Ticker
Symbols by Share Class | ||||||||||
Fund |
A |
C |
J |
Inst. |
R-1 |
R-2 |
R-3 |
R-4 |
R-5 |
R-6 |
California
Municipal |
SRCMX |
SRCCX |
PCMFX |
|||||||
Core Plus Bond |
PRBDX |
PBMCX |
PBMJX |
PMSIX |
PBOMX |
PBMNX |
PBMMX |
PBMSX |
PBMPX |
|
Diversified
International |
PRWLX |
PDNCX |
PIIJX |
PIIIX |
PDVIX |
PINNX |
PINRX |
PINLX |
PINPX |
|
Equity Income |
PQIAX |
PEUCX |
PEIIX |
PIEMX |
PEINX |
PEIOX |
PEIPX |
PEIQX |
||
Finisterre Unconstrained
Emerging Markets Bond |
PFUEX |
PFUMX |
||||||||
Global Diversified
Income |
PGBAX |
PGDCX |
PGDIX |
PGBLX | ||||||
Global Real Estate
Securities |
POSAX |
POSCX |
POSIX |
PGRKX |
PGRVX |
PGRUX |
PGRSX | |||
Government & High Quality
Bond |
CMPGX |
CCUGX |
PMRJX |
PMRIX |
PMGRX |
PFMRX |
PRCMX |
PMRDX |
PMREX |
|
Government Money Market
|
PGVXX |
|||||||||
High Yield |
CPHYX |
CCHIX |
PHYTX |
PHYFX | ||||||
High Yield I |
PYHAX |
PYHIX |
||||||||
Income |
CMPIX |
CNMCX |
PIOJX |
PIOIX |
PIOMX |
PIONX |
PIOOX |
PIOPX |
PIOQX |
PICNX |
Inflation
Protection |
PITAX |
PPOCX |
PIPJX |
PIPIX |
PISPX |
PBSAX |
PIFPX |
PIFSX |
PBPPX |
|
International Emerging
Markets |
PRIAX |
PMKCX |
PIEJX |
PIEIX |
PIXEX |
PEASX |
PEAPX |
PESSX |
PEPSX |
PIIMX |
International I |
PFAFX |
PINIX |
PPISX |
PSPPX |
PRPPX |
PUPPX |
PTPPX |
PIIDX | ||
LargeCap Growth |
PRGWX |
PLGCX |
PGLJX |
PGLIX |
PLSGX |
PCPPX |
PLGPX |
PEPPX |
PDPPX |
|
LargeCap Growth
I |
PLGAX |
PLGJX |
PLGIX |
PCRSX |
PPUNX |
PPUMX |
PPUSX |
PPUPX |
PLCGX | |
LargeCap S&P 500
Index |
PLSAX |
PLICX |
PSPJX |
PLFIX |
PLPIX |
PLFNX |
PLFMX |
PLFSX |
PLFPX |
|
LargeCap Value |
PCACX |
PLUCX |
PVLJX |
PVLIX |
PLSVX |
PLVNX |
PLVMX |
PLVSX |
PLVPX |
|
LargeCap Value
III |
PLVJX |
PLVIX |
PESAX |
PPSNX |
PPSFX |
PPSSX |
PPSRX |
|||
MidCap |
PEMGX |
PMBCX |
PMBJX |
PCBIX |
PMSBX |
PMBNX |
PMBMX |
PMBSX |
PMBPX |
PMAQX |
MidCap Growth |
PMGJX |
PGWIX |
PMSGX |
PGPPX |
PFPPX |
PIPPX |
PHPPX |
|||
MidCap Growth
III |
PPQJX |
PPIMX |
PHASX |
PPQNX |
PPQMX |
PPQSX |
PPQPX |
|||
MidCap S&P 400
Index |
PMFJX |
MPSIX |
PMSSX |
PMFNX |
PMFMX |
PMFSX |
PMFPX |
PMAPX | ||
MidCap Value I |
PVEJX |
PVMIX |
PLASX |
PABUX |
PMPRX |
PABWX |
PABVX |
|||
MidCap Value
III |
PVCAX |
PMCJX |
PVUIX |
PMSVX |
PKPPX |
PJPPX |
PMPPX |
PLPPX |
PCMIX | |
Money Market |
PCSXX |
PPCXX |
PMJXX |
PVMXX |
||||||
Overseas |
PINZX |
PINQX |
PINSX |
PINTX |
PINUX |
PINGX |
||||
Principal Capital
Appreciation |
CMNWX |
CMNCX |
PWCIX |
PCAMX |
PCANX |
PCAOX |
PCAPX |
PCAQX |
||
Principal LifeTime Strategic
Income |
PALTX |
PLSJX |
PLSIX |
PLAIX |
PLSNX |
PLSMX |
PLSSX |
PLSPX |
||
Principal LifeTime
2010 |
PENAX |
PTAJX |
PTTIX |
PVASX |
PTANX |
PTAMX |
PTASX |
PTAPX |
||
Principal LifeTime
2015 |
LTINX |
LTSGX |
LTASX |
LTAPX |
LTSLX |
LTPFX |
||||
Principal LifeTime
2020 |
PTBAX |
PLFJX |
PLWIX |
PWASX |
PTBNX |
PTBMX |
PTBSX |
PTBPX |
||
Principal LifeTime
2025 |
LTSTX |
LTSNX |
LTADX |
LTVPX |
LTEEX |
LTPDX |
||||
Principal LifeTime
2030 |
PTCAX |
PLTJX |
PMTIX |
PXASX |
PTCNX |
PTCMX |
PTCSX |
PTCPX |
||
Principal LifeTime
2035 |
LTIUX |
LTANX |
LTVIX |
LTAOX |
LTSEX |
LTPEX |
||||
Principal LifeTime
2040 |
PTDAX |
PTDJX |
PTDIX |
PYASX |
PTDNX |
PTDMX |
PTDSX |
PTDPX |
||
Principal LifeTime
2045 |
LTRIX |
LTRGX |
LTRSX |
LTRVX |
LTRLX |
LTRDX |
||||
Principal LifeTime
2050 |
PPEAX |
PFLJX |
PPLIX |
PZASX |
PTENX |
PTERX |
PTESX |
PTEFX |
||
Principal LifeTime
2055 |
LTFIX |
LTFGX |
LTFSX |
LTFDX |
LTFLX |
LTFPX |
||||
Principal LifeTime
2060 |
PLTAX |
PLTZX |
PLTRX |
PLTBX |
PLTCX |
PLTMX |
PLTOX |
|||
Principal LIfeTime
2065 |
PLJIX |
PLJAX |
PLJBX |
PLJCX |
PLJDX |
PLJEX |
||||
Principal LifeTime Hybrid
Income |
PHJFX |
PHTFX |
PLTYX | |||||||
Principal LifeTime Hybrid
2015 |
PHJMX |
PHTMX |
PLRRX | |||||||
Principal LifeTime Hybrid
2020 |
PHJTX |
PHTTX |
PLTTX | |||||||
Principal LifeTime Hybrid
2025 |
PHJQX |
PHTQX |
PLFTX | |||||||
Principal LifeTime Hybrid
2030 |
PHJNX |
PHTNX |
PLZTX | |||||||
Principal LifeTime Hybrid
2035 |
PHJJX |
PHTJX |
PLRTX | |||||||
Principal LifeTime Hybrid
2040 |
PHJEX |
PLTQX |
PLMTX | |||||||
Principal LifeTime Hybrid
2045 |
PHJYX |
PHTYX |
PLNTX | |||||||
Principal LifeTime Hybrid
2050 |
PHJUX |
PHTUX |
PLJTX | |||||||
Principal LifeTime Hybrid
2055 |
PHJBX |
PLTNX |
PLHTX | |||||||
Principal LifeTime Hybrid
2060 |
PHJGX |
PLTHX |
PLKTX | |||||||
Principal LifeTime Hybrid
2065 |
PHJDX |
PLHHX |
PLHRX | |||||||
Real Estate
Securities |
PRRAX |
PRCEX |
PREJX |
PIREX |
PRAEX |
PRENX |
PRERX |
PRETX |
PREPX |
PFRSX |
Ticker
Symbols by Share Class | ||||||||||
Fund |
A |
C |
J |
Inst. |
R-1 |
R-2 |
R-3 |
R-4 |
R-5 |
R-6 |
SAM Balanced |
SABPX |
SCBPX |
PSAJX |
PSBIX |
PSBGX |
PSBVX |
PBAPX |
PSBLX |
PSBFX |
|
SAM Conservative
Balanced |
SAIPX |
SCIPX |
PCBJX |
PCCIX |
PCSSX |
PCNSX |
PCBPX |
PCBLX |
PCBFX |
|
SAM Conservative
Growth |
SAGPX |
SCGPX |
PCGJX |
PCWIX |
PCGGX |
PCGVX |
PCGPX |
PCWSX |
PCWPX |
|
SAM Flexible
Income |
SAUPX |
SCUPX |
PFIJX |
PIFIX |
PFIGX |
PFIVX |
PFIPX |
PFILX |
PFIFX |
|
SAM Strategic
Growth |
SACAX |
SWHCX |
PSWJX |
PSWIX |
PSGGX |
PSGVX |
PSGPX |
PSGLX |
PSGFX |
|
Short-Term
Income |
SRHQX |
STCCX |
PSJIX |
PSHIX |
PSIMX |
PSINX |
PSIOX |
PSIPX |
PSIQX |
|
SmallCap |
PLLAX |
PSMCX |
PSBJX |
PSLIX |
PSABX |
PSBNX |
PSBMX |
PSBSX |
PSBPX |
PSMLX |
SmallCap Growth
I |
PSIJX |
PGRTX |
PNASX |
PPNNX |
PPNMX |
PPNSX |
PPNPX |
PCSMX | ||
SmallCap S&P 600
Index |
PSSJX |
PSSIX |
PSAPX |
PSSNX |
PSSMX |
PSSSX |
PSSPX |
PSPIX | ||
SmallCap Value
II |
PSVAX |
PSMJX |
PPVIX |
PCPTX |
PKARX |
PJARX |
PSTWX |
PLARX |
PSMVX | |
Tax-Exempt Bond |
PTEAX |
PTBCX |
PITEX |
TABLE OF
CONTENTS | |
FUND HISTORY |
|
MULTIPLE CLASS
STRUCTURE |
|
DESCRIPTION OF THE FUNDS’
INVESTMENTS AND RISKS |
|
LEADERSHIP STRUCTURE AND BOARD
OF DIRECTORS |
|
INVESTMENT ADVISORY AND OTHER
SERVICES |
|
INTERMEDIARY
COMPENSATION |
|
BROKERAGE ALLOCATION AND OTHER
PRACTICES |
|
PURCHASE AND REDEMPTION OF
SHARES |
|
GOVERNMENT MONEY MARKET FUND
AND MONEY MARKET FUND MATERIAL EVENTS |
|
PRICING OF FUND
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 – DESCRIPTION OF
BOND RATINGS |
|
APPENDIX B – PRICE MAKE UP
SHEET |
|
APPENDIX C – PROXY VOTING
POLICIES |
Share
Class | ||||||||||
Fund/Portfolio |
A |
C |
J |
Inst. |
R-1 |
R-2 |
R-3 |
R-4 |
R-5 |
R-6 |
California
Municipal |
X |
X |
X |
|||||||
Core Plus Bond |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Diversified
International |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Equity Income |
X |
X |
X |
X |
X |
X |
X |
X |
||
Finisterre Unconstrained
Emerging Markets Bond |
X |
X |
||||||||
Global Diversified
Income |
X |
X |
X |
X | ||||||
Global Real Estate
Securities |
X |
X |
X |
X |
X |
X |
X | |||
Government & High Quality
Bond |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Government Money
Market |
X |
|||||||||
High Yield |
X |
X |
X |
X | ||||||
High Yield I |
X |
X |
||||||||
Income |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
Inflation
Protection |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
International Emerging
Markets |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
International I |
X |
X |
X |
X |
X |
X |
X |
X | ||
LargeCap Growth |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
LargeCap Growth
I |
X |
X |
X |
X |
X |
X |
X |
X |
X | |
LargeCap S&P 500
Index |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
LargeCap Value |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
LargeCap Value
III |
X |
X |
X |
X |
X |
X |
X |
|||
MidCap |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
MidCap Growth |
X |
X |
X |
X |
X |
X |
X |
|||
MidCap Growth
III |
X |
X |
X |
X |
X |
X |
X |
|||
MidCap S&P 400
Index |
X |
X |
X |
X |
X |
X |
X |
X | ||
MidCap Value I |
X |
X |
X |
X |
X |
X |
X |
|||
MidCap Value
III |
X |
X |
X |
X |
X |
X |
X |
X |
X | |
Money Market |
X |
X |
X |
X |
||||||
Overseas |
X |
X |
X |
X |
X |
X |
||||
Principal Capital
Appreciation |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime Strategic
Income |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2010 |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2015 |
X |
X |
X |
X |
X |
X |
||||
Principal LifeTime
2020 |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2025 |
X |
X |
X |
X |
X |
X |
||||
Principal LifeTime
2030 |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2035 |
X |
X |
X |
X |
X |
X |
||||
Principal LifeTime
2040 |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2045 |
X |
X |
X |
X |
X |
X |
||||
Principal LifeTime
2050 |
X |
X |
X |
X |
X |
X |
X |
X |
||
Principal LifeTime
2055 |
X |
X |
X |
X |
X |
X |
||||
Principal LifeTime
2060 |
X |
X |
X |
X |
X |
X |
X |
|||
Principal LifeTime
2065 |
X |
X |
X |
X |
X |
X |
Principal LifeTime Hybrid
Income |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2015 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2020 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2025 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2030 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2035 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2040 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2045 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2050 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2055 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2060 |
X |
X |
X | |||||||
Principal LifeTime Hybrid
2065 |
X |
X |
X | |||||||
Real Estate
Securities |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
SAM Balanced |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM Conservative
Balanced |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM Conservative
Growth |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM Flexible
Income |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
SAM Strategic
Growth |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
Short-Term
Income |
X |
X |
X |
X |
X |
X |
X |
X |
X |
|
SmallCap |
X |
X |
X |
X |
X |
X |
X |
X |
X |
X |
SmallCap Growth
I |
X |
X |
X |
X |
X |
X |
X |
X | ||
SmallCap S&P 600
Index |
X |
X |
X |
X |
X |
X |
X |
X | ||
SmallCap Value
II |
X |
X |
X |
X |
X |
X |
X |
X |
X | |
Tax-Exempt Bond |
X |
X |
X |
• |
redeemed within 90 days after
an account is re-registered due to a shareholder's
death; |
• |
redeemed to pay surrender
fees; |
• |
redeemed to pay retirement
plan fees; |
• |
redeemed involuntarily from
accounts with small balances; |
• |
redeemed due to the
shareholder's disability (as defined by the Internal Revenue Code)
provided the shares were purchased prior to the
disability; |
• |
redeemed from retirement plans
to satisfy minimum distribution rules under the Internal Revenue
Code; |
• |
redeemed from a retirement
plan to assure the plan complies with the Internal Revenue
Code; |
• |
redeemed from retirement plans
qualified under Section 401(a) of the Internal Revenue Code due to the
plan participant's death, disability, retirement, or separation from
service after attaining age 55; |
• |
redeemed from retirement plans
to satisfy excess contribution rules under the Internal Revenue Code;
or |
• |
redeemed using a systematic
withdrawal plan (up to 1% per month (measured cumulatively with respect to
non-monthly plans) of the value of the fund account at the time, and
beginning on the date, the systematic withdrawal plan begins). (The free
withdrawal privilege not used in a calendar year is not added to the free
withdrawal privileges for any following
year.) |
• |
redeemed that were purchased
pursuant to the Small Amount Force Out program (SAFO);
or |
• |
of the Money Market Fund
redeemed within 30 days of the initial purchase if the redemption proceeds
are transferred to another Principal IRA, defined as either a fixed or
variable annuity issued by Principal Life Insurance Company to fund an
IRA, a Principal Bank IRA product, or a WRAP account IRA sponsored by
Principal Securities, Inc. (PSI) |
• |
responding to plan sponsor and
plan member inquiries; |
• |
providing information
regarding plan sponsor and plan member investments;
and |
• |
providing other similar
personal services or services related to the maintenance of shareholder
accounts as contemplated by National Association of Securities Dealers
(NASD) Rule 2830 (or any successor
thereto). |
• |
receiving, aggregating, and
processing purchase, exchange, and redemption requests from plan
shareholders; |
• |
providing plan shareholders
with a service that invests the assets of their accounts in shares
pursuant to pre-authorized instructions submitted by plan
members; |
• |
processing dividend payments
from the Funds on behalf of plan shareholders and changing shareholder
account designations; |
• |
acting as shareholder of
record and nominee for plans; |
• |
maintaining account records
for shareholders and/or other beneficial
owners; |
• |
providing notification to plan
shareholders of transactions affecting their
accounts; |
• |
forwarding prospectuses,
financial reports, tax information and other communications from the Fund
to beneficial owners; |
• |
distributing, receiving,
tabulating and transmitting proxy ballots of plan shareholders;
and |
• |
other similar administrative
services. |
• |
formulation and implementation
of marketing and promotional activities; |
• |
preparation, printing, and
distribution of sales literature; |
• |
preparation, printing, and
distribution of prospectuses and the Fund 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. |
Share
Class |
Maximum
Annualized
12b-1
Fee |
A (except LargeCap S&P 500
Index, Money Market, and Short-Term Income Funds)(1) |
0.25% |
A of LargeCap S&P 500 Index
and Short-Term Income Funds(1) |
0.15% |
C (1) |
1.00% |
J (1) |
0.15% |
R-1 |
0.35% |
R-2 |
0.30% |
R-3 |
0.25% |
R-4 |
0.10% |
(1) The
Distributor also receives the proceeds of any CDSC
imposed. |
Fund |
Distribution/12b-1
Payments
(amounts in
thousands) |
Fund |
Distribution/12b-1
Payments
(amounts in
thousands) | |||||
California
Municipal |
$ |
1,161 |
|
Principal LifeTime Hybrid
Income |
$ |
— |
| |
Core Plus Bond |
656 |
|
Principal LifeTime Hybrid
2015 |
— |
| |||
Diversified
International |
1,123 |
|
Principal LifeTime Hybrid
2020 |
— |
| |||
Equity Income |
4,457 |
|
Principal LifeTime Hybrid
2025 |
— |
| |||
Finisterre Unconstrained
Emerging Bond |
1 |
|
Principal LifeTime Hybrid
2030 |
— |
| |||
Global Diversified
Income |
28,047 |
|
Principal LifeTime Hybrid
2035 |
— |
| |||
Global Real Estate
Securities |
755 |
|
Principal LifeTime Hybrid
2040 |
— |
| |||
Government & High Quality
Bond |
1,558 |
|
Principal LifeTime Hybrid
2045 |
— |
| |||
High Yield |
5,914 |
|
Principal LifeTime Hybrid
2050 |
— |
| |||
High Yield I |
15 |
|
Principal LifeTime Hybrid
2055 |
— |
| |||
Income |
1,607 |
|
Principal LifeTime Hybrid
2060 |
— |
| |||
Inflation
Protection |
105 |
|
Principal LifeTime Hybrid
2065 |
— |
| |||
International Emerging
Markets |
541 |
|
Real Estate
Securities |
1,904 |
| |||
International I |
48 |
|
SAM Balanced |
14,419 |
| |||
LargeCap Growth |
1,151 |
|
SAM Conservative
Balanced |
4,885 |
| |||
LargeCap Growth
I |
672 |
|
SAM Conservative
Growth |
9,865 |
| |||
LargeCap S&P 500
Index |
2,795 |
|
SAM Flexible
Income |
7,730 |
| |||
LargeCap Value |
665 |
|
SAM Strategic
Growth |
6,058 |
| |||
LargeCap Value
III |
169 |
|
Short-Term
Income |
1,618 |
| |||
MidCap |
9,286 |
|
SmallCap |
1,271 |
| |||
MidCap Growth |
133 |
|
SmallCap Growth
I |
156 |
| |||
MidCap Growth
III |
84 |
|
SmallCap S&P 600
Index |
786 |
| |||
MidCap S&P 400
Index |
685 |
|
SmallCap Value
II |
108 |
| |||
MidCap Value I |
205 |
|
Tax-Exempt Bond |
1,001 |
| |||
MidCap Value
III |
278 |
|
||||||
Money Market |
559 |
|
||||||
Overseas |
2 |
|
||||||
Principal Capital
Appreciation |
2,963 |
|
||||||
Principal LifeTime Strategic
Income |
274 |
|
||||||
Principal LifeTime
2010 |
637 |
|
||||||
Principal LifeTime
2015 |
259 |
|
||||||
Principal LifeTime
2020 |
2,696 |
|
||||||
Principal LifeTime
2025 |
633 |
|
||||||
Principal LifeTime
2030 |
3,036 |
|
||||||
Principal LifeTime
2035 |
442 |
|
||||||
Principal LifeTime
2040 |
1,929 |
|
||||||
Principal LifeTime
2045 |
291 |
|
||||||
Principal LifeTime
2050 |
899 |
|
||||||
Principal LifeTime
2055 |
106 |
|
||||||
Principal LifeTime
2060 |
42 |
|
||||||
Principal LifeTime
2065 |
— |
|
||||||
• |
For Classes A and C and
Institutional Class shares, the Fund pays PSS a fee for the services
provided pursuant to the Transfer Agency Agreement in an amount equal to
the costs incurred by PSS for providing such
services. |
• |
For Class J shares, the Fund
pays PSS a fee for the services provided pursuant to the Transfer Agency
Agreement in an amount that includes
profit. |
• |
issuance, transfer,
conversion, cancellation, and registry of ownership of Fund shares, and
maintenance of open account system; |
• |
preparation and distribution
of dividend and capital gain payments to
shareholders; |
• |
delivery, redemption and
repurchase of shares, and remittances to
shareholders; |
• |
the tabulation of proxy
ballots and the preparation and distribution to shareholders of notices,
proxy statements and proxies, reports, confirmation of transactions,
prospectuses and tax information; |
• |
communication with
shareholders concerning the above items;
and |
• |
use of its best efforts to
qualify the Capital Stock of the Fund for sale in states and jurisdictions
as directed by the Fund. |
1) |
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) |
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) |
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 Fund reserves freedom of action to
hold and to sell real estate acquired as a result of the Fund’s ownership
of securities. |
4) |
may not borrow money, 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. |
5) |
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) |
has adopted a policy regarding
diversification, as follows: |
a) |
The Finisterre Unconstrained
Emerging Markets Bond and Real Estate Securities Funds have elected to be
non-diversified. |
b) |
The California Municipal Fund
may not invest more than 5% of its total assets in the securities of any
one issuer (other than obligations issued or guaranteed by the U.S.
