securities historically recovering 31%-50% of current principal and
related interest. |
RR5: |
Below average recovery
prospects given default. ‘RR5’ rated securities have characteristics
consistent with securities historically recovering 11%-30% of current
principal and related interest. |
RR6: |
Poor recovery prospects given
default. ‘RR6’ rated securities have characteristics consistent with
securities historically recovering 0%-10% of current principal and related
interest. |
• |
The requesting Portfolio
Manager must put forth, in writing, the reasons for their decision;
|
• |
The approval of Principal’s
Chief Investment Officer; |
• |
Notification to the Proxy
Voting Coordinator and other appropriate personnel (including PGI
Portfolio Managers whose clients may own the particular security);
|
• |
A determination that the
decision is not influenced by any conflict of interest; and
|
• |
The creation of a written
record reflecting the process. |
• |
Restrictions for share
blocking countries;1
|
• |
Casting a vote on a foreign
security may require that Principal engage a translator;
|
• |
Restrictions on foreigners’
ability to exercise votes; |
• |
Requirements to vote proxies
in person; |
• |
Requirements to provide local
agents with power of attorney to facilitate the voting instructions;
|
• |
Untimely notice of shareholder
meeting; |
• |
Restrictions on the sale of
securities for a period of time in proximity to the shareholder meeting.
|
• |
Client request to review proxy
votes: |
◦ |
Any request, whether written
(including e- mail) or oral, received by any Employee of Principal, must be
promptly reported to the Proxy Voting Coordinator. All written requests
must be retained in the client’s permanent
file. |
◦ |
The Proxy Voting Coordinator
will record the identity of the client, the date of the request, and the
disposition (e.g., provided a written or oral response to client’s
request, referred to third-party, not a proxy voting client, other
dispositions, etc.) in a suitable place. |
◦ |
The Proxy Voting Coordinator
will furnish the information requested to the client within a reasonable
time period (generally within 10 business days). Principal will maintain a
copy of the written record provided in response to client’s written
(including e-mail) or oral request. A copy of the written response should
be attached and maintained with the client’s written request, if
applicable and maintained in the permanent file.
|
◦ |
Clients are permitted to
request the proxy voting record for the 5 year period prior to their
request. |
• |
Proxy statements received
regarding client securities: |
◦ |
Upon inadvertent receipt of a
proxy, Principal will generally forward to ISS for voting, unless the
client has instructed otherwise. |
◦ |
Note: Principal is permitted
to rely on proxy statements filed on the SEC’s EDGAR system instead of
keeping their own copies. |
• |
Proxy voting records:
|
◦ |
Principals’ proxy voting
record is maintained by ISS. The Proxy Voting Coordinator, with the
assistance of the Client Services Department, will periodically ensure
that ISS has complete, accurate, and current records.
|
◦ |
Principal will maintain
documentation to support the decision to vote against ISS recommendation.
|
◦ |
Principal will maintain
documentation or notes or any communications received from third-parties,
other industry analysts, third-party service providers, company’s
management discussions, etc. that were material in the basis for the
decision. |
1. |
Written affirmation that all
proxies voted during the preceding calendar quarter, other than those
specifically identified by the advisor or sub-advisor, were voted in a
manner consistent with the advisor's or sub-advisor's voting policies and
procedures. In order to monitor the potential effect of conflicts of
interest of an advisor or sub-advisor, the advisor or sub-advisor will
identify any proxies the advisor or sub-advisor voted in a manner
inconsistent with its policies and procedures. The advisor or sub-advisor
shall list each vote, explain why the advisor or sub-advisor voted in a
manner contrary to its policies and procedures, state whether the advisor
or sub-advisor’s vote was consistent with the recommendation to the
advisor or sub-advisor of a third party and, if so, identify the third
party; and |
2. |
Written notification of any
changes to the advisor's or sub-advisor's proxy voting policies and
procedures made during the preceding calendar
quarter. |
1. |
Identification of the issuer
of the security; |
2. |
Exchange ticker symbol of the
security; |
3. |
CUSIP number of the
security; |
4. |
The date of the shareholder
meeting; |
5. |
A brief description of the
subject of the vote; |
6. |
Whether the proposal was put
forward by the issuer or a shareholder; |
7. |
Whether and how the vote was
cast; |
8. |
Whether the vote was cast for
or against management of the issuer. |
◦ |
Copies of the proxy voting
procedures and policies, and any amendments
thereto. |
◦ |
A copy of each proxy
statement received by the Firm, provided however that the Firm may rely on
obtaining a copy of proxy statements from the SEC’s EDGAR system for those
proxy statements that are so available. |
