TABLE OF
CONTENTS
| ||||
FUND HISTORY |
||||
DESCRIPTION OF THE FUNDS'
INVESTMENTS AND RISKS |
||||
LEADERSHIP STRUCTURE AND BOARD
OF DIRECTORS |
||||
INVESTMENT ADVISORY AND OTHER
SERVICES |
||||
MULTIPLE CLASS
STRUCTURE |
||||
INTERMEDIARY
COMPENSATION |
||||
BROKERAGE ALLOCATION AND OTHER
PRACTICES |
||||
SHAREHOLDER
RIGHTS |
||||
PRICING OF ACCOUNT
SHARES |
||||
TAX
CONSIDERATIONS |
||||
PORTFOLIO HOLDINGS
DISCLOSURE |
||||
PROXY VOTING POLICIES AND
PROCEDURES |
||||
FINANCIAL
STATEMENTS |
||||
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM |
||||
GENERAL
INFORMATION |
||||
CONTROL PERSONS AND PRINCIPAL
HOLDERS OF SECURITIES |
||||
PORTFOLIO MANAGER
DISCLOSURE |
||||
APPENDIX A - DESCRIPTION OF
BOND RATINGS |
||||
APPENDIX B - PROXY VOTING
POLICIES |
Share
Class | ||
Account
Name |
1 |
2 |
Bond Market
Index |
X |
|
Core Plus Bond
|
X |
X |
Diversified
Balanced |
X |
X |
Diversified Balanced Managed
Volatility |
X | |
Diversified Balanced
Volatility Control |
X | |
Diversified
Growth |
X | |
Diversified Growth Managed
Volatility |
X | |
Diversified Growth Volatility
Control |
X | |
Diversified
Income |
X | |
Diversified
International |
X |
X |
Equity Income |
X |
X |
Government & High Quality
Bond |
X |
X |
Income |
X |
X |
International Emerging
Markets |
X |
X |
LargeCap
Growth |
X |
X |
LargeCap Growth
I |
X |
X |
LargeCap S&P 500
Index |
X |
X |
LargeCap S&P 500 Managed
Volatility Index |
X |
|
LargeCap Value |
X |
X |
MidCap |
X |
X |
Multi-Asset
Income |
X |
X |
Principal Capital
Appreciation |
X |
X |
Principal LifeTime Strategic
Income |
X |
|
Principal LifeTime
2010 |
X |
|
Principal LifeTime
2020 |
X |
X |
Principal LifeTime
2030 |
X |
X |
Principal LifeTime
2040 |
X |
X |
Principal LifeTime
2050 |
X |
X |
Principal LifeTime
2060 |
X |
|
Real Estate
Securities |
X |
X |
SAM (Strategic Asset
Management) Balanced |
X |
X |
SAM (Strategic Asset
Management) Conservative Balanced |
X |
X |
SAM (Strategic Asset
Management) Conservative Growth |
X |
X |
SAM (Strategic Asset
Management) Flexible Income |
X |
X |
SAM (Strategic Asset
Management) Strategic Growth |
X |
X |
Short-Term
Income |
X |
X |
SmallCap |
X |
X |
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 Account reserves freedom of action to
hold and to sell real estate acquired as a result of the Account’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: |
b) |
The other Accounts 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) |
may not act as an underwriter
of securities, except to the extent that the Account may be deemed to be
an underwriter in connection with the sale of securities held in its
portfolio. |
8) |
has adopted a concentration
policy, as follows: |
a) |
The Real Estate Securities
Account will concentrate its investments in a particular industry or group
of industries as described in the
prospectus. |
b) |
the Bond Market Index,
LargeCap S&P 500 Index, and LargeCap S&P 500 Managed Volatility
Index Accounts 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 Accounts 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. |
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. |
2) |
Pledge, mortgage, or
hypothecate its assets, except to secure permitted
borrowings. |
a) |
With respect to the Principal
LifeTime, Diversified Balanced, Diversified Balanced Managed Volatility,
Diversified Balanced Volatility Control, Diversified Growth, Diversified
Growth Managed Volatility, Diversified Growth Volatility Control,
Diversified Income and Multi-Asset Income Accounts and 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 Accounts, 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, 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. |
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 Diversified International,
and International Emerging Markets Accounts each may invest up to 100% of
its assets in foreign securities; |
b) |
the Bond Market Index,
LargeCap S&P 500 Index and LargeCap S&P 500 Managed Volatility
Index Accounts may invest in foreign securities to the extent that the
relevant index is so invested; |
c) |
the Government & High
Quality Bond Account may not invest in foreign securities;
and |
d) |
the Principal LifeTime,
Diversified Balanced, Diversified Balanced Managed Volatility, Diversified
Balanced Volatility Control, Diversified Growth, Diversified Growth
Managed Volatility, Diversified Growth Volatility Control, Diversified
Income and Multi-Asset Income Accounts and 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 SEC. The Account may purchase securities of
closed-end investment companies in the open market where no underwriter or
dealer’s commission or profit, other than a customary broker’s commission,
is involved. |
• |
foreign currency investments,
each Account 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
Account’s investments in cash and/or cash equivalents to the extent such
instruments are used to cover the Account’s exposure under its forward
foreign currency contracts and similar
investments. |
• |
derivatives instruments, each
Account will typically count the mark-to-market value of such derivatives.
However, an Account may use a derivative contract's notional value when it
determines that notional value is an appropriate measure of the Account'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 Account’s books for the
purpose of covering the full notional value of the swap), each Account
will count the value of such cash and/or cash
equivalents. |
• |
investments in underlying
funds (including ETFs), each Account 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 Account's name. |
• |
Exchange-Traded Options. An
exchange-traded option may be closed out only on an exchange that
generally provides a liquid secondary market for an option of the same
series. If a liquid secondary market for an exchange-traded option does
not exist, it might not be possible to effect a closing transaction with
respect to a particular option, with the result that an Account would have
to exercise the option in order to consummate the
transaction. |
• |
Over the Counter ("OTC")
Options. OTC options differ from exchange-traded options in that they are
two-party contracts, with price and other terms negotiated between buyer
and seller, and generally do not have as much market liquidity as
exchange-traded options. An OTC option (an option not traded on an
established exchange) may be closed out only by agreement with the other
party to the original option transaction. With OTC options, an Account is
at risk that the other party to the transaction will default on its
obligations or will not permit the Account to terminate the transaction
before its scheduled maturity. While an Account will seek to enter into
OTC options only with dealers who agree to or are expected to be capable
of entering into closing transactions with such Account, there can be no
assurance that an Account will be able to liquidate an OTC option at a
favorable price at any time prior to its expiration. OTC options are not
subject to the protections afforded purchasers of listed options by the
Options Clearing Corporation or other clearing
organizations. |
• |
Writing
Call and Put Options. When an Account writes a
call option, it gives the purchaser of the option the right to buy a
specific security at a specified price at any time before the option
expires. When an Account writes a put option, it gives the purchaser of
the option the right to sell to the Account a specific security at a
specified price at any time before the option expires. In both situations,
the Account receives a premium from the purchaser of the
option. |
• |
Interest rate swaps. Interest
rate swaps involve the exchange by an Account with another party of their
respective commitments to pay or receive interest (for example, an
exchange of floating rate payments for fixed rate payments with respect to
a notional amount of principal). Forms of swap agreements also include
interest rate caps, under which, in return for a premium, one party agrees
to make payments to the other to the extent that interest rates exceed a
specified rate, or "cap"; interest rate floors, under which, in return for
a premium, one party agrees to make payments to the other to the extent
that interest rates fall below a specified rate, or "floor"; and interest
rate collars, under which a party sells a cap and purchases a floor or
vice versa in an attempt to protect itself against interest rate movements
exceeding given minimum or maximum
levels. |
• |
Currency swaps. A currency
swap is an agreement to exchange cash flows on a notional amount based on
changes in the relative values of the specified
currencies. |
• |
Index swaps. An index swap is
an agreement to make or receive payments based on the different returns
that would be achieved if a notional amount were invested in a specified
basket of securities (such as the S&P 500 Index) or in some other
investment (such as U.S. Treasury
Securities). |
• |
Total return swaps. A total
return swap is an agreement to make payments of the total return from a
specified asset or instrument (or a basket of such instruments) during the
specified period, in return for payments equal to a fixed or floating rate
of interest or the total return from another specified asset or
instrument. Alternatively, a total return swap can be structured so that
one party will make payments to the other party if the value of the
relevant asset or instrument increases, but receive payments from the
other party if the value of that asset or instrument
decreases. |
• |
Commodity swap agreements.