government or its agencies or instrumentalities) or purchase more than 10%
of the outstanding voting securities of any one issuer, except that this
limitation shall apply only with respect to 75% of the total assets of the
Fund. |
c) |
All other Funds have 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) |
has adopted a concentration
policy, as follows: |
a) |
The Global Real Estate
Securities and Real Estate Securities Funds will concentrate their
investments in a particular industry or group of industries as described
in the prospectus. |
b) |
The LargeCap S&P 500
Index, MidCap S&P 400 Index, and SmallCap S&P 600 Index Funds will
not concentrate their investments in a particular industry or group of
industries except to the extent that the related Index is also so
concentrated. |
c) |
The remaining Funds 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.
|
8) |
may not act as an underwriter
of securities, except to the extent that the Fund may be deemed to be an
underwriter in connection with the sale of securities held in its
portfolio. |
1) |
Invest more than 15% 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 or
regulatory authority having jurisdiction, from time to time;
however: |
a) |
The Government Money Market
and Money Market Funds may each not invest more than 5% 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 or regulatory
authority having jurisdiction, from time to
time. |
b) |
International Fund I, the
Principal LifeTime Funds, Principal LifeTime Hybrid Funds, and the
Strategic Asset Management (SAM) Portfolios have not adopted this
non-fundamental restriction. |
2) |
Pledge, mortgage, or
hypothecate its assets, except to secure permitted borrowings.
|
a) |
With respect to the Principal
LifeTime Funds, Principal LifeTime Hybrid Funds, and the Strategic Asset
Management (SAM) Portfolios, the deposit of underlying securities and
other assets in escrow and other collateral arrangements in connection
with transactions that involve any future payment obligation, as permitted
under the 1940 Act, as amended, and as interpreted, modified or otherwise
permitted by any regulatory authority having jurisdiction, from time to
time, by the underlying funds are not deemed to be pledges, mortgages,
hypothecations, or other encumbrances. |
b) |
For all other Funds, the
deposit of underlying securities and other assets in escrow and other
collateral arrangements in connection with transactions that involve any
future payment obligation, as permitted under the 1940 Act, as amended,
and as interpreted, modified or otherwise permitted by any regulatory
authority having jurisdiction, from time to time, are not deemed to be
pledges, mortgages, hypothecations, or other encumbrances.
|
c) |
International Fund I has not
adopted this non-fundamental restriction. |
3) |
Invest in companies for the
purpose of exercising control or
management. |
4) |
Invest more than 25% of its
assets in foreign securities; however: |
a) |
The High Yield Fund may not
invest more than 35% of its assets in foreign securities;
|
b) |
The Diversified International,
Finisterre Unconstrained Emerging Markets Bond, Global Diversified Income,
Global Real Estate Securities, International Emerging Markets, Money
Market, and Overseas Funds each may invest up to 100% of its assets in
foreign securities; |
c) |
The LargeCap S&P 500
Index, MidCap S&P 400 Index, and SmallCap S&P 600 Index Funds each
may invest in foreign securities to the extent that the relevant index is
so invested; |
d) |
The California Municipal,
Government & High Quality Bond, Government Money Market and Tax-Exempt
Bond Funds may not invest in foreign securities;
and |
e) |
International Fund I, the
Principal LifeTime Funds, Principal LifeTime Hybrid Funds, and the
Strategic Asset Management (SAM) Portfolios have not adopted this
non-fundamental restriction. |
5) |
Invest more than 5% of its
total assets in real estate limited partnership
interests. |
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 Fund
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) |
may not purchase securities on
margin, except that the Fund may obtain such short-term credits as are
necessary for the clearance of transactions, and provided that margin
payments in connection with futures contracts and options on futures
contracts shall not constitute purchasing securities on
margin. |
2) |
may not purchase any security
if, as a result, more than 15% of its net assets would be invested in
securities that are deemed to be illiquid because they are subject to
legal or contractual restrictions on resale or because they cannot be sold
or disposed of in the ordinary course of business at approximately the
prices at which they are valued. |
• |
foreign currency investments,
each Fund will count forward foreign currency contracts and other
investments that have economic characteristics similar to foreign
currency; the value of such contracts and investments will include the
Fund’s investments in cash and/or cash equivalents to the extent such
instruments are used to cover the Fund’s exposure under its forward
foreign currency contracts and similar
investments. |
• |
derivatives instruments, each
Fund will typically count the mark-to-market value of such derivatives.
However, the Fund may use a derivative contract’s notional value when it
determines that notional value is an appropriate measure of the Fund’s
exposure to investments. For example, with respect to single name equity
swaps which are “fully paid” (equity swaps in which cash and/or cash
equivalents are specifically segregated on the Fund’s books for the
purpose of covering the full notional value of the swap), each Fund will
count the value of such cash and/or cash equivalents.
|
• |
investments in underlying
funds (including ETFs), each Fund will count all investments in an
underlying fund toward the requirement as long as 80% of the value of such
underlying fund's holdings focus on the particular type of investment
suggested by the Fund name. |
• |
The Funds interpret their
policy with respect to concentration in a particular industry to apply
only to direct investments in the securities of issuers in a particular
industry. To the extent a Fund invests its assets in underlying investment
companies, 25% or more of such Fund’s total assets may be indirectly
exposed to a particular industry or group of related industries through
its investments in one or more underlying investment
companies. |
• |
For purposes of this
restriction, government securities such as treasury securities or
mortgage-backed securities that are issued or guaranteed by the U.S.
government, its agencies or instrumentalities are not subject to the
Funds' industry concentration restrictions.
|
• |
The Funds view their
investments in tax-exempt municipal securities as not representing
interests in any particular industry or group of industries. For
information about municipal securities, see the Municipal Obligations
section. |
• |
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 a Fund 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, a Fund is at
risk that the other party to the transaction will default on its
obligations or will not permit the Fund to terminate the transaction
before its scheduled maturity. While a Fund 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 a Fund, there can be no assurance
that a Fund 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 a Fund 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 a Fund's investment objectives and general investment
policies, certain of the Funds 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, a Fund 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, a Fund 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, a Fund 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, a Fund 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. A Fund may be either the buyer or
seller in a credit default swap transaction. If a Fund is a buyer and no
event of default occurs, the Fund will lose its investment and recover
nothing. However, if an event of default occurs, the Fund (if the buyer)
will receive the full notional value of the reference obligation that may
have little or no value. As a seller, a Fund 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, a Fund 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 Funds
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 a Fund 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, a Fund 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 a Fund. Interests in privately
offered investment pools of swaps may be considered
illiquid. |
• |
Contracts for differences.
“Contracts for differences” are swap arrangements in which a Fund 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, a Fund’s return is based on
theoretical long futures positions in the securities comprising that
basket, and as to the other basket, a Fund’s return is based on
theoretical short futures positions in the securities comprising that
other basket. The notional sizes of the baskets will not necessarily be
the same, which can give rise to investment leverage. A Fund may also use
actual long and short futures positions to achieve the market exposure(s)
as contracts for differences. A Fund may enter into swaps and contracts
for differences for investment return, hedging, risk management and for
investment leverage. |
• |
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. A Fund may engage in swap
options for hedging purposes or in an attempt to manage and mitigate
credit and interest rate risk. Each Fund (except the Government Money
Market and Money Market Funds) 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. The
California Municipal and Tax-Exempt Bond Funds will only purchase
construction loan notes that are subject to GNMA or bank purchase
commitments. |
• |
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. |
Fund |
2017
Turnover |
2016
Turnover |
Comments | |||
High Yield I |
104.8 |
% |
51.5 |
% |
There were sub-advisor changes
in 2017, resulting in higher turnover. | |
MidCap Value I |
58.5 |
% |
131.3 |
% |
There were sub-advisor changes
in 2016, resulting in higher turnover. | |
Principal LifeTime 2035
|
30.6 |
% |
15.2 |
% |
There were more changes to
underlying funds in 2017 than in 2016, resulting in higher
turnover. | |
Principal LifeTime 2045
|
33.7 |
% |
14.7 |
% |
There were more changes to
underlying funds in 2017 than in 2016, resulting in higher
turnover. | |
Principal LifeTime 2055
|
39.4 |
% |
11.5 |
% |
There were more changes to
underlying funds in 2017 than in 2016, resulting in higher
turnover. | |
Principal LifeTime 2060
|
34.2 |
% |
15.2 |
% |
There were more changes to
underlying funds in 2017 than in 2016, resulting in higher
turnover. | |
Principal LifeTime Hybrid 2060
|
50.3 |
% |
21.8 |
% |
There were more changes to
underlying funds in 2017 than in 2016, resulting in higher
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 Fund 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 those managing the fund's investments, are of comparable
quality. The Fund 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, with certain exceptions permitted
by applicable regulations. |
• |
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
and 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
711 High Street
Des Moines, IA
50392
1948 |
Director (since
2004)
Member Nominating and
Governance Committee |
Principal, EBA
Associates
(consulting and
investments) |
135 |
Durango Herald,
Inc.;
McClatchy Newspapers,
Inc. |
Leroy T. Barnes,
Jr.
711 High Street
Des Moines, IA
50392
1951 |
Director (since
2012)
Member Audit
Committee |
Retired
|
135 |
McClatchy Newspapers, Inc.;
Herbalife Ltd.; Frontier Communications, Inc. |
Craig Damos
711 High Street
Des Moines, IA
50392
1954 |
Director (since
2008)
Member 15(c)
Committee
Member Audit
Committee |
President, The Damos Company
(consulting services) |
135 |
Hardin
Construction |
Mark A. Grimmett
711 High Street
Des Moines, IA
50392
1960 |
Director (since
2004)
Member 15(c)
Committee
Member Executive
Committee
Member Nominating and
Governance Committee |
Formerly, Executive Vice
President and CFO, Merle Norman Cosmetics, Inc. (cosmetics
manufacturing) |
135 |
None |
Fritz S. Hirsch
711 High Street
Des Moines, IA
50392
1951 |
Director (since
2005)
Member 15(c)
Committee
Member Operations
Committee |
Formerly, CEO, MAM USA
(manufacturer of infant and juvenile products) |
135 |
Focus Products Group
(housewares); MAM USA |
Tao Huang
711 High Street
Des Moines, IA
50392
1962 |
Director (since
2012)
Member 15(c)
Committee
Member Operations
Committee |
Retired |
135 |
Armstrong World Industries,
Inc. (manufacturing) |
Karen (“Karrie”)
McMillan
711 High Street
Des Moines, IA
50392
1961 |
Director (since
2014)
Member Operations
Committee |
Managing Director, Patomak
Global Partners, LLC (financial services consulting). Formerly, General
Counsel, Investment Company Institute |
135 |
None |
Elizabeth A.
Nickels
711 High Street
Des Moines, IA
50392
1962 |
Director (since
2015)
Member Audit
Committee |
Formerly Executive Director,
Herman Miller Foundation; Formerly President Herman Miller
Healthcare |
135 |
Charlotte Russe; Follet
Corporation; PetSmart; SpartanNash; Spectrum Health
Systems |
Name,
Address,
and Year of
Birth |
Position(s)
Held
with Fund
and 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 and
President (since 2015)
Director (since
2012)
Member Executive
Committee |
Executive Director - Funds and
Director, PGI (since 2017)
Chief Executive Officer and
Director, PFD (since 2015)
Executive Director/Principal
Funds & Trust, PLIC (since 2015)
VP/Chief Operating Officer
Principal Funds, PLIC (2014-2015)
VP/Mutual Funds & Broker
Dealer, PLIC (2001-2014)
President, Chief Executive
Officer, and Chair, PMC (2015-2017)
EVP/Chief Operating Officer,
PMC (2008-2015)
Director, PMC (2006-2015)
President and Director, PSI
(2005-2015)
Chairman and Executive Vice
President, PSS (since 2015)
President and Director, PSS
(2007-2015) |
135 |
None |
Nora M. Everett
Des Moines, IA
50392
1959 |
Chair (since 2012)
Director (since
2008)
Member Executive
Committee |
Director, Finisterre
Director, Origin Chairman, PFA (2010-2015) Chairman, PFD (2011-2015) President/RIS, PLIC (since 2015) Senior Vice President/RIS, PLIC (2008-2015) Chairman, PMC (2011-2015) President, PMC (2008-2015) Director, PSI (since 2015) Chief Executive Officer, PSI (2009-2015) Chairman, PSI (2011-2015) Chairman, PSS (2011-2015) |
135 |
None |
Patrick G. Halter Des Moines, IA 50392 1959 |
Director (since
2017) |
Chief Operating Officer, PGI
(since 2017)
Director, PGI (since
2003)
Director, Morley (since
2017)
Chair, Post (since
2017)
Chair, PREI (since
2004)
Chief Executive Officer, PREI
(since 2005)
Chair, Spectrum (since
2017) |
135 |
None |
** |
Abbreviations used:
|
• |
Finisterre Capital LLP
(Finisterre) |
• |
Morley Capital Management, Inc.
(Morley) |
• |
Origin Asset Management LLP
(Origin) |
• |
Post Advisory Group, LLC
(Post) |
• |
Principal Financial Advisors,
Inc. (PFA) |
• |
Principal Funds Distributor,
Inc. (PFD) |
• |
Principal Life Insurance
Company (PLIC) |
• |
Principal Management
Corporation (PMC) |
• |
Principal Real Estate
Investors, LLC (PREI) |
• |
Principal Securities, Inc.
(PSI) formerly Princor Financial Services Corporation
|
• |
Principal Shareholder Services,
Inc. (PSS) |
• |
Spectrum Asset Management,
Inc.. (Spectrum) |
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 |
President and Chief Executive
Officer (since 2015)
Director (since
2012)
Member Executive
Committee |
Executive Director - Funds and
Director, PGI (since 2017)
Chief Executive Officer and
Director, PFD (since 2015)
Executive Director/Principal
Funds & Trust, PLIC (since 2015)
VP/Chief Operating Officer
Principal Funds, PLIC (2014-2015)
VP/Mutual Funds & Broker
Dealer, PLIC (2001-2014)
President, Chief Executive
Officer, and Chair, PMC (2015-2017)
EVP/Chief Operating Officer,
PMC (2008-2015)
Director, PMC (2006-2015)
President and Director, PSI
(2005-2015)
Chairman and Executive Vice
President, PSS (since 2015)
President and Director, PSS
(2007-2015) |
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 |
Vice President and Counsel
(since 2017)
Assistant Counsel
(2010-2017)
Assistant Secretary (since
2015) |
Counsel, PGI (since
2017)
Counsel, PFD
(2009-2013)
Counsel, PLIC
Counsel, PMC (2009-2013,
2014-2017)
Counsel, PSI (2009-2013)
Counsel, PSS
(2009-2013) |
Tracy W. Bollin
Des Moines, IA
50392
1970 |
Chief Financial
Officer
(since 2014)
|
Managing Director, PGI (since
2016)
Chief Financial Officer, PFA
(2010-2015)
Senior Vice President, PFD
(since 2015)
Chief Financial Officer, PFD
(2010-2016)
Chief Operating Officer and
Senior Vice President, PMC (2015-2017)
Director, PMC (2014-2017)
Chief Financial Officer, PMC
(2010-2015)
Chief Financial Officer, PSI
(2010-2015)
President, PSS (since 2015)
Director, PSS (since 2014)
Chief Financial Officer, PSS
(2010-2015) |
Nora M. Everett
Des Moines, IA 50392
1959 |
Chair (since 2012)
Director (since
2008)
Member Executive
Committee |
Director, Finisterre
Director, Origin Chairman, PFA (2010-2015) Chairman, PFD (2011-2015) President/RIS, PLIC (since 2015) Senior Vice President/RIS, PLIC (2008-2015) Chairman, PMC (2011-2015) President, PMC (2008-2015) Director, PSI (since 2015) Chief Executive Officer, PSI (2009-2015) Chairman, PSI (2011-2015) Chairman, PSS (2011-2015) |
Ashley J.
Fuhrmeister
Des Moines, IA
50392
1982 |
Assistant Counsel (since
2018) |
Counsel, PLIC (since
2017)
Prior thereto, Attorney in
Private Practice |
Gina L. Graham
Des Moines, IA
50392
1965 |
Treasurer (since
2016) |
Vice President/Treasurer, PGI
(since 2016)
Vice President/Treasurer,
Morley (since 2016)
Vice President/Treasurer, PFA
(since 2016)
Vice President/Treasurer, PFD
(since 2016)
Vice President/Treasurer, PLIC
(since 2016)
Vice President/Treasurer, PMC
(2016-2017)
Vice President/Treasurer, PREI
(since 2016)
Vice President/Treasurer, PSI
(since 2016)
Vice President/Treasurer, PSS
(since 2016) |
Layne A. Rasmussen
Des Moines, IA 50392
1958 |
Vice President (since
2005) |
Vice President/Controller, PMC
(through 2017)
Director - Accounting, PLIC
(since 2015)
Financial Controller, PLIC
(prior to 2015) |
Sara L. Reece
Des Moines, IA
50392
1975 |
Vice President and Controller
(since 2016) |
Director - Accounting, PLIC
(since 2015)
Assistant Financial Controller,
PLIC (prior to 2015) |
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) |
Thomas G. Reymann
II
Des Moines, IA
50392
1958 |
Assistant Counsel (since
2014) |
Assistant General Counsel, PLIC
(since 2014)
Assistant General Counsel, PMC
(2015-2017)
Assistant General Counsel, TAMG
(2013-2014)
Vice President/CFTC Principal,
TAM (2013-2014) |
Teri R. Root
Des Moines, IA
50392
1979 |
Interim Chief Compliance
Officer (since 2018)
Deputy Chief Compliance Officer
(2015 - 2018) |
Deputy Chief Compliance
Officer, PGI (since 2017)
Vice President and Chief
Compliance Officer, PMC (2015-2017)
Compliance Officer, PMC
(2010-2013)
Vice President, PSS (since
2015) |
Britney L.
Schnathorst
Des Moines, IA
50392
1981 |
Assistant Secretary (since
2017)
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, PGI (since
2017)
Counsel, PFD
(2006-2013)
Counsel, PLIC
Counsel, PMC (2007-2013,
2014-2017)
Counsel, PSI (2007-2013)
|
Dan L. Westholm
Des Moines, IA 50392
1966 |
Assistant Treasurer
(since 2006) |
Assistant Vice
President/Treasurer, PGI (since 2017)
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 (2013-2017)
Assistant Vice
President/Treasury, PSI (since 2013)
Director-Treasury, PSI
(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 L. Woods
Des Moines, IA
50392
1961 |
Of Counsel (since
2017)
Vice President
(2016-2017)
Counsel
(2015-2017) |
Vice President (since
2015)
Associate General Counsel,
Governance Officer, and Assistant Corporate Secretary, PLIC (since
2013) |
Jared A. Yepsen
Des Moines, IA 50392
1981 |
Assistant Tax Counsel (since
2017) |
Counsel, PGI (since 2017)
Counsel, PLIC (since
2015)
Senior Attorney, TLIC
(2013-2015)
Attorney, TLIC (2010-2013)
|
** |
Abbreviations used:
|
Fund
|
Ballantine |
Barnes |
Damos |
Grimmett |
Hirsch |
Huang |
McMillan |
Nickels |
Core Plus Bond |
A |
A |
A |
D |
C |
A |
A |
A |
Diversified
International |
C |
A |
A |
A |
C |
A |
A |
A |
Equity Income |
A |
A |
A |
A |
A |
D |
A |
A |
Global Diversified
Income |
A |
E |
D |
A |
C |
A |
D |
A |
Global Real Estate Securities
|
A |
A |
A |
A |
C |
A |
A |
A |
Government & High Quality
Bond |
A |
A |
A |
D |
A |
A |
A |
A |
High Yield |
A |
A |
D |
A |
C |
A |
A |
A |
Income |
A |
A |
A |
D |
A |
A |
A |
A |
Inflation
Protection |
A |
A |
A |
D |
C |
A |
A |
A |
International Emerging
Markets |
D |
A |
A |
A |
C |
A |
A |
A |
LargeCap S&P 500 Index
|
C |
A |
A |
C |
D |
A |
A |
A |
MidCap |
A |
A |
E |
E |
A |
A |
A |
A |
Money Market |
A |
A |
A |
B |
A |
A |
A |
A |
Principal Capital Appreciation
|
C |
A |
A |
A |
A |
A |
A |
A |
Principal LifeTime 2010
|
A |
A |
A |
E |
A |
A |
A |
A |
Principal LifeTime 2030
|
A |
A |
A |
A |
E |
A |
A |
A |
Real Estate Securities
|
B |
A |
D |
A |
A |
C |
A |
A |
SAM Balanced |
A |
A |
C |
A |
A |
A |
A |
A |
SAM Flexible Income
|
A |
A |
A |
E |
A |
A |
A |
A |
Short-Term Income
|
A |
A |
A |
E |
A |
A |
A |
A |
SmallCap |
C |
A |
A |
E |
A |
D |
A |
A |
SmallCap Value Fund
II |
A |
A |
A |
A |
C |
A |
A |
A |
Total Fund
Complex |
E |
E |
E |
E |
E |
E |
E |
E |
Fund |
Beer |
Everett |
Halter* |
LargeCap Growth |
A |
A |
D |
LargeCap Value |
A |
A |
E |
MidCap |
E |
A |
A |
Money Market |
A |
A |
B |
Principal
Funds, Inc. (through participation in an Employee benefit
plan) |
Beer |
Everett |
Halter* |
Diversified
International |
C |
E |
A |
Equity Income |
C |
E |
A |
Global Diversified
Income |
C |
A |
A |
Inflation
Protection |
D |
A |
A |
International Emerging
Markets |
C |
E |
A |
LargeCap S&P 500 Index
|
C |
A |
E |
MidCap |
D |
E |
A |
Principal LifeTime 2010
|
C |
A |
A |
Principal LifeTime 2030
|
C |
A |
A |
Real Estate Securities
|
C |
A |
A |
SmallCap |
C |
A |
A |
SmallCap S&P 600 Index
|
C |
A |
A |
Total Fund
Complex |
E |
E |
E |
*Director's appointment
effective December 12, 2017. |
Director |
The Funds in
this SAI* |
Fund
Complex |
Elizabeth
Ballantine |
$205,930 |
$265,500 |
Leroy T. Barnes,
Jr. |
$224,929 |
$290,000 |
Craig Damos |
$240,921 |
$307,000 |
Mark A.