◦ |
A record of each vote that
the Firm casts. |
◦ |
A copy of any document the
Firm created that was material to making a decision how to vote proxies,
or that memorializes that decision, including the resolution of any
conflict. |
◦ |
A copy of each written
client request for information on how the Firm voted such client’s
proxies, and a copy of any written response to any (written or oral)
client request for information on how the Firm voted its
proxies. |
1) |
provides clients with a
concise summary of its proxy voting policy, which includes information
describing how clients may obtain a copy of this complete policy and
information regarding how specific proxies related to each respective
investment account are voted. Columbus Circle provides this summary to all
new clients as part of its Form ADV, Part 2 Brochure, which is available
to any clients upon request; |
2) |
applies its proxy voting
policy according to the following voting policies and keeps records of
votes for each client through Institutional Shareholder
Services; |
3) |
keeps records of proxy
voting available for inspection by each client or governmental agencies -
to both determine whether the votes were consistent with policy and to
determine all proxies were voted; |
4) |
monitors such voting for any
potential conflicts of interest and maintains systems to deal with these
issues appropriately; and |
5) |
maintains this written proxy
voting policy, which may be updated and supplemented from time to
time; |
1. |
When voting on ballot items
that are fairly common management sponsored initiatives certain items are
generally, although not always, voted
affirmatively. |
• |
"Normal" elections of
directors |
• |
Approval of
auditors/CPA |
• |
Directors' liability and
indemnification |
• |
General updating/corrective
amendments to charter |
• |
Elimination of cumulative
voting |
• |
Elimination of preemptive
rights |
2. |
When voting items that have
a potential substantive financial or best interest impact, certain items
are generally, although not always, voted
affirmatively: |
• |
Capitalization changes that
eliminate other classes of stock and voting
rights |
• |
Changes in capitalization
authorization for stock splits, stock dividends,
and |
• |
Stock purchase plans with an
exercise price of not less than 85% FMV |
• |
Stock option plans that are
incentive based and not excessive |
• |
Reductions in supermajority
vote requirements |
• |
Adoption of antigreenmail
provisions |
3. |
When voting items which have
a potential substantive financial or best interest impact, certain items
are generally not voted in support of the proposed management sponsored
initiative: |
• |
Capitalization changes that
add classes of stock that are blank check
in |
• |
Changes in capitalization
authorization where management does not offer
an |
• |
Anti-takeover and related
provisions which serve to prevent the majority
of |
• |
Amendments to bylaws that
would require super-majority shareholder
votes |
• |
Classified or single-slate
boards of directors |
• |
Reincorporation into a state
that has more stringent anti-takeover and related
|
• |
Shareholder rights plans
that allow appropriate offers to shareholders to
be |
• |
Excessive compensation or
non-salary compensation related proposals,
always |
• |
Change-in-control provisions
in non-salary compensation plans,
employment |
• |
Amending articles to relax
quorum requirements for special
resolutions |
• |
Re-election of director(s)
directly responsible for a company’s fraudulent or criminal
act |
• |
Re-election of director(s)
who holds offices of chairman and CEO |
• |
Re-election of director(s)
who serve on audit, compensation and nominating
committees |
• |
Election of directors with
service contracts of three years, which exceed best practice and any
change in control provisions |
• |
Adoption of option
plans/grants to directors or employees of related
companies |
• |
Lengthening internal
auditors’ term in office to four years |
1. |
When voting shareholder
proposals, in general, initiatives related to the following items are
supported: |
• |
Auditors should attend the
annual meeting of shareholders |
• |
Election of the board on an
annual basis |
• |
Equal access to proxy
process |
• |
Submit shareholder rights
plan poison pill to vote or redeem |
• |
Undo various anti-takeover
related provisions |
• |
Reduction or elimination of
super-majority vote requirements |
• |
Anti-greenmail
provisions |
• |
Submit audit firm
ratification to shareholder votes |
• |
Audit firm rotations every
five or more years |
• |
Requirement to expense stock
options |
• |
Establishment of holding
periods limiting executive stock sales |
• |
Report on executive
retirement benefit plans |
• |
Require two-thirds of board
to be independent |
• |
Separation of chairman and
chief executive posts |
2. |
When voting shareholder
proposals, in general, initiatives related to the following items are not
supported: |
• |
Requiring directors to own
large amounts of stock before being eligible to
be |
• |
Restoring cumulative voting
in the election of directors |
• |
Reports which are costly to
provide or which would require duplicative