Consistent with an Account's investment objectives and general investment
policies, certain of the Accounts may invest in commodity swap agreements.
For example, an investment in a commodity swap agreement may involve the
exchange of floating-rate interest payments for the total return on a
commodity index. In a total return commodity swap, an Account will receive
the price appreciation of a commodity index, a portion of the index, or a
single commodity in exchange for paying an agreed-upon fee. If the
commodity swap is for one period, an Account may pay a fixed fee,
established at the outset of the swap. However, if the term of the
commodity swap is for more than one period, with interim swap payments, an
Account may pay an adjustable or floating fee. With a "floating" rate, the
fee may be pegged to a base rate, such as the London Interbank Offered
Rate, and is adjusted each period. Therefore, if interest rates increase
over the term of the swap contract, an Account may be required to pay a
higher fee at each swap reset date. |
• |
Credit default swap
agreements. The "buyer" in a credit default contract is obligated to pay
the "seller" a periodic stream of payments over the term of the contract
provided that no event of default on an underlying reference obligation
has occurred. If an event of default occurs, the seller must pay the buyer
the full notional value, or "par value," of the reference obligation in
exchange for the reference obligation. An Account may be either the buyer
or seller in a credit default swap transaction. If an Account is a buyer
and no event of default occurs, the Account will lose its investment and
recover nothing. However, if an event of default occurs, the Account (if
the buyer) will receive the full notional value of the reference
obligation that may have little or no value. As a seller, an Account
receives a fixed rate of income throughout the term of the contract, which
typically is between six months and five years, provided that there is no
default event. If an event of default |
• |
Investment Pools. The Accounts
may invest in publicly or privately issued interests in investment pools
whose underlying assets are credit default, credit-linked, interest rate,
currency exchange, equity-linked or other types of swap contracts and
related underlying securities or securities loan agreements. The pools’
investment results may be designed to correspond generally to the
performance of a specified securities index or “basket” of securities, or
sometimes a single security. These types of pools are often used to gain
exposure to multiple securities with a smaller investment than would be
required to invest directly in the individual securities. They also may be
used to gain exposure to foreign securities markets without investing in
the foreign securities themselves and/or the relevant foreign market. To
the extent that an Account invests in pools of swaps and related
underlying securities or securities loan agreements whose return
corresponds to the performance of a foreign securities index or one or
more foreign securities, investing in such pools will involve risks
similar to the risks of investing in foreign securities. In addition to
the risks associated with investing in swaps generally, an Account bears
the risks and costs generally associated with investing in pooled
investment vehicles, such as paying the fees and expenses of the pool and
the risk that the pool or the operator of the pool may default on its
obligations to the holder of interests in the pool, such as an Account.
Interests in privately offered investment pools of swaps may be considered
illiquid. |
• |
Contracts for differences.
“Contracts for differences” are swap arrangements in which an Account may
agree with a counterparty that its return (or loss) will be based on the
relative performance of two different groups or “baskets” of securities.
For example, as to one of the baskets, an Account’s return is based on
theoretical long futures positions in the securities comprising that
basket, and as to the other basket, an Account’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. An Account may also
use actual long and short futures positions to achieve the market
exposure(s) as contracts for differences. An Account 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. An Account may engage in swap
options for hedging purposes or in an attempt to manage and mitigate
credit and interest rate risk. Each Account may write (sell) and purchase
put and call swap options. The use of swap options involves risks,
including, among others, imperfect correlation between movements of the
price of the swap options and the price of the securities, indices or
other assets serving as reference instruments for the swap option,
reducing the effectiveness of the instrument for hedging or investment
purposes. |
• |
the frequency of trades and
quotations, |
• |
the number of dealers and
prospective purchasers in the
marketplace, |
• |
dealer undertakings to make a
market, |
• |
the nature of the security
(including any demand or tender features),
and |
• |
the nature of the marketplace
for trades (including the ability to assign or offset a portfolio's rights
and obligations relating to the
investment). |
• |
Bank Notes are notes issued by
local governmental bodies and agencies such as those described above to
commercial banks as evidence of borrowings. The purposes for which the
notes are issued are varied but they are frequently issued to meet
short-term working-capital or capital-project needs. These notes may have
risks similar to the risks associated with TANs and
RANs. |
• |
Bond Anticipation Notes
("BANs") are usually general obligations of state and local governmental
issuers which are sold to obtain interim financing for projects that will
eventually be funded through the sale of long-term debt obligations or
bonds. The ability of an issuer to meet its obligations on its BANs is
primarily dependent on the issuer's access to the long-term municipal bond
market and the likelihood that the proceeds of such bond sales will be
used to pay the principal and interest on the
BANs. |
• |
Construction Loan Notes are
issued to provide construction financing for specific projects. Permanent
financing, the proceeds of which are applied to the payment of
construction loan notes, is sometimes provided by a commitment by the
Government National Mortgage Association ("GNMA") to purchase the loan,
accompanied by a commitment by the Federal Housing Administration to
insure mortgage advances thereunder. In other instances, permanent
financing is provided by commitments of banks to purchase the
loan. |
• |
Revenue Anticipation Notes
("RANs") are issued by governments or governmental bodies with the
expectation that future revenues from a designated source will be used to
repay the notes. In general they also constitute general obligations of
the issuer. A decline in the receipt of projected revenues, such as
anticipated revenues from another level of government, could adversely
affect an issuer's ability to meet its obligations on outstanding RANs. In
addition, the possibility that the revenues would, when received, be used
to meet other obligations could affect the ability of the issuer to pay
the principal and interest on RANs. |
• |
Tax Anticipation Notes
("TANs") are issued by state and local governments to finance the current
operations of such governments. Repayment is generally to be derived from
specific future tax revenues. TANs are usually general obligations of the
issuer. A weakness in an issuer's capacity to raise taxes due to, among
other things, a decline in its tax base or a rise in delinquencies, could
adversely affect the issuer's ability to meet its obligations on
outstanding TANs. |
Account/Portfolio |
2017 |
2016 |
Explanation |
LargeCap S&P 500 Index
|
3.0% |
6.4% |
The 2017 turnover level trended
lower and is more consistent with the historical
average. |
Multi-Asset Income
|
22.7% |
61.0% |
The 2017 turnover level trended
lower due to stability in cash flows and underlying investment funds, and
is more in line with turnover expectations going
forward. |
• |
Traditional Preferred
Securities. Traditional preferred securities may be issued by an entity
taxable as a corporation and pay fixed or floating rate dividends.