Grimmett |
$247,817 |
$319,500 |
Fritz S. Hirsch |
$229,586 |
$296,000 |
Tao Huang |
$217,951 |
$281,000 |
Karen ("Karrie")
McMillan |
$212,133 |
$273,500 |
Elizabeth A.
Nickels |
$211,355 |
$272,500 |
* |
Some of the Funds in this SAI
have not completed a full year of operation. The Principal LifeTime 2065,
Principal LifeTime Hybrid 2065, and Government Money Market Funds are new
since the most recent fiscal year end. |
Sub-Advisor: |
AllianceBernstein
L.P. ("AllianceBernstein") is controlled by AXA, AXA
Financial, Inc., AXA Equitable Life Insurance Company ("AXA Equitable"),
and certain subsidiaries of AXA Equitable, which directly and indirectly
represent a controlling economic interest in
AllianceBernstein. |
Fund(s): |
a portion of the assets of
SmallCap Growth I |
Sub-Advisor:
|
Analytic
Investors, LLC (“Analytic Investors”), is wholly-owned by Wells
Capital Management, Inc., which is indirectly wholly-owned by Wells Fargo
& Company. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Barrow,
Hanley, Mewhinney & Strauss, LLC ("BHMS") is a subsidiary of OM Asset
Management Plc, a publicly-held company traded on the New York Stock
Exchange. |
Fund(s): |
a portion of the assets of
LargeCap Value III, a portion of the assets of MidCap Value III, and a
portion of the assets of Overseas |
Sub-Advisor: |
BlackRock
Financial Management, Inc. (“BlackRock”) is an indirect wholly-owned
subsidiary of BlackRock, Inc. BlackRock and its affiliates manage
investment company and other portfolio
assets. |
Fund(s): |
Inflation
Protection |
Sub-Advisor:
|
BNY Mellon
Asset Management North America Corporation (“BNY Mellon AMNA”)
is an
independently operated indirect subsidiary of The Bank of New York Mellon
Corporation, a banking and financial services company. BNY Mellon AMNA is
a registered investment advisor and organized as a corporation in the
state of Delaware. |
Fund(s):
|
a portion of the assets of
High Yield I |
Sub-Advisor: |
Brown
Advisory, LLC (“Brown”) is a wholly-owned subsidiary
of Brown Advisory Management, LLC. |
Fund(s): |
a portion of the assets of
LargeCap Growth I and a portion of the assets of SmallCap Growth
I |
Sub-Advisor: |
Causeway
Capital Management LLC (“Causeway”) is wholly-owned by Causeway
Capital Holdings LLC. |
Fund(s): |
a portion of the assets of
Overseas |
Sub-Advisor: |
Colonial
First State Asset Management (Australia) Limited is 100% owned by Colonial
First State Group Limited, which is a wholly-owned subsidiary of
Commonwealth Bank of Australia (“CBA”). CBA was founded in 1911 and is
Australia's largest bank by market capitalization and provides integrated
financial services. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Columbus
Circle Investors (“CCI”) is an affiliate of PGI, which
is a member of Principal®. |
Fund(s): |
LargeCap Growth and MidCap
Growth |
Sub-Advisor: |
DDJ Capital
Management, LLC (“DDJ”) is a privately-owned
Massachusetts limited liability company. David Breazzano, DDJ’s
co-founder, president and chief investment officer, is the largest equity
owner and holds 100% voting control of the
firm. |
Fund(s): |
a portion of the assets of
Global Diversified Income and a portion of the assets of High Yield I
|
Sub-Advisor: |
Dimensional
Fund Advisors LP (“Dimensional”) is controlled and operated by
its general partner, Dimensional Holdings Inc., a Delaware
corporation. |
Fund(s): |
a portion of the assets of
SmallCap Value II |
Sub-Advisor: |
Eagle Asset
Management, Inc. is a wholly-owned subsidiary
of Carillon Tower Advisers, Inc., which is a wholly-owned subsidiary of
Raymond James Financial, Inc. |
Fund(s): |
a portion of the assets of
MidCap Growth III |
Sub-Advisor: |
Emerald
Advisers, Inc. (“Emerald”) is a wholly-owned subsidiary
of Emerald Asset Management. |
Fund(s): |
a portion of the assets of
SmallCap Growth I |
Sub-Advisor:
|
Finisterre
Capital LLP (“Finisterre”) is an indirect subsidiary of
Principal Financial Group, Inc. |
Fund(s):
|
Finisterre Unconstrained
Emerging Markets Bond |
Sub-Advisor:
|
Logan
Circle Partners, L.P. (“Logan Circle”), is a wholly-owned indirect
subsidiary of MetLife, Inc.
|
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Los Angeles
Capital Management and Equity Research, Inc. ("Los Angeles
Capital") is a
California corporation wholly-owned by its working principals. Thomas D.
Stevens, Chairman and CEO, and Hal W. Reynolds, Chief Investment Officer,
hold the controlling equity interest in the firm. |
Fund(s): |
a portion of the assets of
MidCap Value I and a portion of the assets of SmallCap Value II
|
Sub-Advisor: |
Neuberger
Berman Investment Advisers LLC ("Neuberger Berman") is a wholly-owned indirect
subsidiary of Neuberger Berman Group LLC
(“NBG”). |
Fund(s): |
a portion of the assets of
High Yield I |
Sub-Advisor: |
Origin
Asset Management LLP (“Origin”) is an indirect majority-owned
subsidiary of Principal Financial Services, Inc., an affiliate of PGI, and
a member of Principal®. |
Fund(s): |
International Fund
I |
Sub-Advisor: |
Post
Advisory Group, LLC (“Post”) is an indirect majority-owned
subsidiary of Principal Financial Group,
Inc. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Principal
Real Estate Investors, LLC ("Principal - REI"), is an indirect subsidiary of
Principal Financial Group, Inc. |
Fund(s): |
Global Real Estate Securities,
Real Estate Securities, and a portion of the assets of Global Diversified
Income |
Sub-Advisor: |
Robert W.
Baird & Co. Incorporated (“Baird”) is owned directly by Baird
Financial Corporation (“BFC”). BFC is, in turn, owned by Baird Holding
Company (“BHC”). BHC is owned by Baird Financial Group, Inc. (“BFG”),
which is the ultimate parent company of Baird. Employees of Baird own
substantially all of the outstanding stock of
BFG. |
Fund(s): |
a portion of the assets of
MidCap Growth III |
Sub-Advisor: |
Spectrum
Asset Management, Inc. ("Spectrum") is an indirect subsidiary of
Principal Financial Group, Inc. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Stone
Harbor Investment Partners LP (“Stone Harbor”) is 100% employee owned. Stone
Harbor Investment Partners GP LLC, SHIP Capital Partners LP, and Peter
John Wilby are control persons of Stone
Harbor. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
T. Rowe
Price Associates, Inc. ("T. Rowe Price") is a wholly-owned subsidiary
of T. Rowe Price Group, Inc., a financial services holding
company. |
Fund(s): |
a portion of the assets of
LargeCap Growth I |
Sub-Advisor: |
Vaughan
Nelson Investment Management, LP ("Vaughan Nelson") is a subsidiary of Natixis
Investment Managers, L.P. |
Fund(s): |
a portion of the assets of
SmallCap Value II |
Sub-Advisor:
|
Victory
Capital Management Inc. (“Victory”) is a wholly-owned
subsidiary of Victory Capital Holdings, Inc. (“VCH”). A majority interest
in VCH is owned by Crestview Partners II, L.P. and its affiliated funds
with the remaining portion owned by Victory employees and a limited number
of outside investors. |
Fund(s):
|
a portion of the assets of
MidCap Value I |
Sub-Advisor: |
W. H.
Reaves & Co., Inc. (doing business as Reaves
Asset Management) is employee owned and no employee owns 25% or more of
the firm. |
Fund(s): |
a portion of the assets of
Global Diversified Income |
Sub-Advisor: |
Westwood
Management Corp. ("Westwood"), a New York corporation, is a
wholly-owned subsidiary of Westwood Holdings Group, Inc., an institutional
asset management company. |
Fund(s): |
a portion of the assets of
LargeCap Value III |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Over
$1.5
billion |
Finisterre Unconstrained
Emerging Markets Bond |
1.02% |
1.00% |
0.98% |
0.97% |
MidCap Growth |
0.65 |
0.63 |
0.61 |
0.60 |
MidCap Growth
III |
1.00 |
0.96 |
0.94 |
0.92 |
MidCap Value
III |
0.65 |
0.63 |
0.61 |
0.60 |
SmallCap |
0.75 |
0.73 |
0.71 |
0.70 |
Tax-Exempt Bond |
0.45 |
0.43 |
0.41 |
0.40 |
Fund |
All
Assets |
Principal LifeTime Strategic
Income |
0.00% |
Principal LifeTime
2010 |
0.00 |
Principal LifeTime
2015 |
0.00 |
Principal LifeTime
2020 |
0.00 |
Principal LifeTime
2025 |
0.00 |
Principal LifeTime
2030 |
0.00 |
Principal LifeTime
2035 |
0.00 |
Principal LifeTime
2040 |
0.00 |
Principal LifeTime
2045 |
0.00 |
Principal LifeTime
2050 |
0.00 |
Principal LifeTime
2055 |
0.00 |
Principal LifeTime
2060 |
0.00 |
Principal LifeTime
2065 |
0.00 |
Principal LifeTime Hybrid
Income |
0.00 |
Principal LifeTime Hybrid
2015 |
0.00 |
Principal LifeTime Hybrid
2020 |
0.00 |
Principal LifeTime Hybrid
2025 |
0.00 |
Principal LifeTime Hybrid
2030 |
0.00 |
Principal LifeTime Hybrid
2035 |
0.00 |
Principal LifeTime Hybrid
2040 |
0.00 |
Principal LifeTime Hybrid
2045 |
0.00 |
Principal LifeTime Hybrid
2050 |
0.00 |
Principal LifeTime Hybrid
2055 |
0.00 |
Principal LifeTime Hybrid
2060 |
0.00 |
Principal LifeTime Hybrid
2065 |
0.00 |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Over
$3
billion |
Core Plus Bond |
0.55% |
0.53% |
0.51% |
0.50% |
0.48% |
0.45% |
Global Diversified
Income |
0.80 |
0.78 |
0.76 |
0.75 |
0.73 |
0.70 |
Global Real Estate Securities
|
0.90 |
0.88 |
0.86 |
0.85 |
0.84 |
0.83 |
High Yield I |
0.65 |
0.63 |
0.61 |
0.60 |
0.59 |
0.58 |
Inflation
Protection |
0.40 |
0.38 |
0.36 |
0.35 |
0.34 |
0.33 |
International I |
0.90 |
0.88 |
0.86 |
0.85 |
0.84 |
0.83 |
International Emerging
Markets |
1.20 |
1.18 |
1.16 |
1.15 |
1.14 |
1.13 |
LargeCap Growth
I |
0.66 |
0.64 |
0.62 |
0.61 |
0.60 |
0.59 |
LargeCap Value |
0.45 |
0.43 |
0.41 |
0.40 |
0.39 |
0.38 |
LargeCap Value
III |
0.80 |
0.78 |
0.76 |
0.75 |
0.73 |
0.70 |
MidCap Value I |
1.00 |
0.98 |
0.96 |
0.95 |
0.94 |
0.93 |
Money Market |
0.40 |
0.39 |
0.38 |
0.37 |
0.36 |
0.35 |
Overseas |
1.10 |
1.08 |
1.06 |
1.05 |
1.04 |
1.03 |
Real Estate
Securities |
0.85 |
0.83 |
0.81 |
0.80 |
0.79 |
0.78 |
SmallCap Growth
I |
1.10 |
1.08 |
1.06 |
1.05 |
1.04 |
1.03 |
SmallCap Value
II |
1.00 |
0.98 |
0.96 |
0.95 |
0.94 |
0.93 |
Fund |
First
$1
billion |
Over
$1
billion |
California
Municipal |
0.45% |
0.40% |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$7
billion |
Over
$10
billion |
Diversified
International |
0.90% |
0.88% |
0.86% |
0.85% |
0.83% |
0.80% |
0.79% |
First
$250
million |
Next
$250
million |
Over
$500
million | |
Equity Income |
0.60% |
0.55% |
0.50% |
Fund |
First
$2
billion |
Over
$2
billion |
Government & High Quality
Bond |
0.50% |
0.45% |
Fund |
First
$250
million |
Over
$250
million |
High Yield |
0.625% |
0.50% |
First
$2
billion |
Next
$1
billion |
Over
$3
billion | |
Income |
0.50% |
0.44% |
0.43% |
Fund |
First
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$1
billion |
Over
$3
billion |
LargeCap Growth |
0.68% |
0.65% |
0.62% |
0.58% |
0.55% |
Fund |
First
$500
million |
Next
$500
million |
Next
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$9.5
billion |
Over
$12.5
billion |
MidCap |
0.65% |
0.63% |
0.61% |
0.60% |
0.59% |
0.58% |
0.57% |
Fund |
All
Assets |
Government Money
Market |
0.15% |
LargeCap S&P 500
Index |
0.15 |
MidCap S&P 400
Index |
0.15 |
SmallCap S&P 600
Index |
0.15 |
Fund |
First
$500
million |
Next
$500
million |
Over
$1
billion |
Principal Capital
Appreciation |
0.625% |
0.50% |
0.375% |
Fund |
First
$3
billion |
Next
$4
billion |
Next
$4
billion |
Next
$4
billion |
Over
$15
billion |
SAM Balanced* |
0.35% |
0.30% |
0.25% |
0.20% |
0.18% |
SAM Conservative
Balanced* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM Conservative
Growth* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM Flexible
Income* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
SAM Strategic
Growth* |
0.35 |
0.30 |
0.25 |
0.20 |
0.18 |
*Breakpoints are based on
aggregate SAM Portfolio net
assets. |
Fund |
First
$200
million |
Next
$300
million |
Over
$500
million |
Short-Term
Income |
0.50% |
0.45% |
0.40% |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
California
Municipal |
N/A |
N/A |
N/A |
0.51% |
2/28/2019 |
Core Plus Bond |
0.88% |
1.75% |
N/A |
N/A |
2/28/2019 |
Diversified
International |
N/A |
2.08% |
N/A |
0.85% |
2/28/2019 |
Equity Income |
N/A |
N/A |
N/A |
0.52% |
2/28/2019 |
Finisterre Unconstrained
Emerging Markets Bond |
1.47% |
N/A |
N/A |
1.12% |
2/28/2019 |
Global Diversified
Income |
N/A |
N/A |
N/A |
0.75% |
2/28/2019 |
Global Real Estate
Securities |
N/A |
2.20% |
N/A |
0.94% |
2/28/2019 |
Government & High Quality
Bond |
0.88% |
1.63% |
N/A |
0.53% |
2/28/2019 |
Government Money
Market |
N/A |
N/A |
N/A |
0.15% |
2/29/2020 |
High Yield |
N/A |
N/A |
N/A |
0.61% |
2/28/2019 |
High Yield I |
1.05% |
N/A |
N/A |
N/A |
2/28/2019 |
Income |
N/A |
N/A |
N/A |
0.58% |
2/28/2019 |
Inflation
Protection |
0.90% |
1.65% |
N/A |
N/A |
2/28/2019 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
International I |
1.45% |
N/A |
N/A |
1.00% |
2/28/2019 |
International Emerging
Markets |
1.61% |
2.66% |
1.52% |
1.29% |
2/28/2019 |
LargeCap Growth |
N/A |
N/A |
N/A |
0.68% |
2/28/2019 |
LargeCap Growth
I |
1.25%(1) |
N/A |
N/A |
0.69%(2) |
2/28/2019 |
LargeCap S&P 500
Index |
N/A |
1.30% |
N/A |
N/A |
2/28/2019 |
LargeCap Value |
N/A |
1.70% |
N/A |
0.43% |
2/28/2019 |
MidCap |
N/A |
N/A |
N/A |
0.70% |
2/28/2019 |
MidCap Growth |
N/A |
N/A |
N/A |
0.75% |
2/28/2019 |
MidCap S&P 400
Index |
N/A |
N/A |
N/A |
0.25% |
2/28/2019 |
MidCap Value
III |
1.30% |
N/A |
N/A |
0.75% |
2/28/2019 |
Money Market |
0.50% |
1.50% |
0.65% |
0.50% |
2/28/2019 |
Principal Capital
Appreciation |
N/A |
N/A |
N/A |
0.47% |
2/28/2019 |
Principal LifeTime
2010 |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime
2020 |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime
2030 |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime
2040 |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime
2050 |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime
2060 |
N/A |
N/A |
0.38% |
0.10% |
2/28/2019 |
Principal LifeTime
2065 |
N/A |
N/A |
N/A |
0.10% |
2/28/2019 |
Principal LifeTime Strategic
Income |
0.38% |
N/A |
N/A |
N/A |
2/28/2019 |
Principal LifeTime Hybrid
2015 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2020 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2025 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2030 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2035 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2040 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2045 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2050 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2055 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2060 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
2065 |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Principal LifeTime Hybrid
Income |
N/A |
N/A |
0.30% |
0.05% |
2/28/2019 |
Real Estate
Securities |
N/A |
N/A |
N/A |
0.91% |
2/28/2019 |
Short-Term
Income |
N/A |
N/A |
N/A |
0.43% |
2/28/2019 |
SmallCap |
N/A |
2.08% |
N/A |
0.85%(3) |
2/28/2019 |
SmallCap Growth
I |
N/A |
N/A |
1.50%(1) |
1.02% |
2/28/2019 |
SmallCap S&P 600
Index |
N/A |
N/A |
N/A |
0.27% |
2/28/2019 |
SmallCap Value
II |
1.45% |
N/A |
N/A |
0.99% |
2/28/2019 |
Tax-Exempt Bond |
N/A |
1.60% |
N/A |
0.52% |
2/28/2019 |
(1) Expiration date is
6/30/2018 |
|||||
(2) For the period 3/1/2018
through 6/30/2018 the expense limit is 0.66%. Effective 7/1/2018 through
2/28/2019 the expense limit is 0.69% as shown in the
table. | |||||
(3) For the period 3/1/2018
through 6/30/2018 the expense limit is 0.80%. Effective 7/1/2018 through
2/28/2019 the expense limit is 0.85% as shown in the
table. |
Contractual
Limits on Total Annual Fund Operating Expenses | ||||||
Fund |
R-1 |
R-2 |
R-3 |
R-4 |
R-5 |
Expiration |
Government & High Quality
Bond |
1.29% |
1.16% |
0.98% |
0.79% |
0.67% |
2/28/2019 |
Principal LifeTime
2065 |
0.93% |
0.80% |
0.62% |
0.43% |
0.31% |
2/28/2019 |
Short-Term Income
|
1.30% |
1.18% |
0.99% |
0.79% |
0.68% |
2/28/2019 |
SmallCap Growth
I |
1.88% |
1.75% |
1.57% |
1.38% |
1.26% |
2/28/2019 |
Contractual
Limits on Total Annual Fund Operating Expenses | |||||
Fund |
A |
C |
J |
Inst. |
Expiration |
SAM Balanced |
1.31% |
2.05% |
1.13% |
0.97% |
2/28/2019 |
SAM Conservative
Balanced |
1.24% |
1.99% |
1.06% |
0.90% |
2/28/2019 |
SAM Conservative
Growth |
1.32% |
2.07% |
1.15% |
0.98% |
2/28/2019 |
SAM Flexible
Income |
1.13% |
1.88% |
0.98% |
0.83% |
2/28/2019 |
SAM Strategic
Growth |
1.34% |
2.09% |
1.15% |
0.97% |
2/28/2019 |
Contractual
Limits on Total Annual Fund Operating Expenses | ||||||
Fund |
R-1 |
R-2 |
R-3 |
R-4 |
R-5 |
Expiration |
SAM Balanced |
1.84% |
1.71% |
1.53% |
1.34% |
1.22% |
2/28/2019 |
SAM Conservative
Balanced |
1.77% |
1.64% |
1.46% |
1.27% |
1.15% |
2/28/2019 |
SAM Conservative
Growth |
1.85% |
1.72% |
1.54% |
1.35% |
1.23% |
2/28/2019 |
SAM Flexible
Income |
1.68% |
1.55% |
1.37% |
1.18% |
1.06% |
2/28/2019 |
SAM Strategic
Growth |
1.84% |
1.71% |
1.53% |
1.34% |
1.22% |
2/28/2019 |
Contractual
Limits on Other Expenses | ||
Fund |
R-6 |
Expiration |
Global Diversified
Income |
0.02% |
2/28/2019 |
Global Real Estate
Securities |
0.02% |
2/28/2019 |
High Yield |
0.02% |
2/28/2019 |
Income |
0.01% |
2/28/2019 |
International I |
0.02% |
2/28/2019 |
International Emerging
Markets |
0.02% |
2/28/2019 |
LargeCap Growth
I |
0.02% |
2/28/2019 |
MidCap |
0.02% |
2/28/2019 |
MidCap S&P 400
Index |
0.02% |
2/28/2019 |
MidCap Value
III |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
Income |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2015 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2020 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2025 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2030 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2035 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2040 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2045 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2050 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2055 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2060 |
0.02% |
2/28/2019 |
Principal LifeTime Hybrid
2065 |
0.02% |
2/28/2019 |
Real Estate
Securities |
0.02% |
2/28/2019 |
SmallCap |
0.02% |