efforts |
• |
Restrictions related to
social, political or special interest issues which
impact |
• |
Restrictions banning future
stock option grants to executives except in extreme
cases |
3. |
Additional shareholder
proposals require case-by-case analysis |
• |
Prohibition or restriction
of auditors from engaging in non-audit services (auditors will be voted
against if non-audit fees are greater than audit and audit-related fees,
and permitted tax fees combined) |
• |
Requirements that stock
options be performance-based |
• |
Submission of extraordinary
pension benefits for senior executives under a company’s SERP for
shareholder approval |
• |
Shareholder access to
nominate board members |
• |
Requiring offshore companies
to reincorporate into the United States |
III. |
Conflicts
of Interest |
• |
Edge believes it is in the
best interest of its clients to delegate the proxy voting responsibility
to expert third-party proxy voting organization, Institutional Shareholder
Services, Inc. (“ISS”). ISS provides policy guidelines and proxy research
and analysis in addition to proxy voting. Edge may override any ISS
guideline or recommendation that Edge feels is not in the best interest of
the client. |
• |
Edge has elected to follow
the ISS Standard Proxy Voting Guidelines (the “ Guidelines”), which embody
the positions and factors that Edge generally considers important in
casting proxy votes, including, but not limited to, shareholder voting
rights, anti-takeover defenses, board structures, election of directors,
executive and director compensation, reorganizations, mergers and various
shareholder proposals. |
2. |
Conflicts of
Interest |
• |
Votes cast by ISS on Edge’s
behalf consistent with its Guidelines and recommendations are not
considered to create a conflict of interest. If ISS or Edge abstains from
voting a proxy due to a conflict, or if Edge elects to override an ISS
recommendation, it will seek to identify and evaluate whether any
conflicts of interest may exist between the issuer and Edge or its
employees and clients. |
• |
Material conflicts will be
evaluated, and if it’s determined that one exists, Edge will disclose the
conflict to the affected client, and request instruction from the client
as to how the proxy should be voted. |
3. |
New
Accounts |
• |
Edge or its affiliate,
Principal Global Investors, shall provide a proxy authorization letter to
the client’s custodian upon the opening of a new client account. Clients
may also choose to vote proxies themselves or receive individualized
reports or services. |
• |
Edge may refrain from voting
when it believes it is in the client’s best
interests. |
• |
Edge will not reveal or
disclose to any third-party how it may have voted or intends to vote until
such proxies have been counted at a shareholders’ meeting. Edge may in any
event disclose its general policy to follow ISS’s guidelines. No employee
of Edge may accept any remuneration in the solicitation of
proxies. |
• |
Edge will document errors
and the resolution of errors. |
• |
Documentation shall be
maintained for at least five years. Edge will keep records regarding all
client requests to review proxy votes and accompanying responses. Edge may
rely on proxy statements filed on the SEC’s EDGAR system instead of
keeping its own copies. |
• |
Edge’s proxy voting record
will be maintained by ISS. Edge will maintain documentation to support any
decisions to vote against ISS Guidelines or
recommendations. |
• |
Edge generally does not file
class action claims on behalf of its clients and specifically will not act
on behalf of former clients that have terminated their relationship with
Edge. Edge will only file permitted class action claims if that
responsibility in specifically stated in the advisory contract. Edge will
maintain documentation related to any cost-benefit analysis to support
decisions to opt out of any class action settlement. This policy is
disclosed in the firm’s Form ADV filing. |
POLICY: |
As investment advisor, Mellon
Capital Management Corporation (“Mellon Capital') is typically delegated
by clients the responsibility for voting proxies for shares held in their
(i.e. client) account. Clients may decide to adopt Mellon Capital's proxy
voting policy or may use their own policy. In either case, Mellon Capital
will vote and monitor the proxies on behalf of the client and ensure that
the proxies are voted in accordance with the proxy voting
policy. |
MONITORING
OF ISS: |
Mellon Capital's Onboarding
Team has implemented procedures designed to ensure that; (1) the client's
custodian is instructed to send their client's proxy ballots to ISS for
voting; and (2) that ISS is notified that they should begin receiving
proxy ballots. In addition, the Compliance Department monitors ISS'
activities on behalf of Mellon Capital. On a monthly basis, ISS issues a
certification letter that states that all proxies available to vote were
voted and that there were no exceptions (any exceptions will be listed in
the letter). |
VOTING
DISCLOSURE: |
Clients for whom Mellon
Capital votes proxies will receive a summary of Mellon Capital's Proxy
Voting Policy and a full copy of the policy is available upon request.