However, these claims are subordinated to more senior creditors, including
senior debt holders. “Preference” means that a company must pay dividends
on its preferred securities before paying any dividends on its common
stock, and the claims of preferred securities holders are ahead of common
stockholders’ claims on assets in a corporate liquidation. Holders of
preferred securities usually have no right to vote for corporate directors
or on other matters. Preferred securities share many investment
characteristics with both common stock and
bonds. |
• |
Hybrid or Trust Preferred
Securities. Hybrid-preferred securities are debt instruments that have
characteristics similar to those of traditional preferred securities
(characteristics of both subordinated debt and preferred stock). Hybrid
preferred securities may be issued by corporations, generally in the form
of interest-bearing instruments with preferred securities characteristics,
or by an affiliated trust or partnership of the corporation, generally in
the form of preferred interests in subordinated business trusts or
similarly structured securities. The hybrid-preferred securities market
consists of both fixed and adjustable coupon rate securities that are
either perpetual in nature or have stated maturity dates. Hybrid preferred
holders generally have claims to assets in a corporate liquidation that
are senior to those of traditional preferred securities but subordinate to
those of senior debt holders. Certain subordinated debt and senior debt
issues that have preferred characteristics are also considered to be part
of the broader preferred securities
market. |
• |
Floating rate preferred
securities. Floating rate preferred securities provide for a periodic
adjustment in the interest rate paid on the securities. The terms of such
securities provide that interest rates are adjusted periodically based
upon an interest rate adjustment index. The adjustment intervals may be
regular, and range from daily up to annually, or may be event-based, such
as a change in the short-term interest rate. Because of the interest rate
reset feature, floating rate securities provide the Account with a certain
degree of protection against rising interest rates, although the interest
rates of floating rate securities will participate in any declines in
interest rates as well. |
• |
U.S. Government Securities -
Securities issued or guaranteed by the U.S. government, including treasury
bills, notes, and bonds. |
• |
U.S. Government Agency
Securities - Obligations issued or guaranteed by agencies or
instrumentalities of the U.S. government. |
• |
U.S. agency obligations
include, but are not limited to, the Bank for Cooperatives, Federal Home
Loan Banks, and Federal Intermediate Credit
Banks. |
• |
U.S. instrumentality
obligations include, but are not limited to, the Export-Import Bank,
Federal Home Loan Mortgage Corporation, and Federal National Mortgage
Association. |
• |
Bank Obligations -
Certificates of deposit, time deposits and bankers' acceptances of U.S.
commercial banks having total assets of at least one billion dollars and
overseas branches of U.S. commercial banks and foreign banks, which in the
opinion of those managing the fund's investments, are of comparable
quality. The Account may acquire obligations of U.S. banks that are not
members of the Federal Reserve System or of the Federal Deposit Insurance
Corporation. |
• |
Commercial Paper - Short-term
promissory notes issued by U.S. or foreign
corporations. |
• |
Short-term Corporate Debt -
Corporate notes, bonds, and debentures that at the time of purchase have
397 days or less remaining to maturity, 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
2014)
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
System |
Mary M. (“Meg”) VanDeWeghe 711
High Street
Des Moines, IA
50392
1959 |
Director (since
2018)
Member Operations
Committee |
CEO and President, Forte
Consulting, Inc. (financial and management consulting) |
135 |
Brown Advisory
(2003-2018)
B/E Aerospace
(2014-2017)
WP Carey
(2014-2017)
Nalco (and its successor
Ecolab) (2009-2014) |
Name,
Address,
and Year of
Birth |
Position(s)
Held
with
Fund |
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
|
Executive Director (Since 2017)
Chief Executive Officer
(Since 2015)
President (Since
2015)
Director (Since
2012)
Member Executive Committee
|
Executive Director - Funds and
Director, PGI (since 2017)
Chief Executive Officer &
Director, PFD
(since 2015)
Executive Director/Principal
Funds & Trust, PLIC (since 2015)
VP/Mutual Funds & Broker
Dealer, PLIC (2001-2014)
VP/Chief Operating Officer
Principal Funds, PLIC (2014-2015)
President & Chief Executive
Officer & Chair, PMC (2015-2017)
EVP/Chief Operating Officer,
PMC (2008-2015)
Director, PMC
(2006-2015)
President & Director, PSI
(2005-2015)
Chairman & Executive Vice
President, PSS (since 2015)
President & 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 (since
2011)
Director, Origin (since
2011)
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 |
• |
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) |
Name,
Address
and Year of
Birth |
Position(s)
Held
with Fund
and
Length of
Time Served |
Positions
with the Manager and its Affiliates;
Principal
Occupations During Past 5 Years**
(unless
noted otherwise) |
Michael J. Beer Des Moines, IA 50392 1961 |
Chief Executive Officer (since
2015)
President (since
2015)
Director (since 2012) Member Executive Committee |
Executive Director - Funds and
Director, PGI (since 2017)
Chief Executive Officer &
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 & Chair, PMC (2015-2017)
EVP/Chief Operating Officer,
PMC (2008-2015)
Director, PMC
(2006-2015)
President & Director, PSI
(2005-2015)
Chairman & Executive Vice
President, PSS (since 2015)
President & 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 (since 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 &
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 (since
2011)
Director, Origin (since
2011)
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) |
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) |
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) |
Teri R. Root
Des Moines, IA
50392
1979 |
Chief Compliance Officer (since
2018)
Interim Chief Compliance
Officer (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)
Counsel, PSS
(2007-2013) |
Dan L. Westholm
Des Moines, IA 50392
1966 |
Assistant Treasurer
(since 2006) |
Assistant Vice
President/Treasury, 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, PLIC (Since
2015)
Associate General Counsel,
Governance Officer, and Assistant Corporate Secretary, PLIC (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) |
• |
Finisterre Capital LLP
(Finisterre) |
• |
Morley Capital Management, Inc.
(Morley) |
• |
Origin Asset Management LLP
(Origin) |
• |
Principal Financial Advisors,
Inc. (PFA) |
• |
Principal Funds Distributor,
Inc. (PFD) |
• |
Principal Global Investors, LLC
(PGI) |
• |
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) |
• |
Transamerica Asset Management
Group (TAMG) |
• |
Transamerica Asset Management,
Inc. (TAM) |
• |
Transamerica Life Insurance
Company (TLIC) |
A |
$0 |
B |
$1 up to and including
$10,000 |
C |
$10,001 up to and including
$50,000 |
D |
$50,001 up to and including
$100,000 |
E |
$100,001 or
more |
PVC Account
* |
Ballantine |
Barnes |
Damos |
Grimmett |
Hirsch |
Huang |
McMillan |
Nickels |
VanDeWeghe** |
Core Plus Bond |
A |
A |
A |
C |
A |
A |
A |
A |
A |
Equity Bond |
A |
A |
A |
C |
A |
A |
A |
A |
A |
Government & High Quality
Bond |
A |
A |
A |
C |
A |
A |
A |
A |
A |
Principal LifeTime
2020 |
A |
A |
A |
C |
A |
A |
A |
A |
A |
SAM Balanced |
A |
A |
A |
C |
A |
A |
A |
A |
A |
Total Fund
Complex |
E |
E |
E |
E |
E |
E |
E |
E |
D |
PVC Account
* |
Beer |
Everett |
Halter |
SAM Strategic
Growth |
E |
A |
A |
Total Fund
Complex |
E |
E |
E |
Director |
Funds in
this SAI |
Fund
Complex |
Elizabeth
Ballantine |
$23,291 |
$264,500 |
Leroy Barnes |
$25,495 |
$289,500 |
Craig Damos |
$25,891 |
$306,500 |
Mark A.
Grimmett |
$28,048 |
$318,500 |
Fritz Hirsch |
$26,022 |
$295,500 |
Tao Huang |
$24,701 |
$280,500 |
Karen ("Karrie")
McMillan |
$24,042 |
$273,000 |
Elizabeth A.
Nickels |
$23,953 |
$272,000 |
Mary M. ("Meg")
VanDeWeghe* |
$0 |
$0 |
* |
Director's appointment
effective April 13, 2018. |
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.