2/28/2019 |
SmallCap Growth
I |
0.01% |
2/28/2019 |
SmallCap S&P 600
Index |
0.02% |
2/28/2019 |
SmallCap Value
II |
0.02% |
2/28/2019 |
Contractual
Fee Waivers | ||
Fund |
Waiver |
Expiration |
Core Plus Bond |
0.060% |
2/28/2019 |
Global Diversified
Income |
0.010% |
2/28/2019 |
LargeCap Growth
I |
0.016% |
2/28/2019 |
LargeCap Value
III |
0.062% |
2/28/2019 |
MidCap Growth
III |
0.080% |
2/28/2019 |
MidCap Value I |
0.120% |
2/28/2019 |
MidCap Value
III |
0.014% |
2/28/2019 |
Overseas |
0.065% |
2/28/2019 |
SmallCap Growth
I |
0.092% |
2/28/2019 |
SmallCap Value
II |
0.040% |
2/28/2019 |
Management
Fees for Periods Ended October 31
(amounts in
thousands) |
|||||||||
Fund |
2017 |
|
2016 |
|
2015 |
|
|||
California
Municipal |
$1,851 |
$1,562 |
$1,000 |
||||||
Core Plus Bond |
18,527 |
|
20,355 |
|
21,157 |
|
|||
Diversified
International |
79,129 |
|
56,939 |
|
46,456 |
|
|||
Equity Income |
30,597 |
|
27,154 |
|
29,258 |
|
|||
Finisterre Unconstrained
Emerging Markets Bond |
264 |
|
79 |
|
(1) |
NA |
|
||
Global Diversified
Income |
82,900 |
|
76,671 |
|
79,391 |
|
|||
Global Real Estate
Securities |
16,613 |
|
26,428 |
|
23,697 |
|
|||
Government & High Quality
Bond |
7,701 |
|
7,759 |
|
7,780 |
|
|||
High Yield |
18,127 |
|
17,138 |
|
18,757 |
|
|||
High Yield I |
6,995 |
|
5,671 |
|
8,077 |
|
|||
Income |
15,409 |
|
15,189 |
|
14,738 |
|
|||
Inflation
Protection |
5,905 |
|
6,459 |
|
5,593 |
|
|||
International Emerging
Markets |
10,534 |
|
12,360 |
|
18,469 |
|
|||
International I |
3,567 |
|
3,492 |
|
3,266 |
|
|||
LargeCap Growth |
10,081 |
|
15,566 |
|
20,429 |
|
|||
LargeCap Growth
I |
43,879 |
|
42,689 |
|
44,887 |
|
|||
LargeCap S&P 500
Index |
7,933 |
|
7,305 |
|
6,868 |
|
|||
LargeCap Value |
8,718 |
|
9,917 |
|
12,429 |
|
|||
LargeCap Value
III |
14,152 |
|
13,847 |
|
17,644 |
|
|||
MidCap |
78,881 |
|
64,410 |
|
61,154 |
|
|||
MidCap Growth |
951 |
|
870 |
|
767 |
|
|||
MidCap Growth
III |
10,800 |
|
13,171 |
|
14,207 |
|
|||
MidCap S&P 400
Index |
2,042 |
|
1,744 |
|
1,760 |
|
|||
MidCap Value I |
11,186 |
|
13,694 |
|
18,286 |
|
|||
MidCap Value
III |
8,707 |
|
7,105 |
|
6,578 |
|
|||
Money Market |
2,868 |
|
3,848 |
|
3,967 |
|
|||
Overseas |
33,843 |
|
29,708 |
|
28,845 |
|
Management
Fees for Periods Ended October 31
(amounts in
thousands) |
|||||||||
Fund |
2017 |
|
2016 |
|
2015 |
|
|||
Principal Capital
Appreciation |
$11,204 |
$11,356 |
$11,918 |
||||||
Principal LifeTime Strategic
Income |
— |
|
69 |
|
230 |
|
|||
Principal LifeTime
2010 |
— |
|
130 |
|
453 |
|
|||
Principal LifeTime
2015 |
— |
|
79 |
|
270 |
|
|||
Principal LifeTime
2020 |
— |
|
591 |
|
1,955 |
|
|||
Principal LifeTime
2025 |
— |
|
150 |
|
468 |
|
|||
Principal LifeTime
2030 |
— |
|
635 |
|
2,041 |
|
|||
Principal LifeTime
2035 |
— |
|
115 |
|
351 |
|
|||
Principal LifeTime
2040 |
— |
|
418 |
|
1,329 |
|
|||
Principal LifeTime
2045 |
— |
|
72 |
|
214 |
|
|||
Principal LifeTime
2050 |
— |
|
217 |
|
672 |
|
|||
Principal LifeTime
2055 |
— |
|
22 |
|
58 |
|
|||
Principal LifeTime
2060 |
— |
|
11 |
|
24
|
|
|||
Principal LifeTime
2065 |
— |
|
(2) |
N/A |
|
N/A |
|
||
Principal LifeTime Hybrid
Income |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2015 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2020 |
— |
|
1 |
|
— |
|
|||
Principal LifeTime Hybrid
2025 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2030 |
— |
|
1 |
|
— |
|
|||
Principal LifeTime Hybrid
2035 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2040 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2045 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2050 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2055 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2060 |
— |
|
— |
|
— |
|
|||
Principal LifeTime Hybrid
2065 |
— |
|
(2) |
N/A |
|
N/A |
|
||
Real Estate
Securities |
29,160 |
|
21,940 |
|
18,890 |
|
|||
SAM Balanced |
13,245 |
|
14,576 |
|
15,077 |
|
|||
SAM Conservative
Balanced |
4,867 |
|
5,207 |
|
5,119 |
|
|||
SAM Conservative
Growth |
8,541 |
|
9,337 |
|
9,984 |
|
|||
SAM Flexible
Income |
7,248 |
|
7,160 |
|
6,652 |
|
|||
SAM Strategic
Growth |
5,151 |
|
5,627 |
|
6,105 |
|
|||
Short-Term
Income |
16,000 |
|
12,038 |
|
11,130 |
|
|||
SmallCap |
4,588 |
|
4,234 |
|
4,206 |
|
|||
SmallCap Growth
I |
16,388 |
|
15,996 |
|
18,344 |
|
|||
SmallCap S&P 600
Index |
1,942 |
|
1,673 |
|
1,682 |
|
|||
SmallCap Value
II |
12,617 |
|
12,336 |
|
13,517 |
|
|||
Tax-Exempt Bond |
1,617 |
|
1,547 |
|
1,043 |
|
(1) Period from July 11, 2016,
date operations commenced, through October 31, 2016 |
(2) Period from September 6,
2017, date operations commenced, through October 31,
2017 |
Aggregate
Fees Paid to Sub-Advisers (other than Wholly-Owned Sub-Advisers,
Finisterre, Origin, and Post)
for Fiscal
Years Ended October 31 (dollar amounts in thousands) | ||||||
2017 |
2016 |
2015 | ||||
Fund |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Global Diversified
Income |
$20,237,542 |
0.40% |
$22,412,937 |
0.40% |
$25,958,440 |
0.42% |
High Yield I |
3,253,998 |
0.30 |
2,653,141 |
0.30 |
3,876,744 |
0.30 |
Inflation
Protection |
1,246,814 |
0.08 |
1,373,881 |
0.08 |
1,174,452 |
0.08 |
LargeCap Growth
I |
16,162,188 |
0.22 |
15,791,146 |
0.22 |
16,635,861 |
0.22 |
LargeCap Value
III |
3,195,415 |
0.17 |
3,130,948 |
0.18 |
3,967,113 |
0.17 |
MidCap Growth
III |
3,546,216 |
0.32 |
4,424,335 |
0.33 |
4,750,167 |
0.32 |
MidCap Value I |
2,998,135 |
0.26 |
4,290,063 |
0.31 |
6,123,491 |
0.33 |
MidCap Value
III |
2,134,424 |
0.27 |
1,706,966 |
0.26 |
1,567,776 |
0.26 |
Overseas |
10,147,179 |
0.32 |
8,898,191 |
0.32 |
8,744,361 |
0.32 |
SmallCap Growth
I |
6,517,965 |
0.43 |
5,997,383 |
0.44 |
6,732,151 |
0.45 |
SmallCap Value
II |
4,960,839 |
0.39 |
4,728,202 |
0.38 |
5,304,707 |
0.39 |
Fees Paid to
Finisterre, Origin, and Post
for Fiscal
Years Ended October 31 (dollar amounts in thousands) | ||||||
2017 |
2016 |
2015 | ||||
Fund |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Finisterre Unconstrained
Emerging Markets Bond (Finisterre) |
$154,635 |
0.60% |
$45,924 |
0.60% |
$— |
—% |
International I
(Origin) |
1,394,770 |
0.35 |
1,374,536 |
0.35 |
1,273,730 |
0.35% |
Global Diversified Income
(Post) |
2,282,722 |
0.30 |
3,353,023 |
0.30 |
3,037,519 |
0.30 |
Underwriting
Fees for Periods Ended October 31, (amounts in thousands) | |||||||||
Fund |
2017 |
|
2016 |
|
2015 |
|
|||
California
Municipal |
$105 |
$132 |
$52 |
||||||
Core Plus Bond |
47 |
|
53 |
|
49 |
|
|||
Diversified
International |
126 |
|
125 |
|
158 |
|
|||
Equity Income |
286 |
|
259 |
|
351 |
|
|||
Finisterre Unconstrained
Emerging Markets Bond |
1 |
|
— |
|
(1) |
N/A |
|
||
Global Diversified
Income |
900 |
|
807 |
|
1,319 |
|
|||
Global Real Estate
Securities |
39 |
|
67 |
|
95 |
|
|||
Government & High Quality
Bond |
152 |
|
279 |
|
125 |
|
|||
High
Yield |
189 |
|
165 |
|
161 |
|
|||
High
Yield I |
10 |
|
14 |
|
11 |
|
|||
Income |
138 |
|
136 |
|
129 |
|
|||
Inflation
Protection |
7 |
|
5 |
|
9 |
|
|||
International Emerging
Markets |
96 |
|
85 |
|
115 |
|
|||
International I |
14 |
|
11 |
|
14 |
|
|||
LargeCap
Growth |
146 |
|
156 |
|
190 |
|
|||
LargeCap Growth
I |
39 |
|
82 |
|
50 |
|
|||
LargeCap S&P 500
Index |
247 |
|
188 |
|
207 |
|
Underwriting
Fees for Periods Ended October 31, (amounts in thousands) | |||||||||
Fund |
2017 |
|
2016 |
|
2015 |
|
|||
LargeCap
Value |
$87 |
$91 |
$102 |
||||||
LargeCap Value
III |
3 |
|
1 |
|
1 |
|
|||
MidCap |
280 |
|
295 |
|
371 |
|
|||
MidCap
Growth |
3 |
|
10 |
|
8 |
|
|||
MidCap Growth
III |
2 |
|
1 |
|
2 |
|
|||
MidCap S&P 400
Index |
15 |
|
10 |
|
20 |
|
|||
MidCap Value I |
3 |
|
2 |
|
13 |
|
|||
MidCap Value
III |
106 |
|
82 |
|
105 |
|
|||
Money
Market |
75 |
|
135 |
|
107 |
|
|||
Principal Capital
Appreciation |
289 |
|
319 |
|
316 |
|
|||
Principal LifeTime
2010 |
40 |
|
60 |
|
82 |
|
|||
Principal LifeTime
2020 |
241 |
|
323 |
|
336 |
|
|||
Principal LifeTime
2030 |
406 |
|
480 |
|
519 |
|
|||
Principal LifeTime
2040 |
325 |
|
420 |
|
471 |
|
|||
Principal LifeTime
2050 |
261 |
|
267 |
|
268 |
|
|||
Principal LifeTime
2060 |
2 |
|
5 |
|
3 |
|
|||
Principal Lifetime Strategic
Income |
29 |
|
38 |
|
49 |
|
|||
Real Estate
Securities |
172 |
|
241 |
|
254 |
|
|||
SAM
Balanced |
1,507 |
|
1,903 |
|
2,337 |
|
|||
SAM Conservative
Balanced |
651 |
|
824 |
|
953 |
|
|||
SAM Conservative
Growth |
1,040 |
|
1,256 |
|
1,502 |
|
|||
SAM Flexible
Income |
1,311 |
|
1,364 |
|
1,494 |
|
|||
SAM Strategic
Growth |
741 |
|
796 |
|
1,003 |
|
|||
Short-Term
Income |
355 |
|
342 |
|
363 |
|
|||
SmallCap |
163 |
|
154 |
|
169 |
|
|||
SmallCap Growth
I |
2 |
|
4 |
|
4 |
|
|||
SmallCap S&P 600
Index |
17 |
|
7 |
|
16 |
|
|||
SmallCap Value
II |
45 |
|
15 |
|
17 |
|
|||
Tax-Exempt
Bond |
108 |
|
127 |
|
92 |
|
|||
(1) Period from July 11,
2016, date operations commenced, through October 31, 2016 |
Acclaim Benefits,
Inc. |
John Hancock Trust
Co. |
AIG Advisor
Group |
J.P. Morgan Securities
LLC |
AIG SunAmerica
Life |
Kestra Investment Services,
LLC |
American Century
Investments |
KMS Financial Services,
Inc. |
American United Life Insurance
Co. |
Koesten Hirschmann &
Crabtree Inc |
Ameriprise Financial
Services |
Ladenburg Thalmann Advisors
Network LLC |
Ameritas Investments
Corp |
Lakeside Wealth Management
Group, LLC |
Arete Wealth Advisors
LLC |
Lincoln Financial Advisors
Corp |
Ascensus |
Lincoln Financial Securities
Corp |
AssetMark Trust
Company |
Lincoln Retirement Services
Co. |
AXA Advisors,
LLC |
Lockton Financial Advisors
LLC |
Benefit Plan
Administrators |
LPL Financial
Corporation |
Benefit
Solutions |
Massachusetts Mutual Life
Insurance Company |
Benefit Trust
Company |
Mercer HR
Services |
Blue Prairie Group
LLC |
Merrill
Lynch |
Blue Water Asset
Management |
MidAtlantic Capital
Corporation |
Broadridge Business Process
Outsourcing, LLC |
MML Investors Services
Inc. |
Cadaret, Grant & Company,
Inc |
Morgan
Stanley |
Caitlin John
LLC |
National Financial
Services |
Callan
Associates |
Nationwide Investment Services
Corp |
Cambridge Investment Research
Inc. |
New England Inv &
Retirement Group, Inc |
Cetera Advisor Networks
LLC |
New York State Deferred
Compensation Plan |
Cetera Advisors
LLC |
Newport Group Retirement Plan
Services |
Cetera Financial
Group |
Northwestern Mutual Investment
Services |
Cetera Financial Specialists
LLC |
Oppenheimer &
Co. |
Cetera Investment Services
LLC |
Park Avenue Securities,
LLC |
Charles Schwab &
Co. |
Pershing |
Charles Schwab Trust
Company |
Plan Administrators,
Inc. |
Citigroup Global Markets
Inc. |
Principal Life Insurance
Company |
Comerica Retirement
Services |
Principal Securities,
Inc. |
Commonwealth Financial
Network |
ProEquities
Inc. |
Compusys
(Texas) |
Prudential Retirement
Services |
CPI Qualified
Consultants |
Purshe Kaplan Sterling
Investments |
CUSO Financial Services,
LP |
Putnam Investors
Services |
David A Noyes &
Co. |
Raymond James & Associates,
Inc. |
Digital Retirement
Solutions |
Raymond James Financial
Services, Inc. |
Edward Jones |
RBC Capital Markets
Corp. |
ePlan Services,
Inc. |
RBC Correspondent
Services |
Fidelity Investment
Institutional Operations Co. |
Reliance Trust
Company |
Financial Telesis
Inc. |
Retirement Plan
Analytics |
First Allied
Securities |
Retirement
Clearinghouse |
First Heartland Capital
Inc. |
Robert W. Baird &
Co. |
FSC Securities
Corporation |
Royal Alliance Associates,
Inc. |
Girard Securities,
Inc |
SagePoint Financial,
Inc. |
GRP Advisor
Alliance |
Securities America,
Inc. |
GWFS Equities,
Inc. |
Securities Service Network,
Inc. |
Hewitt Financial Services,
LLC |
Security Financial Resources
(Security Benefit) |
Hightower Advisors,
LLC |
Standard Insurance
Company |
HighTower Securities,
LLC |
Standard Retirement
Services |
ICMA-Retirement
Corp. |
Stifel Nicolaus & Company,
Inc. |
Investacorp
Inc. |
Summit Brokerage Services,
Inc. |
Janney Montgomery
Scott |
Suntrust Investment Services,
Inc. |
JJB Hilliard WL Lyons,
Inc. |
T. Rowe Price Retirement Plan
Services |
TD Ameritrade
Inc. |
Vanguard Group,
The |
TD Ameritrade Trust
Company |
Voya Financial Advisors,
Inc. |
TIAA-CREF |
Voya Institutional Plan
Services, LLC |
Total Administrative Services
Corporation |
Voya Institutional Trust
Co. |
Triad Advisors,
Inc. |
Walkner Condon Financial
Advisors |
Trust Company of
America |
Wells Fargo Advisors FINET,
LLC |
UBS Financial Services,
Inc. |
Wells Fargo Advisors,
LLC |
Unionbanc Investment Services,
LLC |
Wells Fargo Bank,
N.A. |
US Bancorp
Investments |
Wells Fargo Clearing Services
LLC |
VALIC Retirement Services
Company |
Woodbury Financial
Services |
Vanguard Brokerage
Services |
Xerox (ACS) HR
Solutions |
Fund |
Amount
of
Transactions
because
of
Research
Services
Provided |
Related
Commissions Paid |
Diversified
International |
$641,264,651 |
$777,813 |
Equity Income |
1,944,650,742 |
1,130,093 |
Global Diversified
Income |
779,677,051 |
925,347 |
Global Real Estate
Securities |
221,696,254 |
222,100 |
International Emerging
Markets |
172,458,374 |
317,109 |
International I |
201,588,494 |
90,632 |
LargeCap Growth |
355,231,579 |
317,065 |
LargeCap Growth
I |
422,183,006 |
755,565 |
LargeCap S&P 500
Index |
28,018,528 |
26,137 |
LargeCap Value |
829,224,256 |
534,357 |
LargeCap Value
III |
513,699,083 |
192,686 |
MidCap |
429,155,944 |
211,537 |
MidCap Growth |
34,167,947 |
31,365 |
MidCap Growth
III |
357,436,193 |
144,385 |
MidCap S&P 400
Index |
11,724,472 |
3,042 |
MidCap Value I |
1,007,681,352 |
464,130 |
MidCap Value
III |
345,751,296 |
219,074 |
Overseas |
1,003,292,282 |
1,148,363 |
Principal Capital Appreciation
|
967,912,547 |
567,845 |
Real Estate
Securities |
204,403,632 |
117,109 |
SmallCap |
100,561,370 |
133,237 |
SmallCap Growth
I |
601,903,957 |
517,923 |
SmallCap S&P 600
Index |
28,677,147 |
10,472 |
SmallCap Value II
|
736,769,268 |
975,862 |
Total
Brokerage Commissions Paid
For Periods
Ended October 31 | |||||||||
Fund |
2017 |
|
2016 |
|
2015 |
| |||
California Municipal
Bond |
$ |
1,581 |
|
$ |
— |
|
$ |
— |
|
Core Plus Bond |
7,991 |
|
600 |
|
— |
| |||
Diversified
International |
9,836,155 |
|
8,872,167 |
|
6,792,514 |
| |||
Equity Income |
1,365,405 |
|
1,138,138 |
|
1,006,849 |
| |||
Global Diversified
Income |
8,463,153 |
|
4,866,513 |
|
6,474,815 |
| |||
Global Real Estate
Securities |
2,552,457 |
|
4,385,656 |
|
3,298,949 |
| |||
High Yield |
9,897 |
|
— |
|
— |
| |||
High Yield I |
5,861 |
|
1,071 |
|
1,146 |
| |||
International Emerging
Markets |
3,022,482 |
|
4,372,639 |
|
5,070,926 |
| |||
International I |
195,661 |
|
233,499 |
|
182,388 |
| |||
LargeCap Growth |
1,623,286 |
|
1,995,905 |
|
1,904,379 |
| |||
LargeCap Growth
I |
1,671,270 |
|
1,524,591 |
|
1,875,055 |
| |||
LargeCap S&P 500
Index |
128,775 |
|
4,289 |
|
117,030 |
| |||
LargeCap Value |
2,951,155 |
|
3,070,089 |
|
3,521,994 |
| |||
LargeCap Value
III |
514,121 |
|
618,951 |
|
874,186 |
| |||
MidCap |
2,064,848 |
|
2,954,210 |
|
3,029,465 |
| |||
MidCap Growth |
219,363 |
|
198,408 |
|
190,606 |
| |||
MidCap Growth
III |
739,398 |
|
703,631 |
|
835,261 |
| |||
MidCap S&P 400
Index |
52,181 |
|
26,907 |
|
30,967 |
| |||
MidCap Value I |
710,740 |
|
2,069,756 |
|
2,093,712 |
| |||
MidCap Value
III |
1,422,862 |
|
1,254,698 |
|
976,836 |
| |||
Overseas |
2,517,969 |
|
1,959,498 |
|
1,779,516 |
| |||
Principal Capital
Appreciation |
704,812 |
|
994,386 |
|
672,781 |
| |||
Real Estate
Securities |
1,373,966 |
|
1,596,395 |
|
899,110 |
| |||
SAM Balanced
Portfolio |
35,275 |
|
18,433 |
|
— |
| |||
SAM Conservative Balanced
Portfolio |
10,105 |
|
8,767 |
|
— |
| |||
SAM Conservative Growth
Portfolio |
30,230 |
|
12,203 |
|
— |
| |||
SAM Flexible Income
Portfolio |
12,050 |
|
7,965 |
|
— |
| |||
SAM Strategic Growth
Portfolio |
27,060 |
|
20,279 |
|
— |
| |||
Short-Term
Income |
11,700 |
|
— |
|
— |
| |||
SmallCap |
921,781 |
|
791,524 |
|
904,062 |
| |||
SmallCap Growth
I |
1,217,548 |
|
1,565,895 |
|
2,178,512 |
| |||
SmallCap S&P 600
Index |
27,454 |
|
59,275 |
|
58,916 |
| |||
SmallCap Value
II |
950,388 |
|
818,506 |
|
1,075,366 |
|
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Core Plus
Bond | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
$ |
2,048 |
|
25.63 |
% |
21.12 |
% | |
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
281 |
|
3.52 |
% |
0.08 |
% | ||
Total |
$ |
2,329 |
|
29.15 |
% |
21.20 |
% | ||
Diversified
International | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
5,731 |
|
0.06 |
% |
0.11 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
533,399 |
|
5.42 |
% |
5.05 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
808,155 |
|
8.22 |
% |
6.83 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
207,048 |
|
2.10 |
% |
1.72 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
77,751 |
|
0.79 |
% |
1.17 |
% | ||
Total |
$ |
1,632,084 |
|
16.59 |
% |
14.88 |
% | ||
Equity
Income | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
391,965 |
|
28.71 |
% |
25.91 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
5,488 |
|
0.40 |
% |
0.34 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
10,061 |
|
0.74 |
% |
1.00 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
343,368 |
|
25.15 |
% |
26.53 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
7,473 |
|
0.55 |
% |
0.68 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
62,027 |
|
4.54 |
% |
4.06 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
1,186 |
|
0.09 |
% |
0.13 |
% | ||
Total |
$ |
821,568 |
|
60.18 |
% |
58.65 |
% | ||
Global
Diversified Income | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
110,731 |
|
1.31 |
% |
1.98 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
522,180 |
|
6.17 |
% |
3.62 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
674,455 |
|
7.97 |
% |
5.19 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
102,279 |
|
1.21 |
% |
0.81 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
49,325 |
|
0.58 |
% |
0.29 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
55,516 |
|
0.66 |
% |
1.01 |
% | ||
Columbus Circle
Investors
Edge Asset Management,
Inc.