Furthermore, clients may request a history of proxies voted on their
behalf.
|
RECORDKEEPING: |
ISS maintains proxy voting
records on behalf of Mellon Capital. |
STOCK:
|
It is the policy of Mellon
Capital not to vote or make recommendations on how to vote shares of the
Bank of New York Mellon Corporation stock, even where Mellon Capital has
the legal power to do so under the relevant governing instrument. In order
to avoid any appearance of conflict relating to voting BNY Mellon stock,
Mellon Capital has contracted with an independent fiduciary (Institutional
Shareholder Services) to direct all voting of BNY Mellon Stock held by any
Mellon Capital accounts on any matter in which shareholders of BNY Mellon
Stock are required or permitted to vote. |
1. |
Scope
of Policy -
This Proxy Voting Policy has been adopted by certain of the investment
advisory subsidiaries of The Bank of New York Mellon Corporation (“BNY
Mellon”), the investment companies advised by such subsidiaries (the
“Funds”), and certain of the banking subsidiaries of BNY Mellon (BNY
Mellon's participating investment advisory and banking subsidiaries are
hereinafter referred to individually as a “Subsidiary” and collectively as
the “Subsidiaries”). |
2. |
Fiduciary
Duty - We
recognize that an investment adviser is a fiduciary that owes its clients
a duty of utmost good faith and full and fair disclosure of all material
facts. We further recognize that the right to vote proxies is an asset,
just as the economic investment represented by the shares is an asset. An
investment adviser's duty of loyalty precludes the adviser from
subrogating its clients' interests to its own. Accordingly, in voting
proxies, we will seek to act solely in the best financial and economic
interests of our clients, including the Funds and their shareholders, and
for the exclusive benefit of pension and other employee benefit plan
participants. With regard to voting proxies of foreign companies, a
Subsidiary weighs the cost of voting, and potential inability to sell, the
shares against the benefit of voting the shares to determine whether or
not to vote. |
3. |
Long-Term
Perspective -
We recognize that management of a publicly-held company may need
protection from the market's frequent focus on short-term considerations,
so as to be able to concentrate on such long-term goals as productivity
and development of competitive products and
services. |
4. |
Limited
Role of Shareholders - We believe that a
shareholder's role in the governance of a publicly-held company is
generally limited to monitoring the performance of the company and its
managers and voting on matters which properly come to a shareholder vote.