|
Account(s): |
Bond Market
Index |
Sub-Advisor: |
Brown
Advisory, LLC (“Brown”) is a wholly-owned subsidiary
of Brown Advisory Management, LLC. |
Account(s): |
a portion of the assets of
LargeCap Growth I |
Sub-Advisor: |
Columbus
Circle Investors ("CCI") is an affiliate of PGI, which
is a member of Principal®. |
Account(s): |
LargeCap
Growth |
Sub-Advisor: |
Principal
Real Estate Investors, LLC ("Principal - REI") is an indirect subsidiary of
Principal Financial Group, Inc. |
Account(s): |
Real Estate
Securities |
Sub-Advisor: |
Spectrum
Asset Management, Inc. ("Spectrum") is an indirect subsidiary of
Principal Financial Group, Inc. |
Account(s): |
a portion of the assets of the
LargeCap S&P 500 Managed Volatility
Index |
Sub-Advisor: |
T. Rowe
Price Associates, Inc. ("T. Rowe Price") is a wholly owned subsidiary
of T. Rowe Price Group, Inc., a financial services holding
company. |
Account(s): |
a portion of the assets of
LargeCap Growth I |
Net Asset
Value of Account | |||||
Account |
First
$250
million |
Next
$250
million |
Next
$250
million |
Next
$250
million |
Thereafter |
Diversified
International |
0.85% |
0.80% |
0.75% |
0.70% |
0.65% |
International Emerging
Markets |
1.25% |
1.20% |
1.15% |
1.10% |
1.05% |
LargeCap Value |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
Net Asset
Value of Account | |||||
Account |
First
$500
million |
Next
$500
million |
Next
$1
billion |
Next
$1
billion |
Over
$3
billion |
LargeCap Growth |
0.68% |
0.63% |
0.61% |
0.56% |
0.51% |
Net Asset
Value of Account | |||||
Account |
First
$2
billion |
Over
$2
billion |
|||
Government & High Quality
Bond |
0.50% |
0.45% |
|||
Income |
0.50% |
0.45% |
Net Asset
Value of Account | |||||
Account |
Overall
Fee |
||||
Bond Market
Index |
0.25% |
||||
Diversified
Balanced |
0.05% |
||||
Diversified Balanced Managed
Volatility |
0.05% |
||||
Diversified Balanced Volatility
Control |
0.12% |
||||
Diversified
Growth |
0.05% |
||||
Diversified Growth Managed
Volatility |
0.05% |
||||
Diversified Growth Volatility
Control |
0.12% |
||||
Diversified
Income |
0.05% |
||||
LargeCap S&P 500
Index |
0.25% |
||||
LargeCap S&P 500 Managed
Volatility Index |
0.45% |
||||
Multi-Asset
Income |
0.03% |
||||
Principal LifeTime Strategic
Income |
0.00% |
||||
Principal LifeTime
2010 |
0.00% |
||||
Principal LifeTime
2020 |
0.00% |
||||
Principal LifeTime
2030 |
0.00% |
||||
Principal LifeTime
2040 |
0.00% |
||||
Principal LifeTime
2050 |
0.00% |
||||
Principal LifeTime
2060 |
0.00% |
Net Asset
Value of Account | |||||
Account |
First
$200
million |
Next
$300
million |
Over
$500
million | ||
Short-Term
Income |
0.50% |
0.45% |
0.40% |
Net Asset
Value of Account | |||||
Account |
First
$500
million |
Over
$500
million |
|||
Principal Capital
Appreciation |
0.625% |
0.50% |
Net Asset
Value of Account | |||||
Account |
First
$1
billion |
Over
$1
billion |
|||
SAM Balanced* |
0.25% |
0.20% |
|||
SAM Conservative
Balanced* |
0.25% |
0.20% |
|||
SAM Conservative
Growth* |
0.25% |
0.20% |
|||
SAM Flexible
Income* |
0.25% |
0.20% |
|||
SAM Strategic
Growth* |
0.25% |
0.20% |
* |
Breakpoints are based on
aggregate SAM Portfolio net assets. |
Net Asset
Value of Account | |||||
Account |
First
$100
million |
Next
$100
million |
Next
$100
million |
Next
$100
million |
Thereafter |
Core Plus Bond |
0.50% |
0.45% |
0.40% |
0.35% |
0.30% |
Equity Income |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
LargeCap Growth
I |
0.80% |
0.75% |
0.70% |
0.65% |
0.60% |
MidCap |
0.65% |
0.60% |
0.55% |
0.50% |
0.45% |
Real Estate
Securities |
0.90% |
0.85% |
0.80% |
0.75% |
0.70% |
SmallCap |
0.85% |
0.80% |
0.75% |
0.70% |
0.65% |
Account |
Class
1 |
Class
2 |
Expiration |
Diversified Balanced Managed
Volatility |
N/A |
0.31% |
4/30/2019 |
Diversified Balanced Volatility
Control |
N/A |
0.39% |
4/30/2019 |
Diversified Growth Managed
Volatility |
N/A |
0.31% |
4/30/2019 |
Diversified Growth Volatility
Control |
N/A |
0.39% |
4/30/2019 |
International Emerging Markets
|
1.35% |
1.60% |
4/30/2019 |
Multi-Asset Income
|
0.08% |
0.33% |
4/30/2019 |
Principal LifeTime
2060 |
0.10% |
N/A |
4/30/2019 |
Account |
Class
1 |
Class
2 |
Expiration |
SAM Balanced |
0.86% |
1.11% |
4/30/2019 |
SAM Conservative
Balanced |
0.84% |
1.09% |
4/30/2019 |
SAM Conservative
Growth |
0.99% |
1.24% |
4/30/2019 |
SAM Strategic
Growth |
0.99% |
1.24% |
4/30/2019 |
Account |
Waiver |
Expiration |
Bond Market
Index |
0.100% |
4/30/2019 |
LargeCap Growth
I |
0.016% |
4/30/2019 |
Management
Fees For Periods Ended December 31, 2017
(amounts
in thousands) | ||||||||||
Account |
2017 |
2016 |
2015 |
|||||||
Bond Market
Index |
5,741 |
|
5,110 |
|
4,635 |
|
||||
Core Plus Bond |
1,326 |
|
1,343 |
|
1,383 |
|
||||
Diversified
Balanced |
572 |
|
534 |
|
519 |
|
||||
Diversified Balanced Managed
Volatility |
88
|
|
77
|
|
59
|
|
||||
Diversified Balanced Volatility
Control |
15 |
|
(1) |
n/a |
|
n/a |
|
|||
Diversified
Growth |
1,900 |
|
1,687 |
|
1,543 |
|
||||
Diversified Growth Managed
Volatility |
170
|
|
142
|
|
105
|
|
||||
Diversified Growth Volatility
Control |
70 |
|
(1) |
n/a |
|
n/a |
|
|||
Diversified
Income |
127 |
|
114 |
|
92 |
|
||||
Diversified
International |
2,327 |
|
2,176 |
|
2,979 |
|
||||
Equity Income |
2,719 |
|
2,641 |
|
2,854 |
|
||||
Government & High Quality
Bond |
1,245 |
|
1,355 |
|
1,522 |
|
||||
Income |
1,107 |
|
1,219 |
|
1,364 |
|
||||
International Emerging
Markets |
1,285 |
|
1,080 |
|
1,236 |
|
||||
LargeCap Growth |
751 |
|
721 |
|
841 |
|
||||
LargeCap Growth
I |
2,093 |
|
1,854 |
|
1,873 |
|
||||
LargeCap S&P 500
Index |
6,115 |
|
5,367 |
|
4,961 |
|
||||
LargeCap S&P 500 Managed
Volatility Index |
967 |
|
816 |
|
611 |
|
||||
LargeCap Value |
856 |
|
840 |
|
967 |
|
||||
MidCap |
3,143 |
|
3,218 |
|
3,579 |
|
||||
Multi-Asset
Income |
— |
|
20 |
|
— |
|
(2) |
|||
Principal Capital
Appreciation |
989 |
|
972 |
|
825 |
|
||||
Principal LifeTime
2010 |
— |
|
2 |
|
14 |
|
||||
Principal LifeTime
2020 |
— |
|
9 |
|
61 |
|
||||
Principal LifeTime
2030 |
— |
|
5 |
|
36 |
|
||||
Principal LifeTime
2040 |
— |
|
20 |
|
14 |
|
||||
Principal LifeTime
2050 |
— |
|
1 |
|
7 |
|
||||
Principal LifeTime
2060 |
— |
|
— |
|
1
|
|
||||
Principal LifeTime Strategic
Income |
— |
|
1 |
|
8 |
|
||||
Real Estate
Securities |
1,394 |
|
1,448 |
|
1,440 |
|
||||
SAM Balanced |
1,776 |
|
1,817 |
|
2,015 |
|
||||
SAM Conservative Balanced
|
455 |
|
472 |
|
498 |
|
||||
SAM Conservative Growth
|
743 |
|
673 |
|
690 |
|
||||
SAM Flexible Income
|
493 |
|
494 |
|
528 |
|
||||
SAM Strategic Growth
|
616 |
|
545 |
|
544 |
|
||||
Short-Term
Income |
828 |
|
836 |
|
1,082 |
|
||||
SmallCap |
1,724 |
|
1,640 |
|
1,469 |
|
Aggregate
Fees Paid to Sub-Advisers (other than Wholly-Owned
Sub-Advisers)
for Fiscal
Years Ended December 31 (dollar amounts in thousands) | ||||||
Account |
2017 |
2016 |
2015 | |||
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets |
Dollar
Amount |
Percent
of Average
Daily Net Assets | |
Bond Market
Index |
$925 |
0.04% |
$861 |
0.04% |
$790 |
0.04% |
LargeCap Growth
I |
$614 |
0.22% |
$526 |
0.22% |
$523 |
0.21% |
• |
formulation and implementation
of marketing and promotional activities; |
• |
preparation, printing, and
distribution of sales literature; |
• |
preparation, printing, and
distribution of prospectuses and the Account reports to other than
existing shareholders; |
• |
obtaining such information
with respect to marketing and promotional activities as the Distributor
deems advisable; |
• |
making payments to dealers and
others engaged in the sale of shares or who engage in shareholder support
services; and |
• |
providing training, marketing,
and support with respect to the sale of
shares. |
Account |
12b-1
Fees
(in
thousands) | |||
Core Plus Bond |
$ |
1 |
|
|
Diversified
Balanced |
2,798 |
|
||
Diversified Balanced Managed
Volatility |
440 |
|
||
Diversified Balanced Volatility
Control |
31 |
|
||
Diversified
Growth |
9,498 |
|
||
Diversified Growth Managed
Volatility |
848 |
|
||
Diversified Growth Volatility
Control |
146 |
|
||
Diversified
Income |
637 |
|
||
Diversified
International |
4 |
|
||
Equity Income |
63 |
|
||
Government & High Quality
Bond |
6 |
|
||
Income |
7 |
|
||
International Emerging
Markets |
1 |
|
||
LargeCap Growth |
3 |
|
||
LargeCap Growth
I |
1 |
|
||
LargeCap S&P 500
Index |
5 |
|
||
LargeCap Value |
— |
|
||
MidCap |
41 |
|
||
Multi-Asset
Income |
— |
|
||
Principal Capital
Appreciation |
20 |
|
||
Principal LifeTime
2020 |
1 |
|
||