Finisterre Capital
LLP
Origin Asset Management
LLP
Post Advisory Group,
LLC
Principal Global Investors,
LLC
Principal Real Estate
Investors, LLC |
Spectrum Asset Management,
Inc. |
92,326 |
|
1.09 |
% |
0.76 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
78,365 |
|
0.93 |
% |
0.50 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
14,893 |
|
0.18 |
% |
0.17 |
% | ||
Total |
$ |
1,700,070 |
|
20.10 |
% |
14.33 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Global Real
Estate Securities | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
35,001 |
|
1.37 |
% |
1.98 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
77,715 |
|
3.04 |
% |
3.21 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
209,304 |
|
8.20 |
% |
6.05 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
70,561 |
|
2.76 |
% |
2.38 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
16,297 |
|
0.64 |
% |
0.35 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
14,926 |
|
0.58 |
% |
1.09 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
21,047 |
|
0.82 |
% |
1.34 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
5,171 |
|
0.20 |
% |
0.31 |
% | ||
Total |
$ |
450,022 |
|
17.61 |
% |
16.71 |
% | ||
High
Yield | |||||||||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
$ |
1,283 |
|
12.96% |
|
19.94% |
| |
Total |
$ |
1,283 |
|
12.96% |
|
19.94% |
| ||
International
Emerging Markets | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
5,259 |
|
0.17 |
% |
0.52 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
234,379 |
|
7.75 |
% |
6.26 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
326,349 |
|
10.80 |
% |
9.78 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
50,870 |
|
1.68 |
% |
2.07 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
6,633 |
|
0.22 |
% |
0.29 |
% | ||
Total |
$ |
623,490 |
|
20.62 |
% |
18.92 |
% | ||
International
I | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
143,125 |
|
73.15 |
% |
70.13 |
% | |
Total |
$ |
143,125 |
|
73.15 |
% |
70.13 |
% | ||
LargeCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
40,166 |
|
2.47 |
% |
2.44 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
57,966 |
|
3.57 |
% |
2.71 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
36,607 |
|
2.26 |
% |
1.32 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
32,686 |
|
2.01 |
% |
1.85 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
25,655 |
|
1.58 |
% |
1.94 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
70,790 |
|
4.36 |
% |
3.62 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
9,891 |
|
0.61 |
% |
0.74 |
% | ||
Total |
$ |
273,761 |
|
16.86 |
% |
14.62 |
% | ||
LargeCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
35,465 |
|
2.12 |
% |
1.43 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
81,170 |
|
4.86 |
% |
3.78 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
167,562 |
|
10.03 |
% |
10.80 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
3,708 |
|
0.22 |
% |
0.22 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
44,226 |
|
2.65 |
% |
1.80 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
114,977 |
|
6.88 |
% |
8.48 |
% | ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
27,853 |
|
1.67 |
% |
0.77 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
2,258 |
|
0.14 |
% |
0.37 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
33,395 |
|
2.00 |
% |
1.32 |
% | ||
Total |
$ |
510,614 |
|
30.57 |
% |
28.97 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
LargeCap
S&P 500 Index | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
4,938 |
|
3.83 |
% |
0.94 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
12,712 |
|
9.87 |
% |
17.82 |
% | ||
Total |
$ |
17,650 |
|
13.70 |
% |
18.76 |
% | ||
LargeCap
Value | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
119,397 |
|
4.05 |
% |
6.01 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
237,333 |
|
8.04 |
% |
8.34 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
105,323 |
|
3.57 |
% |
3.64 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
8,692 |
|
0.29 |
% |
0.42 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
10,498 |
|
0.36 |
% |
0.37 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
45,769 |
|
1.55 |
% |
3.17 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
32,261 |
|
1.09 |
% |
1.29 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
52,800 |
|
1.79 |
% |
1.32 |
% | ||
Total |
$ |
612,073 |
|
20.74 |
% |
24.56 |
% | ||
LargeCap
Value III | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
7,134 |
|
1.39 |
% |
1.17 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,924 |
|
0.57 |
% |
0.97 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
50,261 |
|
9.78 |
% |
10.54 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
40,907 |
|
7.96 |
% |
8.90 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
522 |
|
0.10 |
% |
0.10 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,288 |
|
0.45 |
% |
2.42 |
% | ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
3,582 |
|
0.70 |
% |
0.48 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
4,309 |
|
0.84 |
% |
1.37 |
% | ||
Total |
$ |
111,927 |
|
21.79 |
% |
25.95 |
% | ||
MidCap | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
67,335 |
|
3.26 |
% |
4.98 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
63,560 |
|
3.08 |
% |
2.21 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
107,337 |
|
5.20 |
% |
4.01 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
5,521 |
|
0.27 |
% |
0.13 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
59,458 |
|
2.88 |
% |
2.25 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
38,801 |
|
1.88 |
% |
2.98 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
2,575 |
|
0.12 |
% |
0.19 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
38,571 |
|
1.87 |
% |
1.50 |
% | ||
Total |
$ |
383,158 |
|
18.56 |
% |
18.25 |
% | ||
MidCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
1,264 |
|
0.58 |
% |
0.77 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6,440 |
|
2.94 |
% |
2.98 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
3,303 |
|
1.51 |
% |
1.56 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
8,272 |
|
3.77 |
% |
4.59 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,774 |
|
1.26 |
% |
2.04 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
2,731 |
|
1.24 |
% |
0.89 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
6,102 |
|
2.78 |
% |
2.82 |
% | ||
Total |
$ |
30,886 |
|
14.08 |
% |
15.65 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
MidCap
Growth III | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
14,911 |
|
2.02 |
% |
1.80 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
19,826 |
|
2.68 |
% |
2.16 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
21,075 |
|
2.85 |
% |
3.38 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
329 |
|
0.04 |
% |
0.01 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
18,747 |
|
2.54 |
% |
1.21 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
9,874 |
|
1.34 |
% |
2.14 |
% | ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
20,118 |
|
2.72 |
% |
1.66 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
4,973 |
|
0.67 |
% |
0.67 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
42,834 |
|
5.79 |
% |
3.24 |
% | ||
Total |
$ |
152,687 |
|
20.65 |
% |
16.27 |
% | ||
MidCap
S&P 400 Index | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
3,952 |
|
7.57 |
% |
7.75 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
7 |
|
0.01 |
% |
0.06 |
% | ||
Total |
$ |
3,959 |
|
7.58 |
% |
7.81 |
% | ||
MidCap Value
I | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
489 |
|
0.07 |
% |
0.08 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
9,318 |
|
1.31 |
% |
2.28 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
22,233 |
|
3.13 |
% |
3.32 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
864 |
|
0.12 |
% |
0.14 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
51,427 |
|
7.24 |
% |
8.59 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,241 |
|
0.46 |
% |
0.50 |
% | ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
3,728 |
|
0.52 |
% |
0.25 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
10,898 |
|
1.53 |
% |
2.08 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
352 |
|
0.05 |
% |
0.04 |
% | ||
Total |
$ |
102,550 |
|
14.43 |
% |
17.28 |
% | ||
MidCap Value
III | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
65,205 |
|
4.58 |
% |
6.40 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
79,456 |
|
5.58 |
% |
5.11 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
58,901 |
|
4.14 |
% |
4.36 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
26,570 |
|
1.87 |
% |
2.57 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
15,583 |
|
1.10 |
% |
0.66 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
30,590 |
|
2.15 |
% |
4.31 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
19,774 |
|
1.39 |
% |
1.89 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
8,995 |
|
0.63 |
% |
0.77 |
% | ||
Total |
$ |
305,074 |
|
21.44 |
% |
26.07 |
% | ||
Overseas | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
197,495 |
|
7.84 |
% |
10.06 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
220,634 |
|
8.76 |
% |
9.06 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
108,082 |
|
4.29 |
% |
4.24 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
39,469 |
|
1.57 |
% |
0.84 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
525 |
|
0.02 |
% |
0.10 |
% | ||
Total |
$ |
566,205 |
|
22.48 |
% |
24.30 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Principal
Capital Appreciation | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
97,441 |
|
13.83 |
% |
20.62 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
4,591 |
|
0.65 |
% |
0.69 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
18,488 |
|
2.62 |
% |
2.35 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
154,955 |
|
21.99 |
% |
19.01 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
16,999 |
|
2.41 |
% |
1.81 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
45,962 |
|
6.52 |
% |
4.68 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
4,590 |
|
0.65 |
% |
0.52 |
% | ||
Total |
$ |
343,026 |
|
48.67 |
% |
49.68 |
% | ||
Real Estate
Securities | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
66,568 |
|
4.84 |
% |
6.15 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
12,837 |
|
0.93 |
% |
1.20 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
89,663 |
|
6.53 |
% |
4.68 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
12,563 |
|
0.91 |
% |
1.18 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
33,360 |
|
2.43 |
% |
1.38 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
43,155 |
|
3.14 |
% |
5.25 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
25,498 |
|
1.86 |
% |
1.15 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
17,346 |
|
1.26 |
% |
1.82 |
% | ||
Total |
$ |
300,990 |
|
21.90 |
% |
22.81 |
% | ||
Short-Term
Income | |||||||||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
$ |
11,700 |
|
100.00 |
% |
100.00 |
% | |
Total |
$ |
11,700 |
|
100.00 |
% |
100.00 |
% | ||
SmallCap | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
24,587 |
|
2.67 |
% |
4.13 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
48,451 |
|
5.26 |
% |
5.80 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
40,965 |
|
4.44 |
% |
5.22 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
9,830 |
|
1.07 |
% |
1.11 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
28,077 |
|
3.05 |
% |
3.12 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
12,998 |
|
1.41 |
% |
3.04 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
8,921 |
|
0.97 |
% |
0.46 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
4,458 |
|
0.48 |
% |
0.49 |
% | ||
Total |
$ |
178,287 |
|
19.35 |
% |
23.37 |
% | ||
SmallCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
9,864 |
|
0.81 |
% |
0.63 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
18,817 |
|
1.55 |
% |
2.14 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
136,561 |
|
11.22 |
% |
14.53 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
10 |
|
0.00 |
% |
0.00 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
20,491 |
|
1.68 |
% |
1.40 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
17,650 |
|
1.45 |
% |
1.77 |
% | ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
18,761 |
|
1.54 |
% |
1.16 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
11,488 |
|
0.94 |
% |
1.42 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
4,621 |
|
0.38 |
% |
0.56 |
% | ||
Total |
$ |
238,263 |
|
19.57 |
% |
23.61 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2017 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
SmallCap
S&P 600 Index | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
21,777 |
|
79.32 |
% |
62.32 |
% | |
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
6 |
|
0.02 |
% |
0.01 |
% | ||
Total |
$ |
21,783 |
|
79.34 |
% |
62.33 |
% | ||
SmallCap
Value II | |||||||||
BNY Mellon Asset Management
North America Corporation |
ConvergEx Execution Solutions
LLC |
$ |
17,972 |
|
1.89 |
% |
1.13 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
26,486 |
|
2.79 |
% |
1.61 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
28,087 |
|
2.96 |
% |
2.48 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
188,696 |
|
19.85 |
% |
25.72 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
848 |
|
0.09 |
% |
0.06 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
7,234 |
|
0.76 |
% |
0.73 |
% | ||
Analytic Investors,
LLC |
Wells Fargo Securities, LLC
|
12,136 |
|
1.28 |
% |
1.00 |
% | ||
Total |
$ |
281,459 |
|
29.62 |
% |
32.73 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Core Plus
Bond | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
$ |
600 |
|
100.00 |
% |
100.00 |
% | |
Total |
$ |
600 |
|
100.00 |
% |
100.00 |
% | ||
Diversified
International | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
6,086 |
|
0.07 |
% |
0.15 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
594,425 |
|
6.70 |
% |
6.48 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
783,893 |
|
8.84 |
% |
7.70 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
325,668 |
|
3.67 |
% |
3.50 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
632 |
|
0.01 |
% |
0.01 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
35,247 |
|
0.40 |
% |
0.78 |
% | ||
Total |
$ |
1,745,951 |
|
19.69 |
% |
18.62 |
% | ||
Equity
Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
163,389 |
|
14.36 |
% |
16.93 |
% | |
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
362,545 |
|
31.85 |
% |
24.66 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
22,158 |
|
1.95 |
% |
2.37 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
15,672 |
|
1.38 |
% |
1.35 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
81,172 |
|
7.13 |
% |
5.85 |
% | ||
Total |
$ |
644,936 |
|
56.67 |
% |
51.16 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Global
Diversified Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
136,462 |
|
2.80 |
% |
3.00 |
% | |
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
98,009 |
|
2.01 |
% |
1.06 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
341,734 |
|
7.02 |
% |
3.47 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
317,237 |
|
6.52 |
% |
3.39 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
24,555 |
|
0.50 |
% |
0.25 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
38,175 |
|
0.78 |
% |
0.51 |
% | ||
Columbus Circle
Investors
Edge Asset Management,
Inc.