We will carefully review proposals that would limit shareholder control or
could affect shareholder values. |
5. |
Anti-takeover
Proposals - We
generally will oppose proposals that seem designed to insulate management
unnecessarily from the wishes of a majority of the shareholders and that
would lead to a determination of a company's future by a minority of its
shareholders. We will generally support proposals that seem to have as
their primary purpose providing management with temporary or short-term
insulation from outside influences so as to enable them to bargain
effectively with potential suitors and otherwise achieve identified
long-term goals to the extent such proposals are discrete and not bundled
with other proposals. |
6. |
“Social”
Issues - On
questions of social responsibility where economic performance does not
appear to be an issue, we will attempt to ensure that management
reasonably responds to the social issues. Responsiveness will be measured
by management's efforts to address the particular social issue including,
where appropriate, assessment of the implications of the proposal to the
ongoing operations of the company. We will pay particular attention to
repeat issues where management has failed in the intervening period to
take actions previously committed to. |
7. |
Proxy
Voting Process
- Every voting proposal is reviewed, categorized and analyzed in
accordance with our written guidelines in effect from time to time. Our
guidelines are reviewed periodically and updated as necessary to reflect
new issues and any changes in our policies on specific issues. Items that
can be categorized will be voted in accordance with any applicable
guidelines or referred to the BNY Mellon Proxy Policy Committee (the
“Committee”), if the applicable guidelines so require. Proposals for which
a guideline has not yet been established, for example, new proposals
arising from emerging economic or regulatory issues, will be referred to
the Committee for discussion and vote. Additionally, the Committee may
elect to review any proposal where it has identified a particular issue
for special scrutiny in light of new information. The Committee will also
consider specific interests and issues raised by a Subsidiary to the
Committee, which interests and issues may require that a vote for an
account managed by a Subsidiary be cast differently from the collective
vote in order to act in the best interests of such account's beneficial
owners. |
8. |
Material
Conflicts of Interest - We recognize our duty to
vote proxies in the best interests of our clients. We seek to avoid
material conflicts of interest through the establishment of our Committee
structure, which applies detailed, pre-determined proxy voting guidelines
in an objective and consistent manner across client accounts, based on
internal and external research and recommendations provided by a third
party vendor, and without consideration of any client relationship
factors. Further, we engage a third party as an independent fiduciary to
vote all proxies for BNY Mellon securities and Fund securities, and may
engage an independent fiduciary to vote proxies of other issuers in our
discretion. |
9. |
Securities
Lending - We
seek to balance the economic benefits of engaging in lending securities
against the inability to vote on proxy proposals to determine whether to
recall shares, unless a plan fiduciary retains the right to direct us to
recall shares. |
10. |
Recordkeeping - We will keep, or cause our
agents to keep, the records for each voting proposal required by law.
|
11. |
Disclosure
- We will
furnish a copy of this Proxy Voting Policy and any related procedures, or
a description thereof, to investment advisory clients as required by law.
In addition, we will furnish a copy of this Proxy Voting Policy, any
related procedures, and our voting guidelines to investment advisory
clients upon request. The Funds shall disclose their proxy voting policies
and procedures and their proxy votes as required by law. We recognize that
the applicable trust or account document, the applicable client agreement,
the Employee Retirement Income Security Act of 1974 (ERISA) and certain
laws may require disclosure of other information relating to proxy voting
in certain circumstances. This information will only be disclosed to those
who have an interest in the account for which shares are voted, and after
the shareholder meeting has concluded. |
12. |
Charter - We maintain a Charter
which lists the Committee's responsibilities and duties, membership,
voting and non-voting members, quorum, meeting schedule and oversight
mapping to the BNY Mellon Fiduciary Risk Management
Committee. |
• |
The Advisers do not maintain
a written proxy voting policy as required by Rule
206(4)-6. |
• |
Proxies are not voted in
Clients’ best interests. |
• |
Proxies are not identified
and voted in a timely manner. |
• |
Conflicts between the
Advisers’ interests and the Client are not identified; therefore, proxies
are not voted appropriately. |
• |
The third-party proxy voting
services utilized by the Advisers are not
independent. |
• |
Proxy voting records and
Client requests to review proxy votes are not
maintained. |
1. |
The requesting PM Team to
set forth the reasons for their decision;
|
2. |
The approval of the lead
Portfolio Manager for the requesting PM
Team; |
3. |
Notification to the Proxy
Voting Coordinator and other appropriate personnel (including other
PGI/PrinREI Portfolio Managers who may own the particular security);
|
4. |
A determination that the
decision is not influenced by any conflict of interest;
and |
5. |
The creation of a written
record reflecting the process (See Appendix
XXXI).
|
1
The
Advisers have various Portfolio Manager Teams organized by asset classes
and investment
strategies. |
• |
Restrictions for share
blocking countries;2 |
• |
Casting a vote on a foreign
security may require that the adviser engage a
translator; |
• |
Restrictions on foreigners’
ability to exercise votes; |
• |
Requirements to vote proxies
in person; |
• |
Requirements to provide
local agents with power of attorney to facilitate the voting
instructions; |
• |
Untimely notice of
shareholder meeting; |
• |
Restrictions on the sale of
securities for a period of time in proximity to the shareholder
meeting. |
2
In
certain markets where share blocking occurs, shares must be “frozen” for
trading purposes at the custodian or sub-custodian in order to vote.