Principal LifeTime
2030 |
1 |
|
||
Principal LifeTime
2040 |
1 |
|
||
Principal LifeTime
2050 |
1 |
|
||
Real Estate
Securities |
7 |
|
||
SAM Balanced
Portfolio |
259 |
|
||
SAM Conservative Balanced
Portfolio |
47 |
|
||
SAM Conservative Growth
Portfolio |
294 |
|
||
SAM Flexible Income
Portfolio |
51 |
|
||
SAM Strategic Growth
Portfolio |
289 |
|
||
Short-Term
Income |
7 |
|
||
SmallCap |
12 |
|
Account |
Amount of
Transactions
because
of
Research
Services Provided |
Related
Commissions
Paid | ||
Diversified
International |
251,221,864 |
57,385 |
||
Equity Income |
157,300,536 |
88,788 |
||
International Emerging
Markets |
202,532,593 |
103,211 |
||
LargeCap Growth |
25,115,987 |
19,634 |
||
LargeCap Growth
I |
65,687,534 |
9,038 |
||
LargeCap S&P 500
Index |
963,444,031 |
10,907 |
||
LargeCap S&P 500 Managed
Volatility Index |
83,164,143 |
460 |
||
LargeCap Value |
323,049,709 |
72,785 |
||
MidCap |
285,135,994 |
19,438 |
||
Principal Capital
Appreciation |
64,501,732 |
34,744 |
||
Real Estate
Securities |
76,402,117 |
18,117 |
||
SmallCap |
284,833,117 |
97,867 |
Total
Brokerage Commissions Paid for Periods Ended December
31 | ||||||||||||
Fund |
2017 |
2016 |
2015 |
|||||||||
Core Plus Bond |
$ |
688 |
|
$ |
— |
|
$ |
— |
|
|||
Diversified Balanced Volatility
Control |
565 |
|
(1) |
n/a |
|
n/a |
|
|||||
Diversified Growth Volatility
Control |
2,507 |
|
(1) |
n/a |
|
n/a |
|
|||||
Diversified
International |
241,054 |
|
337,432 |
|
445,578 |
|
||||||
Equity Income |
104,216 |
|
119,404 |
|
85,597 |
|
||||||
International Emerging
Markets |
341,967 |
|
348,352 |
|
316,865 |
|
||||||
LargeCap Growth |
85,108 |
|
102,932 |
|
61,985 |
|
||||||
LargeCap Growth
I |
53,758 |
|
53,553 |
|
54,005 |
|
||||||
LargeCap S&P 500
Index |
29,408 |
|
23,453 |
|
49,633 |
|
||||||
LargeCap S&P 500 Managed
Volatility Index |
2,634 |
|
3,471 |
|
10,970 |
|
||||||
LargeCap Value |
186,996 |
|
192,765 |
|
173,585 |
|
||||||
MidCap |
108,088 |
|
141,873 |
|
206,255 |
|
||||||
Principal Capital
Appreciation |
44,941 |
|
62,581 |
|
39,396 |
|
||||||
Real Estate
Securities |
57,432 |
|
100,170 |
|
47,176 |
|
||||||
SAM Balanced |
11,934 |
|
2,991 |
|
— |
|
||||||
SAM Conservative
Balanced |
1,958 |
|
1,030 |
|
— |
|
||||||
SAM Conservative Growth
|
6,556 |
|
1,182 |
|
— |
|
||||||
SAM Flexible Income
|
1,665 |
|
749 |
|
— |
|
||||||
SAM Strategic
Growth |
6,475 |
|
2,647 |
|
— |
|
||||||
SmallCap |
295,766 |
|
301,857 |
|
224,903 |
|
||||||
(1) Period from March 30,
2017, date operations commenced, through December 31,
2017 |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2017
Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
Core Plus
Bond | |||||||||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
$ |
165 |
|
24.00 |
% |
21.86 |
% | |
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
25 |
|
3.64 |
|
0.10 |
| ||
Total |
$ |
190 |
|
27.64 |
% |
21.96 |
% | ||
Diversified
Balanced Volatility Control | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
345 |
|
61.08 |
% |
58.99 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
6 |
|
1.06 |
|
1.91 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
3 |
|
0.53 |
|
0.98 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3 |
|
0.53 |
|
0.57 |
| ||
Total |
$ |
357 |
|
63.20 |
% |
62.45 |
% | ||
Diversified
Growth Volatility Control | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
1,581 |
|
63.06 |
% |
60.82 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
20 |
|
0.80 |
|
1.53 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6 |
|
0.24 |
|
0.49 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
11 |
|
0.44 |
|
0.42 |
| ||
Total |
$ |
1,618 |
|
64.54 |
% |
63.26 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2017
Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
Diversified
International | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
161 |
|
0.07 |
% |
0.18 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
11,109 |
|
4.61 |
|
5.38 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
21,701 |
|
9.00 |
|
7.97 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
4,415 |
|
1.83 |
|
1.83 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,313 |
|
0.96 |
|
1.50 |
| ||
Total |
$ |
39,699 |
|
16.47 |
% |
16.86 |
% | ||
Equity
Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
30,512 |
|
29.28 |
% |
26.78 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
512 |
|
0.49 |
|
0.42 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
899 |
|
0.86 |
|
1.22 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
27,173 |
|
26.07 |
|
29.87 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
240 |
|
0.23 |
|
0.22 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
4,410 |
|
4.23 |
|
3.73 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
104 |
|
0.10 |
|
0.15 |
| ||
Total |
$ |
63,850 |
|
61.26 |
% |
62.39 |
% | ||
International
Emerging Markets | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
578 |
|
0.17 |
% |
0.54 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
26,004 |
|
7.60 |
|
7.25 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
38,066 |
|
11.13 |
|
10.54 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
5,244 |
|
1.53 |
|
1.33 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
951 |
|
0.28 |
|
0.27 |
| ||
Total |
$ |
70,843 |
|
20.71 |
% |
19.93 |
% | ||
LargeCap
Growth | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
2,616 |
|
3.07 |
% |
3.79 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
5,002 |
|
5.88 |
|
5.11 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,574 |
|
1.85 |
|
1.15 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
2,037 |
|
2.39 |
|
3.07 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
847 |
|
1.00 |
|
1.30 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
3,406 |
|
4.00 |
|
3.40 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
456 |
|
0.54 |
|
0.63 |
| ||
Total |
$ |
15,938 |
|
18.73 |
% |
18.45 |
% | ||
LargeCap
Growth I | |||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
1,236 |
|
2.30 |
% |
1.56 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
5,164 |
|
9.61 |
|
8.96 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
120 |
|
0.22 |
|
0.21 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,273 |
|
2.37 |
|
1.81 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,423 |
|
6.37 |
|
7.75 |
| ||
Analytic Investors,
LLC |
Wells Fargo
Advisor |
853 |
|
1.59 |
|
0.76 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
46 |
|
0.09 |
|
0.07 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
950 |
|
1.77 |
|
1.17 |
| ||
Total |
$ |
13,065 |
|
24.32 |
% |
22.29 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2017
Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
LargeCap
S&P 500 Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
11,970 |
|
40.70 |
% |
29.07 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
399 |
|
1.36 |
|
0.37 |
| ||
Total |
$ |
12,369 |
|
42.06 |
% |
29.44 |
% | ||
LargeCap
S&P 500 Managed Volatility Index | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
112 |
|
4.25 |
% |
3.30 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
33 |
|
1.25 |
|
0.29 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1 |
|
0.04 |
|
0.02 |
| ||
Total |
$ |
146 |
|
5.54 |
% |
3.61 |
% | ||
LargeCap
Value | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
11,536 |
|
6.17 |
% |
8.42 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
10,995 |
|
5.88 |
|
5.30 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
8,210 |
|
4.39 |
|
4.65 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
303 |
|
0.16 |
|
0.32 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
997 |
|
0.53 |
|
0.78 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,709 |
|
1.45 |
|
2.86 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
1,838 |
|
0.98 |
|
0.99 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
3,562 |
|
1.90 |
|
1.51 |
| ||
Total |
$ |
40,150 |
|
21.46 |
% |
24.83 |
% | ||
MidCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
4,159 |
|
3.85 |
% |
5.74 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
2,183 |
|
2.02 |
|
1.31 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
5,062 |
|
4.68 |
|
3.35 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
630 |
|
0.58 |
|
0.45 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
3,372 |
|
3.12 |
|
2.01 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,067 |