Finisterre Capital
LLP
Origin Asset Management
LLP
Post Advisory Group,
LLC
Principal Global Investors,
LLC
Principal Real Estate
Investors, LLC |
Spectrum Asset Management,
Inc. |
40,857 |
|
0.84 |
% |
0.47 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
2,817 |
|
0.06 |
% |
0.06 |
% | ||
Total |
$ |
999,846 |
|
20.53 |
% |
12.21 |
% | ||
Global Real
Estate Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
33,879 |
|
0.77 |
% |
1.86 |
% | |
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
117,743 |
|
2.68 |
% |
2.42 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
300,333 |
|
6.85 |
% |
6.01 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
282,811 |
|
6.45 |
% |
6.60 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
9,682 |
|
0.22 |
% |
0.35 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
57,638 |
|
1.31 |
% |
3.02 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
2,067 |
|
0.05 |
% |
0.21 |
% | ||
Total |
$ |
804,153 |
|
18.33 |
% |
20.47 |
% | ||
International
Emerging Markets | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
3,450 |
|
0.08 |
% |
0.37 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
355,498 |
|
8.13 |
% |
6.92 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
365,152 |
|
8.35 |
% |
9.28 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
87,468 |
|
2.00 |
% |
2.69 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
15,271 |
|
0.35 |
% |
0.31 |
% | ||
Total |
$ |
826,839 |
|
18.91 |
% |
19.57 |
% | ||
International
I | |||||||||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
$ |
12,447 |
|
5.33 |
% |
3.01 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
124,586 |
|
53.36 |
% |
50.54 |
% | ||
Total |
$ |
137,033 |
|
58.69 |
% |
53.55 |
% | ||
LargeCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
5,258 |
|
0.26 |
% |
0.56 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
87,277 |
|
4.37 |
% |
4.03 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
47,220 |
|
2.37 |
% |
1.34 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
41,788 |
|
2.09 |
% |
1.77 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
44,627 |
|
2.24 |
% |
4.01 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
25,481 |
|
1.28 |
% |
1.92 |
% | ||
Total |
$ |
251,651 |
|
12.61 |
% |
13.63 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
LargeCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
431 |
|
0.03 |
% |
0.15 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
54,533 |
|
3.58 |
% |
2.42 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
753 |
|
0.05 |
% |
0.02 |
% | ||
Loomis, Sayles & Company,
L.P. |
Natixis Securities Americas
LLC |
568 |
|
0.04 |
% |
0.04 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
160,388 |
|
10.52 |
% |
9.76 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
27,616 |
|
1.81 |
% |
1.10 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
106,356 |
|
6.98 |
% |
5.92 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
61,075 |
|
4.01 |
% |
3.04 |
% | ||
Total |
$ |
411,720 |
|
27.02 |
% |
22.45 |
% | ||
LargeCap
S&P 500 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
2,034 |
|
47.43 |
% |
21.18 |
% | |
Total |
$ |
2,034 |
|
47.43 |
% |
21.18 |
% | ||
LargeCap
Value | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
239,596 |
|
7.80 |
% |
11.96 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
85,861 |
|
2.80 |
% |
1.53 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
174,294 |
|
5.68 |
% |
6.38 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
43,721 |
|
1.42 |
% |
1.33 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
115,038 |
|
3.75 |
% |
2.42 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
40,631 |
|
1.32 |
% |
2.35 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
12,104 |
|
0.39 |
% |
0.74 |
% | ||
Total |
$ |
711,245 |
|
23.16 |
% |
26.71 |
% | ||
LargeCap
Value III | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
3,183 |
|
0.51 |
% |
1.23 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
36,192 |
|
5.85 |
% |
8.43 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
45,224 |
|
7.31 |
% |
9.24 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
1,902 |
|
0.31 |
% |
0.11 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
15,254 |
|
2.46 |
% |
2.63 |
% | ||
Total |
$ |
101,755 |
|
16.44 |
% |
21.64 |
% | ||
MidCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
194,698 |
|
6.59 |
% |
9.21 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
107,664 |
|
3.64 |
% |
2.94 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
199,371 |
|
6.75 |
% |
5.82 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
66,159 |
|
2.24 |
% |
1.49 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
92,612 |
|
3.13 |
% |
3.37 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
12,374 |
|
0.42 |
% |
0.46 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
105,484 |
|
3.57 |
% |
4.10 |
% | ||
Total |
$ |
778,362 |
|
26.34 |
% |
27.39 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
MidCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
4,792 |
|
2.42 |
% |
2.07 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6,832 |
|
3.44 |
% |
2.83 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,677 |
|
0.85 |
% |
0.60 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
7,990 |
|
4.03 |
% |
3.57 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,850 |
|
1.44 |
% |
2.91 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
3,580 |
|
1.80 |
% |
3.11 |
% | ||
Total |
$ |
27,721 |
|
13.98 |
% |
15.09 |
% | ||
MidCap
Growth III | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
30,598 |
|
4.35 |
% |
6.06 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
18,919 |
|
2.69 |
% |
2.47 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
23,744 |
|
3.37 |
% |
5.43 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
682 |
|
0.10 |
% |
0.11 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
8,358 |
|
1.19 |
% |
1.16 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
9,126 |
|
1.30 |
% |
2.11 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
47,961 |
|
6.82 |
% |
4.64 |
% | ||
Total |
$ |
139,388 |
|
19.82 |
% |
21.98 |
% | ||
MidCap
S&P 400 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
4,637 |
|
17.23 |
% |
8.34 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
6,207 |
|
23.07 |
% |
31.12 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
228 |
|
0.85 |
% |
0.30 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
10 |
|
0.04 |
% |
0.10 |
% | ||
Total |
$ |
11,082 |
|
41.19 |
% |
39.86 |
% | ||
MidCap Value
I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
740 |
|
0.04 |
% |
0.10 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
104,607 |
|
5.05 |
% |
1.12 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
111,898 |
|
5.41 |
% |
4.21 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
22,602 |
|
1.09 |
% |
1.61 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
37,703 |
|
1.82 |
% |
1.98 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
2,600 |
|
0.13 |
% |
0.02 |
% | ||
Total |
$ |
280,150 |
|
13.54 |
% |
9.04 |
% | ||
MidCap Value
III | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
93,561 |
|
7.46 |
% |
10.71 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
38,156 |
|
3.04 |
% |
2.33 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
97,934 |
|
7.81 |
% |
6.58 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
8,834 |
|
0.70 |
% |
0.93 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
12,300 |
|
0.98 |
% |
1.17 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
24,259 |
|
1.93 |
% |
2.93 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
11,571 |
|
0.92 |
% |
0.21 |
% | ||
Total |
$ |
286,615 |
|
22.84 |
% |
24.86 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Overseas | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
193 |
|
0.01 |
% |
0.02 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
112,597 |
|
5.75 |
% |
10.06 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
95,003 |
|
4.85 |
% |
7.78 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
36,077 |
|
1.84 |
% |
1.11 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
35,333 |
|
1.80 |
% |
0.99 |
% | ||
Total |
$ |
279,203 |
|
14.25 |
% |
19.96 |
% | ||
Principal
Capital Appreciation | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
144,334 |
|
14.51 |
% |
17.03 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,455 |
|
0.25 |
% |
0.31 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
31,054 |
|
3.12 |
% |
3.31 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
170,153 |
|
17.11 |
% |
14.05 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
22,034 |
|
2.22 |
% |
1.83 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
44,435 |
|
4.47 |
% |
4.21 |
% | ||
Total |
$ |
414,465 |
|
41.68 |
% |
40.74 |
% | ||
Real Estate
Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
66,693 |
|
4.18 |
% |
6.28 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
24,912 |
|
1.56 |
% |
2.13 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
114,560 |
|
7.18 |
% |
5.32 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
35,243 |
|
2.21 |
% |
2.85 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
33,159 |
|
2.08 |
% |
1.51 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
62,421 |
|
3.91 |
% |
7.04 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
307 |
|
0.02 |
% |
0.13 |
% | ||
Total |
$ |
337,295 |
|
21.14 |
% |
25.26 |
% | ||
SmallCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
57,148 |
|
7.22 |
% |
9.46 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
32,903 |
|
4.16 |
% |
3.46 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
39,568 |
|
5.00 |
% |
5.01 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
17,167 |
|
2.17 |
% |
2.66 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
32,484 |
|
4.10 |
% |
3.98 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
43,558 |
|
5.50 |
% |
7.03 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
2,638 |
|
0.33 |
% |
0.47 |
% | ||
Total |
$ |
225,466 |
|
28.48 |
% |
32.07 |
% | ||
SmallCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
9,365 |
|
0.60 |
% |
0.31 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
46,371 |
|
2.96 |
% |
2.69 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
108,256 |
|
6.91 |
% |
7.41 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,937 |
|
0.12 |
% |
0.15 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
31,878 |
|
2.04 |
% |
1.88 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
26,532 |
|
1.69 |
% |
2.57 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
19,689 |
|
1.26 |
% |
1.38 |
% | ||
Total |
$ |
244,028 |
|
15.58 |
% |
16.39 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2016 Fund's
Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
SmallCap
S&P 600 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
5,083 |
|
8.57 |
% |
3.63 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
10,466 |
|
17.66 |
% |
22.76 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
532 |
|
0.90 |
% |
0.13 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
128 |
|
0.22 |
% |
0.18 |
% | ||
Total |
$ |
16,209 |
|
27.35 |
% |
26.70 |
% | ||
SmallCap
Value II | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
17,834 |
|
2.18 |
% |
0.93 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
9,660 |
|
1.18 |
% |
0.52 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
25,430 |
|
3.11 |
% |
2.12 |
% | ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
197,657 |
|
24.15 |
% |
33.66 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
171 |
|
0.02 |
% |
0.02 |
% | ||
Total |
$ |
250,752 |
|
30.64 |
% |
37.25 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Diversified
International | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
2,278 |
|
0.03 |
% |
0.03 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
22,747 |
|
0.33 |
% |
0.45 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
548,148 |
|
8.07 |
% |
10.79 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
342,952 |
|
5.05 |
% |
4.09 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
748,301 |
|
11.02 |
% |
9.55 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
26,499 |
|
0.39 |
% |
0.66 |
% | ||
Total |
$ |
1,690,925 |
|
24.89 |
% |
25.57 |
% | ||
Equity
Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
56,986 |
|
5.66 |
% |
9.25 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
7,660 |
|
0.76 |
% |
0.17 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
15,749 |
|
1.56 |
% |
1.13 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
21,018 |
|
2.09 |
% |
1.88 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
6,796 |
|
0.67 |
% |
0.68 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
85,384 |
|
8.48 |
% |
8.43 |
% | ||
Total |
$ |
193,593 |
|
19.22 |
% |
21.54 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Global
Diversified Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
133,416 |
|
2.06 |
% |
2.86 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
47,586 |
|
0.73 |
% |
0.28 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
507,428 |
|
7.84 |
% |
5.60 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
275,216 |
|
4.25 |
% |
4.44 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
427,713 |
|
6.61 |
% |
5.22 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
17,557 |
|
0.27 |
% |
0.16 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
59,795 |
|
0.92 |
% |
1.38 |
% | ||
Columbus Circle
Investors
Edge Asset Management,
Inc.
Finisterre Capital
LLP
Origin Asset Management
LLP
Post Advisory Group,
LLC
Principal Global Investors,
LLC
Principal Real Estate
Investors, LLC |
Spectrum Asset Management,
Inc. |
49,179 |
|
0.76 |
% |
0.64 |
% | ||
Total |
$ |
1,517,890 |
|
23.44 |
% |
20.58 |
% | ||
Global Real
Estate Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
63,983 |
|
1.94 |
% |
3.94 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
1,257 |
|
0.04 |
% |
0.05 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
239,986 |
|
7.27 |
% |
5.21 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
93,374 |
|
2.83 |
% |
4.37 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
157,708 |
|
4.78 |
% |
6.18 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
19,304 |
|
0.59 |
% |
0.40 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
23,970 |
|
0.73 |
% |
2.27 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
240 |
|
0.01 |
% |
0.01 |
% | ||
Total |
$ |
599,822 |
|
18.19 |
% |
22.43 |
% | ||
International
Emerging Markets | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
3,632 |
|
0.07 |
% |
0.28 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
303,413 |
|
5.98 |
% |
5.77 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
435,282 |
|
8.58 |
% |
6.06 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
489,388 |
|
9.65 |
% |
9.07 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
20,897 |
|
0.41 |
% |
0.43 |
% | ||
Total |
$ |
1,252,612 |
|
24.69 |
% |
21.61 |
% | ||
International
I | |||||||||
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
$ |
28 |
|
0.02 |
% |
0.21 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
111,207 |
|
60.97 |
% |
56.07 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
46,767 |
|
25.64 |
% |
34.51 |
% | ||
Total |
$ |
158,002 |
|
86.63 |
% |
90.79 |
% | ||
LargeCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
38,120 |
|
2.00 |
% |
2.29 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
190,789 |
|
10.02 |
% |
7.04 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
17,584 |
|
0.92 |
% |
0.62 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
18,397 |
|
0.97 |
% |
2.02 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
27,141 |
|
1.43 |
% |
1.92 |
% | ||
Total |
$ |
292,031 |
|
15.34 |
% |
13.89 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
LargeCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
31,409 |
|
1.68 |
% |
0.98 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
51,160 |
|
2.73 |
% |
2.84 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
118,692 |
|
6.33 |
% |
8.66 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
384 |
|
0.02 |
% |
0.03 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
237,147 |
|
12.65 |
% |
13.42 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
52,377 |
|
2.79 |
% |
1.60 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
96,094 |
|
5.12 |
% |
5.80 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
64,950 |
|
3.46 |
% |
2.14 |
% | ||
Total |
$ |
652,213 |
|
34.78 |
% |
35.47 |
% | ||
LargeCap
S&P 500 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
1,658 |
|
1.42 |
% |
0.21 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
867 |
|
0.74 |
% |
0.12 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
25,086 |
|
21.44 |
% |
22.46 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
141 |
|
0.12 |
% |
0.18 |
% | ||
Total |
$ |
27,752 |
|
23.72 |
% |
22.97 |
% | ||
LargeCap
Value | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
206,872 |
|
5.87 |
% |
8.82 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
175,939 |
|
5.00 |
% |
4.91 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
209,948 |
|
5.96 |
% |
3.68 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
168,143 |
|
4.77 |
% |
3.10 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
66,000 |
|
1.87 |
% |
1.36 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
64,127 |
|
1.82 |
% |
2.39 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
7,419 |
|
0.21 |
% |
0.16 |
% | ||
Total |
$ |
898,448 |
|
25.50 |
% |
24.42 |
% | ||
LargeCap
Value III | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
28,198 |
|
3.23 |
% |
2.19 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
10,587 |
|
1.21 |
% |
1.84 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
16,767 |
|
1.92 |
% |
1.92 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
596 |
|
0.07 |
% |
0.05 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
36,256 |
|
4.15 |
% |
5.92 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
3,188 |
|
0.36 |
% |
0.55 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
14,035 |
|
1.61 |
% |
1.90 |
% | ||
Total |
$ |
109,627 |
|
12.55 |
% |
14.37 |
% | ||
MidCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
244,825 |
|
8.08 |
% |
13.51 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
141,917 |
|
4.68 |
% |
3.87 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
61,124 |
|
2.02 |
% |
2.43 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
153,351 |
|
5.06 |
% |
4.07 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
96,086 |
|
3.17 |
% |
2.52 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
26,431 |
|
0.87 |
% |
0.91 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
82,366 |
|
2.72 |
% |
1.91 |
% | ||
Total |
$ |
806,100 |
|
26.60 |
% |
29.22 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
MidCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
2,413 |
|
1.27 |
% |
1.12 |
% | |
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
454 |
|
0.24 |
% |
0.20 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
9,084 |
|
4.77 |
% |
3.27 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
7,746 |
|
4.06 |
% |
4.40 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,246 |
|
1.70 |
% |
1.04 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,612 |
|
0.85 |
% |
1.21 |
% | ||
Total |
$ |
24,555 |
|
12.89 |
% |
11.24 |
% | ||
MidCap
Growth III | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
12,772 |
|
1.53 |
% |
1.24 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
32,785 |
|
3.93 |
% |
5.42 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
15,064 |
|
1.80 |
% |
2.11 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
4,548 |
|
0.54 |
% |
0.29 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
49,069 |
|
5.87 |
% |
8.11 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
20,247 |
|
2.42 |
% |
1.92 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
15,585 |
|
1.87 |
% |
4.75 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
66,991 |
|
8.02 |
% |
4.66 |
% | ||
Total |
$ |
217,061 |
|
25.98 |
% |
28.50 |
% | ||
MidCap
S&P 400 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
1,737 |
|
5.61 |
% |
3.10 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
24 |
|
0.08 |
% |
0.27 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
222 |
|
0.72 |
% |
2.21 |
% | ||
Total |
$ |
1,983 |
|
6.41 |
% |
5.58 |
% | ||
MidCap Value
I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
523 |
|
0.02 |
% |
0.08 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
80,620 |
|
3.85 |
% |
5.07 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
64,855 |
|
3.10 |
% |
3.36 |
% | ||
Guggenheim Partners Investment
Management, LLC |
Guggenheim Securities,
LLC |
4,829 |
|
0.23 |
% |
0.11 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
124,600 |
|
5.95 |
% |
5.12 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
2,230 |
|
0.11 |
% |
0.05 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
37,730 |
|
1.80 |
% |
3.35 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
570 |
|
0.03 |
% |
0.01 |
% | ||
Total |
$ |
315,957 |
|
15.09 |
% |
17.15 |
% | ||
MidCap Value
III | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
83,291 |
|
8.53 |
% |
12.67 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
60,110 |
|
6.15 |
% |
4.60 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
27,559 |
|
2.82 |
% |
5.88 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
59,611 |
|
6.10 |
% |
5.63 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
7,437 |
|
0.76 |
% |
0.56 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
6,697 |
|
0.69 |
% |
0.94 |
% | ||
Total |
$ |
244,705 |
|
25.05 |
% |
30.28 |
% | ||
Overseas | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
112,819 |
|
6.34 |
% |
12.26 |
% | |
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
127,154 |
|
7.15 |
% |
9.00 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
59,053 |
|
3.32 |
% |
4.14 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
73,354 |
|
4.12 |
% |
2.24 |
% | ||
Total |
$ |
372,380 |
|
20.93 |
% |
27.64 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
Principal
Capital Appreciation | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
63,551 |
|
9.45 |
% |
13.03 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,575 |
|
0.38 |
% |
0.33 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6,831 |
|
1.02 |
% |
0.98 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
23,437 |
|
3.48 |
% |
2.32 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
27,770 |
|
4.13 |
% |
4.53 |
% | ||
Total |
$ |
124,164 |
|
18.46 |
% |
21.19 |
% | ||
Real Estate
Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
85,185 |
|
9.47 |
% |
13.30 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
21,323 |
|
2.37 |
% |
1.79 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
30,917 |
|
3.44 |
% |
3.80 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
56,475 |
|
6.28 |
% |
5.59 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
17,731 |
|
1.97 |
% |
1.08 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
34,080 |
|
3.79 |
% |
7.98 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,287 |
|
0.14 |
% |
0.60 |
% | ||
Total |
$ |
246,998 |
|
27.46 |
% |
34.14 |
% | ||
SmallCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
22,588 |
|
2.50 |
% |
2.29 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
61,386 |
|
6.79 |
% |
6.83 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
42,357 |
|
4.69 |
% |
4.93 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
63,459 |
|
7.02 |
% |
4.49 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
21,729 |
|
2.40 |
% |
1.56 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
20,104 |
|
2.22 |
% |
3.84 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
3,342 |
|
0.37 |
% |
0.38 |
% | ||
Total |
$ |
234,965 |
|
25.99 |
% |
24.32 |
% | ||
SmallCap
Growth I | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
19,672 |
|
0.90 |
% |
0.54 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
5,638 |
|
0.26 |
% |
0.14 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
94,907 |
|
4.36 |
% |
6.21 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