During the time that shares are blocked, any pending trades will not
settle. Depending on the market, this period can last from one day to
three weeks. Any sales that must be executed will settle late and
potentially be subject to interest charges or other punitive
fees. |
• |
Any request, whether written
(including e-mail) or oral, received by any Employee of the Advisers, must
be promptly reported to the Proxy Voting Coordinator. All written requests
must be retained in the Client’s permanent
file. |
• |
The Proxy Voting Coordinator
will record the identity of the Client, the date of the request, and the
disposition (e.g., provided a written or oral response to Client’s
request, referred to third party, not a proxy voting client, other
dispositions, etc.) in a suitable place. |
• |
The Proxy Voting Coordinator
will furnish the information requested to the Client within a reasonable
time period (generally within 10 business days). The Advisers will
maintain a copy of the written record provided in response to Client’s
written (including e-mail) or oral request. A copy of the written response
should be attached and maintained with the Client’s written request, if
applicable and maintained in the permanent file.
|
• |
Clients are permitted to
request the proxy voting record for the 5 year period prior to their
request. |
• |
Upon inadvertent receipt of
a proxy, the Advisers will generally forward to ISS for voting, unless the
client has instructed otherwise. |
• |
The Advisers’ proxy voting
record is maintained by ISS. The Advisers’ Proxy Voting Coordinator, with
the assistance of the Investment Accounting and SMA Operations
Departments, will periodically ensure that ISS has complete, accurate, and
current records of Clients who have instructed the Advisers to vote
proxies on their behalf. |
• |
The Advisers will maintain
documentation to support the decision to vote against the ISS
recommendation. |
• |
The Advisers will maintain
documentation or notes or any communications received from third parties,
other industry analysts, third party service providers, company’s
management discussions, etc. that were material in the basis for the
decision. |
Revised 12/2011 ♦ Supersedes
12/2010 |
• |
That Spectrum act solely in
the interest of its clients in providing for ultimate long-term
stockholder value. |
• |
That Spectrum act without
undue influence from individuals or groups who may have an economic
interest in the outcome of a proxy vote. |
• |
That the custodian bank is
aware of our fiduciary duty to vote proxies on behalf of others – Spectrum
relies on the best efforts of the custodian bank to deliver all proxies we
are entitled to vote. |
• |
That Spectrum will exercise
its right to vote all proxies on behalf of its clients (or permit clients
to vote their interest, as the case(s) may
be). |
• |
That Spectrum will implement
a reasonable and sound basis to vote
proxies. |
A. |
Following ISS’
Recommendations |
B. |
Disregarding ISS’
Recommendations |
• |
Business Relationships – The
CCO will consider whether Spectrum (or an affiliate) has a substantial
business relationship with a portfolio company or a proponent of a proxy
proposal relating to the portfolio company (e.g., an employee group), such
that failure to vote in favor of management (or the proponent) could harm
the adviser’s relationship with the company (or proponent). For
example, if Spectrum manages money for the portfolio company or an
employee group, manages pension assets, leases office space from the
company, or provides other material services to the portfolio company, the
CCO will review whether such relationships may give rise to a conflict of
interest. |
• |
Personal Relationships – The
CCO will consider whether any senior executives or portfolio managers (or
similar persons at Spectrum’s affiliates) have a personal relationship
with other proponents of proxy proposals, participants in proxy contests,
corporate directors, or candidates for directorships that might give rise
to a conflict of interest. |
• |
Familial Relationships – The
CCO will consider whether any senior executives or portfolio managers (or
similar persons at Spectrum’s affiliates) have a familial relationship
relating to a portfolio company (e.g., a spouse or other relative who
serves as a director of a portfolio company, is a candidate for such a
position, or is employed by a portfolio company in a senior
position). |
• |
A list of clients that are
also public companies, which is prepared and updated by the Operations
Department and retained in the Compliance
Department. |
• |
Publicly available
information. |
• |
Information generally known
within Spectrum. |
• |