|
0.99 |
|
1.63 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
128 |
|
0.12 |
|
0.14 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,747 |
|
1.62 |
|
0.91 |
| ||
Total |
$ |
18,348 |
|
16.98 |
% |
15.54 |
% | ||
Principal
Capital Appreciation | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
8,125 |
|
18.08 |
% |
27.80 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
388 |
|
0.86 |
|
0.62 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
1,187 |
|
2.64 |
|
1.71 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
10,380 |
|
23.10 |
|
23.42 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
646 |
|
1.44 |
|
1.15 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,537 |
|
7.87 |
|
5.02 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
425 |
|
0.95 |
|
0.58 |
| ||
Total |
$ |
24,688 |
|
54.94 |
% |
60.30 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2017
Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
Real Estate
Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
4,237 |
|
7.38 |
% |
9.26 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
207 |
|
0.36 |
|
0.35 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
1,833 |
|
3.19 |
|
2.50 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,117 |
|
1.94 |
|
2.97 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,384 |
|
2.41 |
|
1.61 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,338 |
|
2.33 |
|
4.05 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
2,495 |
|
4.34 |
|
2.94 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
643 |
|
1.12 |
|
1.63 |
| ||
Total |
$ |
13,254 |
|
23.07 |
% |
25.31 |
% | ||
SmallCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
6,637 |
|
2.24 |
% |
3.82 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
16,536 |
|
5.59 |
|
6.39 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
15,744 |
|
5.32 |
|
5.86 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
2,927 |
|
0.99 |
|
1.07 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
7,311 |
|
2.47 |
|
3.06 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
4,357 |
|
1.47 |
|
3.13 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
2,078 |
|
0.70 |
|
0.26 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,615 |
|
0.55 |
|
0.52 |
| ||
Total |
$ |
57,205 |
|
19.33 |
% |
24.11 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2016 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
Diversified
International | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
248 |
|
0.07 |
% |
0.12 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
23,379 |
|
6.93 |
|
7.35 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
27,767 |
|
8.23 |
|
7.49 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
14,131 |
|
4.19 |
|
4.29 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,583 |
|
0.47 |
|
0.93 |
| ||
Total |
$ |
67,108 |
|
19.89 |
% |
20.18 |
% | ||
Equity
Income | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
23,117 |
|
19.36 |
% |
23.83 |
% | |
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
1,637 |
|
1.37 |
|
1.40 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
36,651 |
|
30.70 |
|
25.29 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,686 |
|
1.41 |
|
1.25 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
7,857 |
|
6.58 |
|
4.07 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
614 |
|
0.51 |
|
0.60 |
| ||
Total |
$ |
71,562 |
|
59.93 |
% |
56.44 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2016 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||
International
Emerging Markets | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
297 |
|
0.09 |
% |
0.43 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
28,956 |
|
8.31 |
|
7.45 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
26,033 |
|
7.47 |
|
7.96 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
5,800 |
|
1.66 |
|
2.09 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,104 |
|
0.32 |
|
0.31 |
| |||
Total |
$ |
62,190 |
|
17.85 |
% |
18.24 |
% | |||
LargeCap
Growth | ||||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
88 |
|
0.09 |
% |
0.25 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
3,963 |
|
3.85 |
|
3.79 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
3,617 |
|
3.51 |
|
2.07 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
2,713 |
|
2.64 |
|
2.65 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,697 |
|
2.62 |
|
4.80 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
3,982 |
|
3.87 |
|
4.37 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,228 |
|
1.19 |
|
1.95 |
| |||
Total |
$ |
18,288 |
|
17.77 |
% |
19.88 |
% | |||
LargeCap
Growth I | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
51 |
|
0.10 |
% |
0.22 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,361 |
|
2.54 |
|
1.83 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
5,665 |
|
10.58 |
|
10.63 |
| |||
Loomis, Sayles & Company,
L.P. |
Natixis Securities Americas,
LLC |
18 |
|
0.03 |
|
0.04 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
27 |
|
0.05 |
|
0.02 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,508 |
|
2.82 |
|
1.43 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,732 |
|
6.97 |
|
5.58 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
409 |
|
0.76 |
|
0.70 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,948 |
|
3.64 |
|
2.56 |
| |||
Total |
$ |
14,719 |
|
27.49 |
% |
23.01 |
% | |||
LargeCap
S&P 500 Index | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
1,655 |
|
7.06 |
% |
0.98 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
12,724 |
|
54.25 |
|
49.43 |
| |||
Total |
$ |
14,379 |
|
61.31 |
% |
50.41 |
% | |||
LargeCap
S&P 500 Managed Volatility Index | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
190 |
|
5.49 |
% |
3.20 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,075 |
|
30.96 |
|
30.25 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1 |
|
0.00 |
|
0.00 |
| |||
Total |
$ |
1,266 |
|
36.45 |
% |
33.45 |
% | |||
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2016 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||
LargeCap
Value | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
13,988 |
|
7.26 |
% |
10.32 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
7,439 |
|
3.86 |
|
2.44 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
8,733 |
|
4.53 |
|
5.61 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,851 |
|
0.96 |
|
1.21 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
5,515 |
|
2.86 |
|
1.91 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,575 |
|
1.34 |
|
2.62 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
2,791 |
|
1.45 |
|
1.30 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
646 |
|
0.34 |
|
0.43 |
| |||
Total |
$ |
43,538 |
|
22.60 |
% |
25.84 |
% | |||
MidCap | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
8,689 |
|
6.12 |
% |
9.12 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
5,013 |
|
3.53 |
|
2.71 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
8,816 |
|
6.21 |
|
4.94 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
2,181 |
|
1.54 |
|
0.91 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
3,217 |
|
2.27 |
|
2.05 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
576 |
|
0.41 |
|
0.40 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
306 |
|
0.22 |
|
0.21 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
6,552 |
|
4.62 |
|
3.96 |
| |||
Total |
$ |
35,350 |
|
24.92 |
% |
24.30 |
% | |||
Principal
Capital Appreciation | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
12,142 |
|
19.40 |
% |
23.64 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
153 |
|
0.24 |
|
0.30 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
1,975 |
|
3.16 |
|
3.24 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
9,448 |
|
15.10 |
|
13.44 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,517 |
|
2.42 |
|
2.01 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,891 |
|
4.62 |
|
3.86 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
299 |
|
0.48 |
|
0.43 |
| |||
Total |
$ |
28,425 |
|
45.42 |
% |
46.92 |
% | |||
Real Estate
Securities | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
3,030 |
|
3.03 |
% |
3.71 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,268 |
|
1.27 |
|
1.93 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
8,871 |
|
8.86 |
|
6.87 |
| |||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