114,113 |
|
5.24 |
% |
5.82 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
139,407 |
|
6.40 |
% |
7.16 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
47,266 |
|
2.17 |
% |
1.93 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
10,919 |
|
0.50 |
% |
0.83 |
% | ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
36,594 |
|
1.68 |
% |
2.13 |
% | ||
Total |
$ |
468,516 |
|
21.51 |
% |
24.76 |
% | ||
SmallCap
S&P 600 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
2,247 |
|
3.81 |
% |
2.38 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
16,504 |
|
28.01 |
% |
28.32 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
70 |
|
0.12 |
% |
0.11 |
% | ||
Total |
$ |
18,821 |
|
31.94 |
% |
30.81 |
% |
Fund |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker Receiving Commissions |
2015 Fund's Total Commissions Paid |
% of Fund's Total Commissions |
%
of Dollar Amount of Fund's Commissionable Transactions | ||||
SmallCap
Value II | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions
LLC |
$ |
13,455 |
|
1.25 |
% |
0.61 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
14,317 |
|
1.33 |
% |
1.72 |
% | ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
23,362 |
|
2.17 |
% |
2.87 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
25,510 |
|
2.37 |
% |
1.07 |
% | ||
Baird Investment
Management |
Robert W. Baird &
Co. |
138 |
|
0.01 |
% |
0.01 |
% | ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
9,095 |
|
0.85 |
% |
1.18 |
% | ||
Total |
$ |
85,877 |
|
7.98 |
% |
7.46 |
% |
*
|
Effective
January 31, 2018, Mellon Capital Management Corporation changed its name
to BNY Mellon Asset Management North America
Corporation. |
Holdings of
Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||||
Fund |
Broker or
Dealer |
Holdings
(in
thousands) | ||
Core Plus Bond |
Bank of America
Corp |
|
$37,688 |
|
Bank of New York Mellon
Corp/The |
18,219 |
| ||
Citigroup Inc |
24,753 |
| ||
Credit Suisse Group AG
|
13,477 |
| ||
Goldman Sachs Group Inc/The
|
188,403 |
| ||
Morgan Stanley |
60,385 |
| ||
UBS Group AG |
29,361 |
| ||
Wells Fargo & Co
|
20,734 |
| ||
Diversified
International |
Goldman Sachs Group
Inc/The |
160,961 |
| |
Equity Income |
Morgan Stanley |
86,441 |
| |
Wells Fargo &
Co |
24,697 |
| ||
Global Diversified
Income |
Bank of America Corp
|
17,461 |
| |
Bank of New York Mellon
Corp/The |
2,090 |
| ||
Citigroup Inc |
101,782 |
| ||
Credit Suisse Group AG
|
21,998 |
| ||
Goldman Sachs Group Inc/The
|
10,894 |
| ||
Morgan Stanley |
214,831 |
| ||
UBS Group AG |
107,108 |
| ||
Wells Fargo & Co
|
259,664 |
| ||
Global Real Estate
Securities |
Morgan Stanley |
38,253 |
| |
Nomura Holdings Inc
|
17,752 |
| ||
Government & High Quality
Bond |
Citigroup Inc |
19,012 |
| |
Goldman Sachs Group Inc/The
|
29,090 |
| ||
Wells Fargo & Co
|
7,768 |
| ||
High Yield |
Goldman Sachs Group Inc/The
|
193,144 |
|
Holdings of
Securities of Principal Funds, Inc. Regular Brokers and
Dealers | ||||
Fund |
Broker or
Dealer |
Holdings
(in
thousands) | ||
Income |
Bank of America Corp
|
$41,345 | ||
Bank of New York Mellon
Corp/The |
30,136 |
| ||
Citigroup Inc |
33,250 |
| ||
Goldman Sachs Group Inc/The
|
88,753 |
| ||
Morgan Stanley |
28,200 |
| ||
Wells Fargo & Co
|
31,519 |
| ||
Inflation
Protection |
Bank of America
Corp |
1,274 |
| |
International Emerging
Markets |
Goldman Sachs Group
Inc/The |
11,197 |
| |
LargeCap Growth |
Goldman Sachs Group
Inc/The |
38,885 |
| |
LargeCap Growth
I |
Morgan Stanley |
134,538 |
| |
LargeCap S&P 500
Index |
Bank of America Corp
|
65,661 |
| |
Bank of New York Mellon
Corp/The |
12,987 |
| ||
Citigroup Inc |
48,926 |
| ||
Goldman Sachs Group Inc/The
|
21,315 |
| ||
Morgan Stanley |
83,218 |
| ||
Wells Fargo & Co
|
61,277 |
| ||
LargeCap Value |
Bank of America
Corp |
66,322 |
| |
Citigroup Inc |
44,534 |
| ||
Goldman Sachs Group Inc/The
|
1,580 |
| ||
Wells Fargo & Co
|
13,676 |
| ||
LargeCap Value
III |
Bank of America
Corp |
51,475 |
| |
Bank of New York Mellon
Corp/The |
975 |
| ||
Citigroup Inc |
26,152 |
| ||
Goldman Sachs Group Inc/The
|
28,650 |
| ||
Morgan Stanley |
1,241 |
| ||
Wells Fargo & Co
|
54,601 |
| ||
MidCap |
Goldman Sachs Group
Inc/The |
10,141 |
| |
MidCap Growth |
Goldman Sachs Group
Inc/The |
3,093 |
| |
MidCap Value
III |
Goldman Sachs Group
Inc/The |
14,472 |
| |
Money Market |
Bank of America
Corp |
16,000 |
| |
Goldman Sachs Group
Inc/The |
5,000 |
| ||
Morgan Stanley |
4,630 |
| ||
Overseas |
Credit Suisse Group
AG |
33,536 |
| |
Nomura Holdings Inc
|
1,436 |
| ||
UBS Group AG |
3,150 |
| ||
Principal Capital
Appreciation |
Goldman Sachs Group
Inc/The |
44,576 |
| |
Wells Fargo & Co
|
42,110 |
| ||
Short-Term
Income |
Bank of America
Corp |
93,091 |
| |
Bank of New York Mellon
Corp/The |
42,286 |
| ||
Citigroup Inc |
63,289 |
| ||
Credit Suisse Group AG
|
1,146 |
| ||
Goldman Sachs Group Inc/The
|
88,608 |
| ||
Morgan Stanley |
98,550 |
| ||
UBS Group AG |
26,321 |
| ||
Wells Fargo & Co
|
47,335 |
| ||
SmallCap |
Goldman Sachs Group
Inc/The |
7,484 |
|
• |
PGI serves as the investment
adviser to the underlying mutual funds in which the funds of funds invest,
sometimes as the discretionary advisor, and an affiliated investment
adviser may serve as sub-adviser to the mutual funds in which a fund of
funds may invest. This raises a potential conflict because PGI's or an
affiliated company's profit margin may vary depending upon the underlying
fund in which the funds of funds invest; |
• |
PGI or an affiliated person
may serve as investment adviser to a portion of a Multi-Managed Fund. This
raises a potential conflict because PGI's or an affiliated investment
adviser's profit margin may vary depending on the extent to which a
Multi-Managed Fund's assets are managed by PGI or allocated to an
affiliated adviser. |
• |
A sub-advisor may determine
that the asset class PFI 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 PFI may place with the sub-advisor for management. When a
sub-advisor for two or more PFI Funds imposes such a limit, PGI and/or the
sub-advisor may need to determine which Fund will be required to limit its
investment in the asset class and the degree to which the Fund will be so
limited. PGI 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 funds
of funds invest that does not give undue consideration to the impact to
PGI or affiliates. |
• |
Maintains a documented,
systematic methodology for determining the portions of a Multi-Managed
Fund to be allocated to a sub-adviser that does not give undue
consideration to the impact to PGI or its
affiliates; |
• |
Reminds its investment
personnel who provide services to the funds of funds or Multi-Managed
Funds of PGI's inherent conflicts of interest, and PGI'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 |
• |
PGI's Investment Oversight and
Risk Committee monitors the services provided to the funds of funds and
Multi-Managed Funds to ensure such services conform to the applicable
investment methodology, that undue consideration is not given to PGI or
its affiliates, and that such services reflect PGI's duties of loyalty and
care as a fiduciary. |
• |
Shareholders, including those
in omnibus accounts, who own shares of the Fund as of June 14, 2013 (for
retail investors, i.e., non-employer sponsored retirement plan investors)
or August 15, 2013, (for employer sponsored retirement plan investors),
may continue to make purchases, exchanges, and dividend or capital gains
reinvestment in existing accounts. |
• |
Registered Investment Advisor
(RIA) and bank trust firms that have an investment allocation to the
MidCap Strategy (i.e. investments in the same strategy used in collective
investment trust, separately managed accounts, individually managed
accounts or insurance separate accounts) in a fee-based, wrap or advisory
account, may continue to add new clients, purchase shares, and exchange
into the Fund. The Fund will not be available to new RIA and bank trust
firms. |
• |
Shareholders through accounts
at private banks may continue to purchase shares and exchange into the
Fund. Private banks that have an investment allocation to the MidCap
Strategy may add new clients to the Fund. The Fund will not be available
to private bank or private bank platforms not already investing in the
MidCap Strategy. |
• |
Shareholders in broker/dealer
wrap or fee-based programs that have an investment allocation to the Fund
may continue to purchase shares and exchange into the Fund. Existing
broker/dealer wrap or fee-based programs may add new
participants. |
• |
Shareholders in certain types
of retirement plans (including 401(k)s, SEPs, SIMPLEs, 403(b)s, etc.) may
continue to purchase shares and exchange into the Fund. New participants
in these plans may elect to purchase shares of the
Fund. |
• |
Retirement plans in transition
as of the closure date will have until August 15, 2013, to fund any new
accounts in the Fund. |
• |
Investors who open a new IRA
transfer or rollover account by the close of business on June 13, 2013,
will have until August 15, 2013, to fund these
accounts. |
• |
Shareholders within brokerage
accounts may continue to purchase shares of the Fund; however, new
brokerage accounts will not be permitted to begin investing in the Fund
after June 14, 2013. |
• |
529 plans that include the
Fund within their investment options may continue to purchase shares and
exchange into the Fund. |
• |
Investors who have a direct
investment in the MidCap Strategy may, subject to the approval of the
Distributor, purchase shares in the Fund. |
• |
Notify the shareholder in
writing as to the account’s status and request that the account(s) be
moved to another registered
broker-dealer; |
• |
Remove the broker/dealer from
the account. If the shareholder does not request another registered
broker/dealer to be added to the account, Principal Shareholder Services,
Inc. (“PSS”), the Funds’ Transfer Agent, will hold the accounts until
another registered broker/dealer is added to the account. PSS is not
a broker-dealer and does not offer investment advice;
and |
• |
No initial sales charge will
apply to purchases of Fund shares while PSS is holding the
account. |
Exchange
From Class |
Exchange
To Class |
A |
Institutional |
C |
A,
Institutional |
Institutional |
A, C,
R-6 |
• |
You or your retirement plan
sponsor must be eligible to purchase shares of the class into which the
exchange is to occur; |
• |
Your financial intermediary or
the retirement plan sponsor's financial intermediary must have an
agreement with the underwriter or transfer agent of Principal Funds
allowing the purchase of such share class for
you; |
• |
The Fund must offer shares of
such class of such Fund in your state or the state of the retirement plan
sponsor; |
• |
In order to exchange into
Class A shares, you must be eligible to purchase Class A shares with no
initial sales charge; |
• |
Depending on the
circumstances, for exchanges from Classes A and C shares there may be a
contingent deferred sales charge in connection with the exchange;
and |
• |
Any such exchange must be
requested by your financial intermediary or retirement plan sponsor (with
approval by the Distributor) and, except as otherwise approved by the
Distributor, must result from either (i) the financial intermediary
seeking to have shares of the Funds on their platform held in a particular
share class, (ii) the share class becoming available to your financial
intermediary or financial professional through a new relationship, or
(iii) your retirement plan sponsor electing to have shares of the Funds
offered as part of the plan investment options held in a particular share
class. |
• |
The Government Money Market
Fund does not permit exchanges. |
• |
If a shareholder submits a
redemption order while a redemption gate is in effect, the redemption
order is invalid and a shareholder must submit a new redemption order
after the gate is lifted. |
• |
If the Money Market Fund
received, but has not yet processed, a purchase order prior to notifying
investors of the imposition of liquidity fees or redemption gates, such
purchase order will be considered a valid purchase and will be processed
normally. |
• |
If a liquidity fee is imposed
during the day, an intermediary that receives both purchase and redemption
orders from a single underlying accountholder will not apply the liquidity
fee to the net amount of redemptions made by that same accountholder,
since the purchase order was received before the time the liquidity fee
was implemented. |
• |
If a redemption request was
verifiably submitted to the Money Market Fund’s agent before a liquidity
fee or redemption gate is imposed but is received by the Money Market Fund
after a liquidity fee or redemption gate is imposed, the fund will pay the
proceeds of the redemption request despite the gate and will not impose a
liquidity fee on the redemption request. |
• |
A checkwriting redemption
request which is verifiably submitted to the Money Market Fund’s agent
before a liquidity fee or redemption gate is imposed will be considered a
valid redemption and will be processed
normally. |
invested
less than 10% |
invested
less than 30%, but more than 10% | |
Dates and length of time for
which the Fund invested less than 10% (or 30%, as applicable) of its total
assets in weekly liquid assets. |
none to disclose at this
time |
none to disclose at this
time |
Dates and length of time for
which the Fund’s board of directors determined to impose a liquidity fee
and/or temporarily suspend the Fund’s redemptions. |
none to disclose at this
time |
none to disclose at this
time |
Percentage of the Fund’s total
assets invested in weekly liquid assets as of the dates the Fund invested
less than 10% (or 30%, as applicable) in weekly liquid
assets. |
none to disclose at this
time |
none to disclose at this
time |
Percentage of the Fund’s total
assets invested in weekly liquid assets as of the dates the Fund imposed a
liquidity fee. |
none to disclose at this
time |
none to disclose at this
time |
Size of liquidity
fee. |
none to disclose at this
time |
none to disclose at this
time |
Percentage of the Fund’s total
assets invested in weekly liquid assets as of the date on which the Fund
suspended redemptions (implemented a redemption gate). |
none to disclose at this
time |
none to disclose at this
time |
Date on which the Fund
initially suspended redemptions (implemented a redemption
gate). |
none to disclose at this
time |
none to disclose at this
time |
Date on which the Fund removed
the liquidity fee and/or resumed fund redemptions. |
none to disclose at this
time |
none to disclose at this
time |
Financial
Support to the Government Money Market or Money Market
Fund |
Merging
Investment Company | |
Description of nature of
support. |
none to disclose at this
time |
none to disclose at this
time |
Person providing
support. |
none to disclose at this
time |
none to disclose at this
time |
Brief description of
relationship between the person providing support and the
Fund. |
none to disclose at this
time |
none to disclose at this
time |
Date support
provided. |
none to disclose at this
time |
none to disclose at this
time |
Amount of
support. |
none to disclose at this
time |
none to disclose at this
time |
Security supported (if
applicable). Disclose the name of the issuer, the title of the issue
(including coupon or yield, if applicable) and at least two identifiers,
if available (e.g., CUSIP, ISIN, CIK, LEI).) |
none to disclose at this
time |
none to disclose at this
time |
Value of security supported on
date support was initiated (if applicable). |
none to disclose at this
time |
none to disclose at this
time |
• |
taking the current market
value of the total assets of the Fund |
• |
subtracting liabilities of the
Fund |
• |
dividing the remainder
proportionately into the classes of the
Fund |
• |
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, Bloomberg LC, ICE Data Services, J.J. Kenny, J.P. Morgan
PricingDirect, Inc., Markit Partners, and Standard & Poor’s Securities
Evaluations, 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. |
Abacus Group
LLC |
Infinit
Outsourcing |
Abel Noser |
Investment Company Institute
(ICI) |
Advent |
Investor
Analytics |
Advent Custodial Data
(ACD) |
Iron
Mountain |
Advent Portfolio
Exchange |
ITG |
Archway Technology Partners,
LLC |
JPMorgan Worldwide Securities
Services |
Ascendant Compliance
Management |
LexisNexis |
Ashland
Partners |
Lipper |
Barclays
Capital |
LiquidNet |
Barra |
Markit WSO
Services |
Barra Portfolio
Manager |
Misys International Banking
Systems, Inc. |
Black Mountain
Systems |
Moody's Analytics Knowledge
Services |
BlackRock Solutions Aladdin
System |
Morgan
Stanley |
Bloomberg LC |
Morningstar,
Inc. |
Broadridge Financial Solutions,
Inc. |
MSCI Inc. |
Brown Brothers
Harriman |
Omgeo LLC |
Capital Confirmation, Inc.
|
Omgeo
TradeSuite |
Charles River |
Open Finance,
LLC |
Charles River
Development |
Pershing Prime
Services |
Charles River Systems,
Inc. |
Pricing
Direct |
Charles River Trading
System |
Proxy Edge |
Citco Fund
Services |
Quantitative Service
Group |
CitiDirect
(FSR) |
Risk Metrics |
Citigroup Global Transaction
Services |
RR Donnelley and
Sons |
Confluence
Technologies |
Russell Investments
Implementation Services, LLC |
Cortland Capital Market
Services LLC |
SEI Global Services,
Inc. |
Eagle Investment Systems
Corp. |
SEI Manager
Dashboard |
Electra Information
Systems |
SS&C Hedge Fund Services,
North America, Inc. |
Electra Securities &
Reconciliation System |
SS&C
Technologies |
Eze Castle |
State Street Bank &
Trust |
Eze Software
Group |
SunGard/Protogent
PTA |
FactSet |
Super
Derivatives |
FactSet Research Systems
Inc. |
Syntel Inc. |
Financial Recovery Technologies
(FRT) |
TriOptima |
Financial Tracking Technologies
LLC |
Varden Technologies
Inc |
FIS Global Asset
Management |
Vermillion
Software |
Fiserv Solutions,
Inc. |
Viteos Fund
Services |
Global Link -
GTSS |
West Hedge |
Global Trading
Analytics |
Wilshire
Atlas |
Goldman Sachs |
Wolters
Kluwer |
INDATA |
Yield
Book |
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
DIVERSIFIED |
55.99% |
PRINCIPAL TRUST
COMPANY |
DELAWARE |
PRINCIPAL
HOLDING |
INTERNATIONAL |
PRINCIPAL TRUST TARGET
DATE |
COMPANY, LLC
(1) | ||
COLLECTIVE INVESTMENT
FUNDS |
||||
1013 CENTRE RD STE
300 |
||||
WILMINGTON DE
19805-1265 |
||||
EQUITY INCOME |
29.82% |
PRINCIPAL LIFE INSURANCE CO
CUST. |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PRINCIPAL FINANCIAL
GROUP |
COMPANY, LLC
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
FINISTERRE |
40.93% |
RAYMOND JAMES |
FLORIDA |
RAYMOND
JAMES |
UNCONSTRAINED |
OMNIBUS FOR MUTUAL
FUNDS |
FINANCIAL,
INC. | ||
EMERGING
MARKETS |
HOUSE ACCT FIRM
92500015 |
|||
BOND |
ATTN: COURTNEY
WALLER |
|||
880 CARILLON
PKWY |
||||
ST PETERSBURG FL
33716-1102 |
||||
GLOBAL REAL
ESTATE |
29.39% |
WELLS FARGO CLEARING
SERVICES |
CALIFORNIA |
WELLS FARGO &
|
SECURITIES |
A/C 5650-3862 |
COMPANY | ||
2801 MARKET
STREET |
||||
SAINT LOUIS MO
63103-2523 |
||||
GOVERNMENT MONEY MARKET
|
100.00% |
HARE & CO |
NEW YORK |
HARE & CO.,
LLC |
ATTN STIF RM
130-0280 |
||||
111 SANDERS CREEK
PKWY |
||||
EAST SYRACUSE NY
13057-1382 |
||||
HIGH YIELD I |
33.24% |
PRINCIPAL TRUST
COMPANY |
DELAWARE |
PRINCIPAL
HOLDING |
PRINCIPAL TRUST TARGET
DATE |
COMPANY, LLC
(1) | |||
COLLECTIVE INVESTMENT
FUNDS |
||||
1013 CENTRE RD STE
300 |
||||
WILMINGTON DE
19805-1265 |
||||
HIGH YIELD I |
32.08% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
INFLATION
PROTECTION |
36.50% |
PRINCIPAL TRUST
COMPANY |
DELAWARE |
PRINCIPAL
HOLDING |
PRINCIPAL TRUST TARGET
DATE |
COMPANY, LLC
(1) | |||
COLLECTIVE INVESTMENT
FUNDS |
||||
1013 CENTRE RD STE
300 |
||||
WILMINGTON DE
19805-1265 |
||||
INTERNATIONAL I |
62.63% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
LARGECAP GROWTH
I |
39.07% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
MIDCAP GROWTH |
25.99% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
MIDCAP GROWTH
III |
35.45% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
MIDCAP S&P 400
INDEX |
30.88% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
ATTN NPIO TRADE
DESK |
||||
OMNIBUS |
||||
711 HIGH STREET |
||||
DES MOINES IA
50392-0001 |
||||
MIDCAP VALUE I |
71.24% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL
CAPITAL |
27.11% |
PRINCIPAL LIFE INSURANCE CO
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
APPRECIATION |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | ||
OMNIBUS WRAPPED |
||||
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
61.74% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
STRATEGIC
INCOME |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | ||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME 2010
|
49.31% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2015 |
55.25% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2015 |
41.12% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2020 |
54.94% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2025 |
59.96% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL LIFETIME
2025 |
36.45% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2030 |
57.61% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2035 |
61.56% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2035 |
35.47% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2040 |
58.57% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2045 |
58.37% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2045 |
39.19% |
DELAWARE CHARTER GUAR &
TRUST CO |
DELAWARE |
PRINCIPAL
HOLDING |
D/B/A PRINCIPAL TRUST
COMPANY |
COMPANY, LLC
(1) | |||
INDEPENDENT
PHARMACISTS/RALEY'S |
||||
RETIREE HEALTHCARE
PLAN |
||||
1013 CENTRE RD |
||||
WILMINGTON DE
19805-1265 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL LIFETIME
2050 |
63.32% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2055 |
62.15% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2055 |
35.31% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2060 |
74.83% |
PRINCIPAL LIFE INSURANCE CO
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2065 |
72.49% |
PRINCIPAL LIFE INS COMPANY
CUST |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
ATTN RIS NPIO TRADE
DESK |
||||
OMNIBUS WRAPPED |
||||
711 HIGH STREET |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL LIFETIME
2065 |
25.11% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | |||
ATTN NPIO TRADE
DESK |
||||
OMNIBUS |
||||
711 HIGH STREET |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
74.10% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID INCOME |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL
LIFETIME |
86.06% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2015 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
77.77% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2020 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
75.59% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2025 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
81.01% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2030 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
69.60% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2035 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
70.95% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2040 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
74.34% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2045 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
Fund |
Percent
of
Ownership |
Shareholder
Name and Address |
Jurisdiction
Under
Which
Control
Person
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL
LIFETIME |
82.83% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2050 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
86.37% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2055 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
LIFETIME |
82.01% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
HYBRID 2060 |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
SMALLCAP GROWTH
I |
53.44% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
SMALLCAP S&P 600
|
30.29% |
DCGT AS TTEE AND/OR
CUST |
DELAWARE |
PRINCIPAL
HOLDING |
INDEX |
FBO PLIC VARIOUS RETIREMENT
PLANS |
COMPANY, LLC
(1) | ||
OMNIBUS |
||||
ATTN NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
SMALLCAP VALUE
II |
42.64% |
PRINCIPAL LIFE INS. COMPANY
CUST. |
IOWA |
PRINCIPAL
FINANCIAL |
FBO PRINCIPAL FINANCIAL
GROUP |
SERVICES, INC.