Information actually known
by senior executives or portfolio managers. When considering a proxy
proposal, investment professionals involved in the decision-making process
must disclose any potential material conflict that they are aware of to
the CCO prior to any substantive discussion of a proxy
matter. |
• |
Information obtained
periodically from those persons whom the CCO reasonably believes could be
affected by a conflict arising from a personal or familial relationship
(e.g., portfolio managers, senior
management). |
1. |
Financial Materiality – The
most likely indicator of materiality in most cases will be the dollar
amount involved with the relationship in question. For purposes
of proxy voting, it will be presumed that a conflict is not material
unless it involves at least 5% of Spectrum’s annual revenues or a minimum
dollar amount of $1,000,000. Different percentages or dollar
amounts may be used depending on the nature and degree of the conflict
(e.g., a higher number if the conflict arises through an affiliate rather
than directly with Spectrum). |
2. |
Non-Financial Materiality –
A non-financial conflict of interest might be material (e.g., conflicts
involving personal or familial relationships) and should be evaluated
based on the facts and circumstances of each
case. |
1. |
selection of
auditors |
2. |
increasing the authorized
number of common shares |
3. |
election of unopposed
directors |
1. |
Classification
of Board of Directors. Rather than
electing all directors annually, these provisions stagger a board,
generally into three annual classes, and call for only one-third to be
elected each year. Staggered boards may help to ensure
leadership continuity, but they also serve as defensive
mechanisms. Classifying the board makes it more difficult to
change control of a company through a proxy contest involving election of
directors. In general, we vote on a case by case basis on
proposals for staggered boards, but generally favor annual elections of
all directors. |
2. |
Cumulative
Voting of Directors. Most
corporations provide that shareholders are entitled to cast one vote for
each director for each share owned - the one share, one vote
standard. The process of cumulative voting, on the other hand,
permits shareholders to distribute the total number of votes they have in
any manner they wish when electing directors. Shareholders may
possibly elect a minority representative to a corporate board by this
process, ensuring representation for all sizes of
shareholders. Outside shareholder involvement can encourage
management to maximize share value. We generally support
cumulative voting of directors. |
3. |
Prevention
of Greenmail. These proposals
seek to prevent the practice of “greenmail”, or targeted share repurchases
by management of company stock from individuals or groups seeking control
of the company. Since only the hostile party receives payment,
usually at a substantial premium over the market value of its shares, the
practice discriminates against all other shareholders. By
making greenmail payments, management transfers significant sums of
corporate cash to one entity, most often for the primary purpose of saving
their jobs. Shareholders are left with an asset-depleted and
often less competitive company. We think that if a corporation
offers to buy back its stock, the offer should be made to all
shareholders, not just to a select group or individual. We are
opposed to greenmail and will support greenmail prevention
proposals. |
4. |
Supermajority
Provisions. These corporate
charter amendments generally require that a very high percentage of share
votes (70-81%) be cast affirmatively to approve a merger, unless the board
of directors has approved it in advance. These provisions have
the potential to give management veto power over merging with another
company, even though a majority of shareholders favor the
merger. In most cases we believe requiring supermajority
approval of mergers places too much veto power in the hands of management
and other minority shareholders, at the expense of the majority
shareholders, and we oppose such
provisions. |
5. |
Defensive
Strategies. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
6. |
Business
Combinations or Restructuring. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
7. |
Executive
and Director Compensation. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
Name of individual
contacted: |
| |
Date: |
Yes / No |
| |
Name of individual
contacted: |
| |
Date: |
8. Portfolio Manager
Signature: |
| |
Date: |
| |
Portfolio Manager
Name: |
| |
|
| |
Portfolio Manager
Signature*: |
| |
Date: |
| |
Portfolio Manager
Name: |
|
• |
|