1,767 |
|
1.76 |
|
2.32 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,380 |
|
1.38 |
|
0.81 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,851 |
|
3.84 |
|
7.83 |
| |||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
1,730 |
|
1.73 |
|
1.39 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
634 |
|
0.63 |
|
0.66 |
| |||
Total |
$ |
22,531 |
|
22.50 |
% |
25.52 |
% | |||
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2016 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
SmallCap | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
22,085 |
|
7.32 |
% |
9.84 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
13,068 |
|
4.33 |
|
4.06 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
15,475 |
|
5.13 |
|
5.89 |
| ||
American Century Investment
Management, Inc. |
Nomura Securities
International, Inc. |
6,358 |
|
2.11 |
|
2.38 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
12,804 |
|
4.24 |
|
3.60 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
14,519 |
|
4.81 |
|
5.99 |
| ||
Analytic Investors,
LLC |
Wells Fargo Securities,
LLC |
1,966 |
|
0.65 |
|
0.84 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
971 |
|
0.32 |
|
0.47 |
| ||
Total |
$ |
87,246 |
|
28.91 |
% |
33.07 |
% |
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2015 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||
Diversified
International | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
241 |
|
0.06 |
% |
0.07 |
% | ||
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
1,351 |
|
0.30 |
|
0.40 |
| |||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
38,893 |
|
8.73 |
|
10.47 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
22,650 |
|
5.08 |
|
4.05 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
52,073 |
|
11.69 |
|
10.66 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,206 |
|
0.27 |
|
0.59 |
| |||
Total |
$ |
116,414 |
|
26.13 |
% |
26.24 |
% | |||
Equity
Income | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
10,263 |
|
11.99 |
% |
15.63 |
% | ||
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
641 |
|
0.75 |
|
0.13 |
| |||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,602 |
|
1.87 |
|
1.47 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
1,801 |
|
2.10 |
|
1.85 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
925 |
|
1.08 |
|
1.30 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
10,088 |
|
11.79 |
|
13.17 |
| |||
Total |
$ |
25,320 |
|
29.58 |
% |
33.55 |
% | |||
International
Emerging Markets | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
304 |
|
0.10 |
% |
0.42 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
22,261 |
|
7.02 |
|
5.64 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
24,267 |
|
7.66 |
|
6.93 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
34,410 |
|
10.86 |
|
10.71 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
875 |
|
0.28 |
|
0.37 |
| |||
Total |
$ |
82,117 |
|
25.92 |
% |
24.07 |
% | |||
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2015 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | |||||
LargeCap
Growth | ||||||||||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
$ |
1,476 |
|
2.38 |
% |
3.27 |
% | ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6,573 |
|
10.60 |
|
7.76 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
520 |
|
0.84 |
|
0.44 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
801 |
|
1.29 |
|
2.76 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
945 |
|
1.53 |
|
2.21 |
| |||
Total |
$ |
10,315 |
|
16.64 |
% |
16.44 |
% | |||
LargeCap
Growth I | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
49 |
|
0.09 |
% |
0.12 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,035 |
|
1.92 |
|
1.99 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,088 |
|
7.57 |
|
6.64 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
6,495 |
|
12.03 |
|
11.97 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
990 |
|
1.83 |
|
1.14 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,080 |
|
5.70 |
|
5.13 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
1,008 |
|
1.87 |
|
1.18 |
| |||
Total |
$ |
16,745 |
|
31.01 |
% |
28.17 |
% | |||
LargeCap
S&P 500 Index | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
873 |
|
1.76 |
% |
0.56 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1 |
|
0.00 |
|
0.00 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
24 |
|
0.05 |
|
0.01 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
58 |
|
0.12 |
|
0.18 |
| |||
Total |
$ |
956 |
|
1.93 |
% |
0.75 |
% | |||
LargeCap
S&P 500 Managed Volatility Index | ||||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
185 |
|
1.69 |
% |
2.12 |
% | ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
6 |
|
0.06 |
|
0.10 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
4,858 |
|
44.29 |
|
42.16 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
8 |
|
0.07 |
|
0.11 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1 |
|
0.00 |
|
0.00 |
| |||
Total |
$ |
5,058 |
|
46.11 |
% |
44.49 |
% | |||
LargeCap
Value | ||||||||||
Goldman Sachs Asset Management,
L.P. |
BIDS Trading
L.P. |
$ |
16 |
|
0.01 |
% |
0.01 |
% | ||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
11,316 |
|
6.52 |
|
12.64 |
| |||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
9,471 |
|
5.46 |
|
4.76 |
| |||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
14,843 |
|
8.55 |
|
6.29 |
| |||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
11,361 |
|
6.55 |
|
3.77 |
| |||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
2,438 |
|
1.40 |
|
1.17 |
| |||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
3,393 |
|
1.95 |
|
2.72 |
| |||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
237 |
|
0.14 |
|
0.09 |
| |||
Total |
$ |
53,075 |
|
30.58 |
% |
31.45 |
% | |||
Account |
Sub-Advisor
Employed by the Fund Complex |
Affiliated
Broker |
2015 Account's Total Commissions Paid |
%
of Account's Total Commissions |
%
of Dollar Amount of Account's Commissionable Transactions | ||||
MidCap | |||||||||
Goldman Sachs Asset Management,
L.P. |
BIDS Trading
L.P. |
$ |
363 |
|
0.18 |
% |
0.22 |
% | |
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
25,294 |
|
12.26 |
|
20.50 |
| ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
9,996 |
|
4.85 |
|
4.00 |
| ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
5,108 |
|
2.48 |
|
3.39 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
9,949 |
|
4.82 |
|
3.89 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
4,840 |
|
2.35 |
|
2.13 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,524 |
|
0.74 |
|
0.76 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
5,024 |
|
2.43 |
|
1.83 |
| ||
Total |
$ |
62,098 |
|
30.11 |
% |
36.72 |
% | ||
Principal
Capital Appreciation | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
4,209 |
|
10.68 |
% |
15.69 |
% | |
American Century Investment
Management, Inc. |
CIBC World Markets
Corp. |
95 |
|
0.24 |
|
0.22 |
| ||
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
157 |
|
0.40 |
|
0.36 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
433 |
|
1.10 |
|
1.44 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,918 |
|
4.87 |
|
2.91 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
1,133 |
|
2.88 |
|
3.78 |
| ||
Total |
$ |
7,945 |
|
20.17 |
% |
24.40 |
% | ||
Real Estate
Securities | |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
5,945 |
|
12.60 |
% |
18.83 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
1,029 |
|
2.18 |
|
1.46 |
| ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
1,179 |
|
2.50 |
|
3.63 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
2,847 |
|
6.03 |
|
5.33 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
1,128 |
|
2.39 |
|
1.29 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
2,503 |
|
5.31 |
|
9.96 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
90 |
|
0.19 |
|
0.87 |
| ||
Total |
$ |
14,721 |
|
31.20 |
% |
41.37 |
% | ||
SmallCap
| |||||||||
BNY Mellon Asset Management
North America Corporation* |
ConvergEx Execution Solutions,
LLC |
$ |
8,040 |
|
3.57 |
% |
3.21 |
% | |
Credit Suisse Asset Management,
LLC |
Credit Suisse,
Inc. |
10,437 |
|
4.64 |
|
4.44 |
| ||
Goldman Sachs Asset Management,
L.P. |
Goldman Sachs &
Co. |
10,132 |
|
4.50 |
|
4.17 |
| ||
J.P. Morgan Investment
Management, Inc. |
J.P. Morgan Securities
LLC |
10,428 |
|
4.64 |
|
3.44 |
| ||
Robert W. Baird & Co.