(1) | |||
OMNIBUS WRAPPED |
||||
ATTN RIS NPIO TRADE
DESK |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
(1) Principal Financial Group,
Inc. is the parent of control for Principal Financial Services, Inc.;
Principal Financial Services, Inc. is the parent of control for Principal
Life Insurance Company and Principal Global Investors, LLC; Principal Life
Insurance Company is the parent of control for Principal Holding Company,
LLC. |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
CALIFORNIA MUNICIPAL
(A) |
30.49% |
J. P. MORGAN SECURITIES
LLC |
FBO EXCLUSIVE BENEFIT OF OUR
CUST | ||
4 CHASE METROTECH
CTR | ||
BROOKLYN NY
11245-0003 | ||
CALIFORNIA MUNICIPAL
(A) |
18.17% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
CALIFORNIA MUNICIPAL
(A) |
15.57% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
CALIFORNIA MUNICIPAL
(A) |
7.31% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
CALIFORNIA MUNICIPAL
(A) |
5.56% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR
EAST | ||
BUILDING ONE, 2ND
FLOOR | ||
JACKSONVILLE FL
32246-6484 | ||
CALIFORNIA MUNICIPAL
(C) |
23.38% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
CALIFORNIA MUNICIPAL
(C) |
20.96% |
J. P. MORGAN SECURITIES
LLC |
FBO EXCLUSIVE BENEFIT OF OUR
CUST | ||
4 CHASE METROTECH
CTR | ||
BROOKLYN NY
11245-0003 | ||
CALIFORNIA MUNICIPAL
(C) |
11.04% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
CALIFORNIA MUNICIPAL
(C) |
8.56% |
LPL
FINANCIAL |
OMNIBUS CUSTOMER
ACCOUNT | ||
ATTN MUTUAL FUND
TRADING | ||
4707 EXECUTIVE
DR | ||
SAN DIEGO CA
92121-3091 | ||
CALIFORNIA MUNICIPAL
(C) |
7.46% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
CALIFORNIA MUNICIPAL
(C) |
7.25% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
CALIFORNIA MUNICIPAL
(C) |
6.40% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
CALIFORNIA MUNICIPAL
(I) |
25.05% |
MLPF&S FOR THE SOLE BENEFIT
OF ITS CUSTOMERS |
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
2 | ||
JACKSONVILLE FL
32246-6484 | ||
CALIFORNIA MUNICIPAL
(I) |
17.92% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
CALIFORNIA MUNICIPAL
(I) |
13.90% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
CALIFORNIA MUNICIPAL
(I) |
9.07% |
TD AMERITRADE INC FOR
THE |
EXCLUSIVE BENEFIT OF OUR
CLIENTS | ||
PO BOX 2226 | ||
OMAHA NE
68103-2226 | ||
CALIFORNIA MUNICIPAL
(I) |
7.79% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
CALIFORNIA MUNICIPAL
(I) |
5.67% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
CORE PLUS BOND
(A) |
7.43% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
CORE PLUS BOND
(C) |
23.20% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
CORE PLUS BOND
(C) |
5.78% |
PRINCIPAL LIFE INSURANCE CO
CUST |
IRA IN TAIK
LEE | ||
2920 E SHERIDAN
AVE | ||
DES MOINES IA
50317-3747 | ||
CORE PLUS BOND
(C) |
5.11% |
MLPF&S FOR THE SOLE BENEFIT
OF ITS CUSTOMERS |
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
CORE PLUS BOND
(C) |
5.07% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
CORE PLUS BOND
(I) |
25.51% |
LIFETIME 2020
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(I) |
23.56% |
LIFETIME 2030
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(I) |
11.56% |
LIFETIME 2040
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(I) |
7.89% |
LIFETIME 2025
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(I) |
5.45% |
LIFETIME 2010
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
CORE PLUS BOND
(R1) |
98.26% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(R2) |
98.03% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(R3) |
86.49% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(R4) |
87.73% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND
(R5) |
86.19% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL
(A) |
7.34% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
DIVERSIFIED INTERNATIONAL
(C) |
18.54% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
DIVERSIFIED INTERNATIONAL
(C) |
5.14% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
DIVERSIFIED INTERNATIONAL
(I) |
58.84% |
PRINCIPAL TRUST
COMPANY |
PRINCIPAL TRUST TARGET
DATE | ||
COLLECTIVE INVESTMENT
FUNDS | ||
1013 CENTRE RD STE
300 | ||
WILMINGTON DE
19805-1265 | ||
DIVERSIFIED INTERNATIONAL
(R1) |
97.45% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL
(R2) |
80.81% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL
(R2) |
7.92% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
DIVERSIFIED INTERNATIONAL
(R2) |
5.71% |
STATE STREET BANK AND TRUST
COMPANY |
TRUSTEE AND/OR
CUSTODIAN | ||
FBO ADP ACCESS
PRODUCT | ||
1 LINCOLN ST | ||
BOSTON MA
02111-2901 | ||
DIVERSIFIED INTERNATIONAL
(R3) |
82.94% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL
(R4) |
69.65% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL
(R4) |
14.76% |
PIMS/PRUDENTIAL
RETIREMENT |
AS NOMINEE FOR THE TTEE/CUST PL
006 | ||
INTERIOR SPECIALISTS
INC | ||
1630 FARADAY
AVE | ||
CARLSBAD CA
92008-7313 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
DIVERSIFIED INTERNATIONAL
(R5) |
90.01% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(A) |
21.71% |
J. P. MORGAN SECURITIES
LLC |
FBO EXCLUSIVE BENEFIT OF OUR
CUST | ||
4 CHASE METROTECH
CTR | ||
BROOKLYN NY
11245-0003 | ||
EQUITY INCOME
(A) |
14.18% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY A/C FOR
THE | ||
BENEFIT OF
CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
EQUITY INCOME
(A) |
9.57% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
EQUITY INCOME
(C) |
13.97% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
EQUITY INCOME
(C) |
13.65% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
EQUITY INCOME
(C) |
9.41% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
EQUITY INCOME
(C) |
8.69% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
EQUITY INCOME
(C) |
6.60% |
RAYMOND
JAMES |
OMNIBUS FOR MUTUAL
FUNDS | ||
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
EQUITY INCOME
(I) |
37.34% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL FINANCIAL GROUP
OMNIBUS WRAPPED | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(I) |
10.42% |
SAM BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
8.44% |
SAM CONS GROWTH PORTFOLIO
PIF | |
EQUITY INCOME
(I) |
ATTN MUTUAL FUND ACCOUNTING
H221 | |
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(I) |
5.13% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
EQUITY INCOME
(R1) |
70.11% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(R1) |
26.97% |
STIFEL NICOLAUS & CO
INC |
EXCLUSIVE BENEFIT OF
CUSTOMERS | ||
501 N
BROADWAY | ||
SAINT LOUIS MO
63102-2188 | ||
EQUITY INCOME
(R2) |
63.53% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(R2) |
35.56% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
EQUITY INCOME
(R3) |
80.84% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(R3) |
8.58% |
FIIOC |
FBO ISIS PHARMACEUTICALS 401K
PLAN | ||
100 MAGELLAN WAY
(KWIC) | ||
COVINGTON KY
41015-1987 | ||
EQUITY INCOME
(R4) |
90.21% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME
(R5) |
92.61% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
FINISTERRE
UNCONSTRAINED |
32.77% |
NATIONAL FINANCIAL SERVICES
LLC |
EMERGING MARKETS BOND
(A) |
FOR THE EXCL BENE OF OUR
CUSTOMERS | |
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
FINISTERRE
UNCONSTRAINED |
12.10% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EMERGING MARKETS BOND
(A) |
IRA ROBERT
YBARRA | |
17416 CRESCENT
DR | ||
MADERA CA
93638-0577 | ||
FINISTERRE
UNCONSTRAINED |
9.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EMERGING MARKETS BOND
(A) |
IRA R/O RICHARD R
HELBING | |
PO BOX 25 | ||
ANTIGO WI
54409-0025 | ||
FINISTERRE
UNCONSTRAINED |
7.37% |
PERSHING LLC |
EMERGING MARKETS BOND
(A) |
1 PERSHING
PLZ | |
JERSEY CITY NJ
07399-0001 | ||
FINISTERRE
UNCONSTRAINED |
5.01% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EMERGING MARKETS BOND
(A) |
SIMPLE IRA OF T JEFFREY
PRZYBYLA | |
15506 BEECHAM
DR | ||
HOUSTON TX
77068-2121 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
FINISTERRE
UNCONSTRAINED |
64.13% |
RAYMOND
JAMES |
EMERGING MARKETS BOND
(I) |
OMNIBUS FOR MUTUAL
FUNDS | |
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
FINISTERRE
UNCONSTRAINED |
19.46% |
NATIONAL FINANCIAL SERVICES
LLC |
EMERGING MARKETS BOND
(I) |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | |
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
FINISTERRE
UNCONSTRAINED |
9.83% |
BANKERS TRUST
COMPANY |
EMERGING MARKETS BOND
(I) |
FBO DEF COMP FOR SELECT
INV | |
PROFESSIONALS OF PFG AND
ITS | ||
ATTN MARK
HARRISON | ||
453 7TH ST PO BOX
897 | ||
DES MOINES IA
50392-0001 | ||
FINISTERRE
UNCONSTRAINED |
6.55% |
PERSHING LLC |
EMERGING MARKETS BOND
(I) |
1 PERSHING
PLZ | |
JERSEY CITY NJ
07399-0001 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
13.89% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
13.45% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
13.11% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
8.57% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
7.47% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL DIVERSIFIED INCOME
(A) |
5.83% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
GLOBAL DIVERSIFIED INCOME
(A) |
5.02% |
LPL
FINANCIAL |
OMNIBUS CUSTOMER
ACCOUNT | ||
ATTN MUTUAL FUND
TRADING | ||
4707 EXECUTIVE
DR | ||
SAN DIEGO CA
92121-3091 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
22.14% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
13.79% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
13.00% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
9.45% |
RAYMOND
JAMES |
OMNIBUS FOR MUTUAL
FUNDS | ||
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
8.26% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
5.88% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
GLOBAL DIVERSIFIED INCOME
(C) |
5.80% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY ACCT FBO
CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL DIVERSIFIED INCOME
(C) |
5.65% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
23.58% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
14.77% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
10.21% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
8.96% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
6.36% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
6.30% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
6.29% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY A/C FOR THE
BENEFIT OF CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
GLOBAL DIVERSIFIED INCOME
(I) |
5.86% |
LPL
FINANCIAL |
OMNIBUS CUSTOMER
ACCOUNT | ||
ATTN MUTUAL FUND
TRADING | ||
4707 EXECUTIVE
DR | ||
SAN DIEGO CA
92121-3091 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL DIVERSIFIED INCOME
(I) |
5.80% |
RAYMOND
JAMES |
OMNIBUS FOR MUTUAL
FUNDS | ||
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
GLOBAL DIVERSIFIED INCOME
(R6) |
50.01% |
PRINCIPAL TRUST
COMPANY |
PRINCIPAL TRUST TARGET
DATE | ||
COLLECTIVE INVESTMENT
FUNDS | ||
1013 CENTRE RD STE
300 | ||
WILMINGTON DE
19805-1265 | ||
GLOBAL DIVERSIFIED INCOME
(R6) |
14.48% |
LIFETIME 2020
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL DIVERSIFIED INCOME
(R6) |
12.13% |
LIFETIME 2030
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL DIVERSIFIED INCOME
(R6) |
5.81% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL DIVERSIFIED INCOME
(T) |
100.00% |
PRINCIPAL GLOBAL INVESTORS
LLC |
ATTN SEAN CLINES
801-9A08 | ||
801 GRAND
AVE | ||
DES MOINES IA
50309-8000 | ||
GLOBAL REAL ESTATE SECURITIES
(A) |
26.30% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY A/C FBO
CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
STREET | ||
SAN FRANCISCO CA
94104-4151 | ||
GLOBAL REAL ESTATE SECURITIES
(A) |
15.95% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL REAL ESTATE SECURITIES
(A) |
13.96% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
3 | ||
JACKSONVILLE FL
32246-6484 | ||
GLOBAL REAL ESTATE SECURITIES
(A) |
6.36% |
TD AMERITRADE INC FOR
THE |
EXCLUSIVE BENEFIT OF OUR
CLIENTS | ||
PO BOX 2226 | ||
OMAHA NE
68103-2226 | ||
GLOBAL REAL ESTATE SECURITIES
(C) |
30.48% |
RAYMOND
JAMES |
OMNIBUS FOR MUTUAL
FUNDS | ||
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
GLOBAL REAL ESTATE SECURITIES
(C) |
13.64% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GLOBAL REAL ESTATE SECURITIES
(C) |
13.01% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
GLOBAL REAL ESTATE SECURITIES
(C) |
9.46% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GLOBAL REAL ESTATE SECURITIES
(C) |
5.14% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
GLOBAL REAL ESTATE SECURITIES
(I) |
39.57% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GLOBAL REAL ESTATE SECURITIES
(I) |
12.44% |
CHARLES SCHWAB & CO
INC |
ATTN MUTUAL FUND
OPS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL REAL ESTATE SECURITIES
(I) |
12.13% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF
OUR | ||
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GLOBAL REAL ESTATE SECURITIES
(R3) |
73.58% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R3) |
25.42% |
PRINCIPAL TRUST
COMPANY |
FBO BLUE ROCK REFINISHING
SOLUTIONS | ||
LLC CASH BALANCE
PLAN | ||
2974 CLEVELAND AVE
N | ||
SAINT PAUL MN
55113-1101 | ||
GLOBAL REAL ESTATE SECURITIES
(R4) |
43.02% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R4) |
36.05% |
PRINCIPAL TRUST
COMPANY |
FBO INMOWI INC DEFINED BENEFIT
PENSION PLAN | ||
2 SYCAMORE | ||
NEWPORT COAST CA
92657-1633 | ||
GLOBAL REAL ESTATE SECURITIES
(R4) |
20.91% |
PRINCIPAL GLOBAL INVESTORS
LLC |
ATTN SEAN CLINES
801-9A08 | ||
801 GRAND
AVE | ||
DES MOINES IA
50309-8000 | ||
GLOBAL REAL ESTATE SECURITIES
(R5) |
99.51% |
PRINCIPAL GLOBAL INVESTORS
LLC |
ATTN SEAN CLINES
801-9A08 | ||
801 GRAND
AVE | ||
DES MOINES IA
50309-8000 | ||
GLOBAL REAL ESTATE SECURITIES
(R6) |
25.16% |
SAM BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R6) |
17.79% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GLOBAL REAL ESTATE SECURITIES
(R6) |
16.07% |
SAM STRATEGIC GROWTH PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R6) |
13.85% |
SAM CONS GROWTH PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R6) |
8.72% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL FINANCIAL GROUP
OMNIBUS WRAPPED | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GLOBAL REAL ESTATE SECURITIES
(R6) |
6.23% |
SAM CONS BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (A) |
18.27% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GOVERNMENT & HIGH QUALITY
BOND (A) |
13.23% |
J. P. MORGAN SECURITIES
LLC |
FBO EXCLUSIVE BENEFIT OF OUR
CUST | ||
4 CHASE METROTECH
CTR | ||
BROOKLYN NY
11245-0003 | ||
GOVERNMENT & HIGH QUALITY
BOND (C) |
27.56% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GOVERNMENT & HIGH QUALITY
BOND (C) |
14.36% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
GOVERNMENT & HIGH QUALITY
BOND (C) |
5.62% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (I) |
29.30% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GOVERNMENT & HIGH QUALITY
BOND (I) |
25.43% |
SAM BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (I) |
16.73% |
SAM CONS BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (I) |
11.72% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
GOVERNMENT & HIGH QUALITY
BOND (I) |
9.01% |
SAM CONS GROWTH PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (R1) |
66.40% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (R1) |
24.33% |
PRINCIPAL TRUST
COMPANY |
FBO KANE HANDEL DEFINED BENEFIT
PLAN | ||
3525 DEL MAR HEIGHTS ROAD STE
231 | ||
SAN DIEGO CA
92130-2199 | ||
GOVERNMENT & HIGH QUALITY
BOND (R1) |
5.68% |
COUNSEL TRUST DBA MATC
FBO |
L A CONSULTING 401 K
PROFIT | ||
SHARING PLAN &
TRUST | ||
1251 WATERFRONT PL STE
525 | ||
PITTSBURGH PA
15222-4228 | ||
GOVERNMENT & HIGH QUALITY
BOND (R2) |
76.16% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
2 | ||
JACKSONVILLE FL
32246-6484 | ||
GOVERNMENT & HIGH QUALITY
BOND (R2) |
22.30% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (R3) |
74.18% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
GOVERNMENT & HIGH QUALITY
BOND (R4) |
71.58% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (R4) |
16.82% |
MATRIX AS TTEE FBO
BRANDYWINE |
REALTY TR AMD & RSTD
EXECUTIVE | ||
DEFFERED
COMPENSATION | ||
PO BOX 52129 | ||
PHOENIX AZ
85072-2129 | ||
GOVERNMENT & HIGH QUALITY
BOND (R5) |
69.91% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND (R5) |
8.11% |
NORTHWEST
ADMINISTRATORS |
FBO NQ EXCESS OF NW
ADMINISTRATORS | ||
ATTN GAYLE
BUSHNELL | ||
2323 EASTLAKE AVE
E | ||
SEATTLE WA
98102-3963 | ||
GOVERNMENT MONEY MARKET
(I) |
100.00% |
HARE &
CO |
ATTN STIF RM
130-0280 | ||
111 SANDERS CREEK
PKWY | ||
EAST SYRACUSE NY
13057-1382 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
HIGH YIELD (A) |
15.33% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY A/C FOR THE
BENEFIT OF CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
HIGH YIELD (A) |
13.84% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
HIGH YIELD (A) |
9.09% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
HIGH YIELD (A) |
6.05% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
HIGH YIELD (A) |
5.39% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR EAST 3RD
FL | ||
JACKSONVILLE FL
32246-6484 | ||
HIGH YIELD (C) |
25.99% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
HIGH YIELD (C) |
11.17% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
HIGH YIELD (C) |
10.32% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
HIGH YIELD (C) |
6.62% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
HIGH YIELD (C) |
6.04% |
LPL
FINANCIAL |
OMNIBUS CUSTOMER
ACCOUNT | ||
ATTN MUTUAL FUND
TRADING | ||
4707 EXECUTIVE
DR | ||
SAN DIEGO CA
92121-3091 | ||
HIGH YIELD (C) |
5.55% |
MORGAN STANLEY SMITH
BARNEY |
HARBOR FINANCIAL
CENTER | ||
PLAZA 2 3RD
FLOOR | ||
JERSEY CITY NJ
07311 | ||
HIGH YIELD (C) |
5.48% |
RAYMOND
JAMES |
OMNIBUS FOR MUTUAL
FUNDS | ||
HOUSE ACCT FIRM
92500015 | ||
ATTN: COURTNEY
WALLER | ||
880 CARILLON
PKWY | ||
ST PETERSBURG FL
33716-1102 | ||
HIGH YIELD (C) |
5.45% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR EAST 3RD
FL | ||
JACKSONVILLE FL
32246-6484 | ||
HIGH YIELD (I) |
28.41% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
HIGH YIELD (I) |
13.63% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
HIGH YIELD (I) |
12.95% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
HIGH YIELD (I) |
6.42% |
CHARLES SCHWAB & CO
INC |
SPECIAL CUSTODY A/C FOR THE
BENEFIT OF CUSTOMERS | ||
ATTN MUTUAL
FUNDS | ||
101 MONTGOMERY
ST | ||
SAN FRANCISCO CA
94104-4151 | ||
HIGH YIELD (I) |
5.95% |
UBS WM USA |
0O0 11011 6100 OMNI ACCOUNT
M/F | ||
SPEC CDY A/C EBOC
UBSFSI | ||
1000 HARBOR
BLVD | ||
WEEHAWKEN NJ
07086-6761 |
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
HIGH YIELD (R6) |
26.61% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD (R6) |
16.21% |
SAM BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD (R6) |
11.89% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL FINANCIAL GROUP
OMNIBUS WRAPPED | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD (R6) |
10.07% |
SAM CONS BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD (R6) |
7.75% |
THE PRINCIPAL TRST FOR
PST-RTRMENT |
FOR MEDICAL BENEFITS FOR
EMPLOYEES 61021 | ||
ATTN STEPHANIE WATTS
711-4D79 | ||
PRINCIPAL FINANCIAL
GROUP | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD (T) |
100.00% |
PRINCIPAL GLOBAL INVESTORS
LLC |
ATTN SEAN CLINES
801-9A08 | ||
801 GRAND
AVE | ||
DES MOINES IA
50309-8000 | ||
HIGH YIELD I
(A) |
18.94% |
STIFEL NICOLAUS & CO
INC |
EXCLUSIVE BENEFIT OF
CUSTOMERS | ||
501 N
BROADWAY | ||
SAINT LOUIS MO
63102-2188 | ||
HIGH YIELD I
(A) |
16.68% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
HIGH YIELD I
(A) |
7.98% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
HIGH YIELD I
(I) |
33.44% |
PRINCIPAL TRUST
COMPANY |
PRINCIPAL TRUST TARGET
DATE | ||
COLLECTIVE INVESTMENT
FUNDS | ||
1013 CENTRE RD STE
300 | ||
WILMINGTON DE
19805-1265 | ||
HIGH YIELD I
(I) |
32.27% |
PRINCIPAL LIFE INS. COMPANY
CUST |
FBO PRINCIPAL FINANCIAL GROUP
OMNIBUS WRAPPED | ||
ATTN RIS NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD I
(I) |
9.15% |
LIFETIME 2040
FUND |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
HIGH YIELD I
(I) |
5.57% |
DCGT AS TTEE AND/OR
CUST |
FBO SANFORD CUSTOM TARGET DATE
FUND | ||
OF FUNDS SEP
ACCTS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (A) |
21.82% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
INCOME (A) |
14.20% |
J. P. MORGAN SECURITIES
LLC |
FBO EXCLUSIVE BENEFIT OF OUR
CUST | ||
4 CHASE METROTECH
CTR | ||
BROOKLYN NY
11245-0003 | ||
INCOME (C) |
23.68% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
INCOME (C) |
10.53% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
INCOME (C) |
5.03% |
PERSHING LLC |
1 PERSHING
PLZ | ||
JERSEY CITY NJ
07399-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
INCOME (I) |
54.21% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR EXCLUSIVE BENEFIT OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
INCOME (I) |
23.45% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R1) |
94.42% |
VOYA INSTITUTIONAL TRUST
COMPANY |
1 ORANGE WAY | ||
WINDSOR CT
06095-4773 | ||
INCOME (R2) |
65.09% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R2) |
30.77% |
MLPF&S FOR THE
SOLE |
BENEFIT OF ITS
CUSTOMERS | ||
ATTN FUND
ADMINISTRATION | ||
4800 DEER LAKE DR E FL
2 | ||
JACKSONVILLE FL
32246-6484 | ||
INCOME (R3) |
91.46% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R4) |
98.86% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R5) |
95.48% |
DCGT AS TTEE AND/OR
CUST |
FBO PLIC VARIOUS RETIREMENT
PLANS OMNIBUS | ||
ATTN NPIO TRADE
DESK | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R6) |
30.81% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Fund/Class |
Percent of Ownership |
Name and
Address of Owner |
INCOME (R6) |
26.24% |
SAM BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R6) |
20.48% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL FINANCIAL GROUP
OMNIBUS WRAPPED | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R6) |
14.52% |
SAM CONS BALANCED PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME (R6) |
7.54% |
SAM CONS GROWTH PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INFLATION PROTECTION
(A) |
29.17% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
INFLATION PROTECTION
(C) |
15.22% |
NATIONAL FINANCIAL SERVICES
LLC |
FOR THE EXCL BENE OF OUR
CUSTOMERS | ||
499 WASHINGTON
BLVD | ||
ATTN MUTUAL FUNDS DEPT 4TH
FL | ||
JERSEY CITY NJ
07310-1995 | ||
INFLATION PROTECTION
(C) |
5.19% |
WELLS FARGO CLEARING SERVICES
LLC |
SPECIAL CUSTODY ACCT FOR
THE | ||
EXCLUSIVE BENEFIT OF
CUSTOMER | ||
2801 MARKET
ST | ||
SAINT LOUIS MO
63103-2523 | ||
INFLATION PROTECTION
(I) |
37.33% |
PRINCIPAL TRUST
COMPANY |
PRINCIPAL TRUST TARGET
DATE | ||
COLLECTIVE INVESTMENT
FUNDS | ||
1013 CENTRE RD STE
300 | ||
WILMINGTON DE
19805-1265 | ||
INFLATION PROTECTION
(I) |
11.63% |
SAM FLEXIBLE INCOME PORTFOLIO
PIF |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||