Incorporated |
Robert W. Baird &
Co. |
7,671 |
|
3.41 |
|
1.95 |
| ||
AllianceBernstein
L.P. |
Sanford C. Bernstein & Co.,
LLC |
7,421 |
|
3.30 |
|
5.23 |
| ||
William Blair & Company,
L.L.C. |
William Blair & Company,
L.L.C. |
417 |
|
0.19 |
|
0.18 |
| ||
Total |
$ |
54,546 |
|
24.25 |
% |
22.62 |
% |
Holdings of
Securities of Principal Variable Contracts Funds, Inc. Regular Brokers and
Dealers | ||||
Account |
Broker or
Dealer |
Holdings
(in
thousands) | ||
Bond Market Index
|
Bank of America Corp
|
12,929 |
|
|
Citigroup Inc |
16,347 |
|
||
Credit Suisse AG
|
3,386 |
|
||
Goldman Sachs Group Inc/The
|
12,288 |
|
||
Morgan Stanley |
11,878 |
|
||
Nomura Holdings Inc
|
644 |
|
||
UBS AG |
2,568 |
|
||
Wells Fargo & Co
|
12,230 |
|
||
Core Plus Bond |
Bank of America Corp
|
2,623 |
|
|
Bank of New York Mellon
Corp/The |
1,174 |
|
||
Citigroup Inc |
3,634 |
|
||
Credit Suisse AG
|
1,047 |
|
||
Goldman Sachs Group Inc/The
|
3,173 |
|
||
Morgan Stanley |
2,909 |
|
||
UBS AG |
2,380 |
|
||
Wells Fargo & Co
|
1,429 |
|
||
Income |
Bank of America Corp
|
2,023 |
|
|
Bank of New York Mellon
Corp/The |
488 |
|
||
Citigroup Inc |
2,087 |
|
||
Goldman Sachs Group Inc/The
|
2,121 |
|
||
Morgan Stanley |
2,108 |
|
||
Wells Fargo & Co
|
2,032 |
|
||
LargeCap Growth
I |
Morgan Stanley |
2,081 |
|
|
LargeCap S&P 500 Index
|
Bank of America Corp
|
31,568 |
|
|
Bank of New York Mellon
Corp/The |
6,080 |
|
||
Citigroup Inc |
21,688 |
|
||
Goldman Sachs Group Inc/The
|
9,852 |
|
||
Morgan Stanley |
8,052 |
|
||
Wells Fargo & Co
|
29,641 |
|
||
LargeCap S&P 500 Managed
Volatility Index |
Bank of America Corp
|
2,598 |
|
|
Bank of New York Mellon
Corp/The |
500 |
|
||
Citigroup Inc |
1,785 |
|
||
Goldman Sachs Group Inc/The
|
811 |
|
||
Morgan Stanley |
663 |
|
||
Wells Fargo & Co
|
2,439 |
|
||
LargeCap Value |
Bank of America Corp
|
4,611 |
|
|
Citigroup Inc |
595 |
|
||
Wells Fargo & Co
|
2,906 |
|
||
Principal Capital Appreciation
|
Goldman Sachs Group Inc/The
|
1,069 |
|
|
Wells Fargo & Co
|
1,829 |
|
||
Short-Term Income
|
Bank of America Corp
|
3,288 |
|
|
Bank of New York Mellon
Corp/The |
1,488 |
|
||
Citigroup Inc |
2,368 |
|
||
Credit Suisse AG
|
4 |
|
||
Goldman Sachs Group Inc/The
|
3,238 |
|
||
Morgan Stanley |
3,178 |
|
||
USB AG |
804 |
|
||
Wells Fargo & Co
|
1,779 |
|
• |
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 Account.
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 Account’s assets are managed by PGI or allocated to an
affiliated adviser. |
• |
A sub-advisor may determine
that the asset class PVC has hired it to manage (for example, small
capitalization growth stocks) can be managed effectively only by limiting
the amount of money devoted to the purchase of securities in the asset
class. In such a case, a sub-advisor may impose a limit on the amount of
money PVC may place with the sub-advisor for management. When a
sub-advisor for two or more PVC Accounts imposes such a limit, PGI and/or
the sub-advisor may need to determine which Account will be required to
limit its investment in the asset class and the degree to which the
Account will be so limited. 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
Account 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
Accounts 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 Accounts 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. |
• |
taking the current market
value of the total assets of the Account |
• |
subtracting liabilities of the
Account |
• |
dividing the remainder
proportionately into the classes of the
Account |
• |
subtracting the liability of
each class |
• |
dividing the remainder by the
total number of shares owned in that
class. |
1) |
Daily to the Fund's portfolio
pricing services, 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 |
Account
Name |
Percentage of Voting Securities Owned of Each Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
BOND MARKET INDEX
|
56.17% |
DIVERSIFIED GROWTH
ACCOUNT |
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
CORE PLUS BOND |
76.77% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
DIVERSIFIED
BALANCED |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED BALANCED
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MANAGED
VOLATILITY |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED
BALANCED |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VOLATILITY
CONTROL |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED GROWTH
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED
GROWTH |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MANAGED
VOLATILITY |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED
GROWTH |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
VOLATILITY
CONTROL |
ATTN INDIVIDUAL LIFE
ACCOUNTING |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
DIVERSIFIED INCOME
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage of Voting Securities Owned of Each Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
DIVERSIFIED |
98.73% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
INTERNATIONAL |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
EQUITY INCOME |
42.29% |
PRINCIPAL NATIONAL LIFE INS CO
|
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST G-12-S41
|
||||
DES MOINES IA 50392-9992
|
||||
GOVERNMENT &
HIGH |
58.20% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
QUALITY BOND |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INCOME |
43.70% |
SAM BALANCED PORTFOLIO PVC
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INCOME |
25.17% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
INTERNATIONAL
EMERGING |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
MARKETS |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP GROWTH
|
91.05% |
PRINCIPAL NATIONAL LIFE INS CO
|
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST G-12-S41
|
||||
DES MOINES IA 50392-9992
|
||||
LARGECAP GROWTH
I |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP S&P 500 INDEX
|
68.68% |
DIVERSIFIED GROWTH ACCOUNT
|
Maryland |
Principal Financial
Group |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP S&P
500 |
71.87% |
DIVERSIFIED GROWTH MANAGED
|
Maryland |
Principal Financial
Group |
MANAGED VOLATILITY
|
VOLATILITY
ACCOUNT |
|||
INDEX |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage of Voting Securities Owned of Each Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
LARGECAP S&P
500 |
28.12% |
DIVERSIFIED BALANCED MANAGED
|
Maryland |
Principal Financial
Group |
MANAGED VOLATILITY
|
VOLATILITY ACCOUNT
|
|||
INDEX |
ATTN MUTUAL FUND ACCOUNTING -
H221 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
LARGECAP VALUE |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST G-12-S41
|
||||
DES MOINES IA 50392-0001
|
||||
MIDCAP |
95.24% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA
50392-0001 |
||||
MULTI-ASSET
INCOME |
96.29% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE
ACCOUNTING |
||||
711 HIGH ST
G-12-S41 |
||||
DES MOINES IA
50392-0001 |
||||
PRINCIPAL
CAPITAL |
82.67% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
APPRECIATION |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL
LIFETIME |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
STRATEGIC
INCOME |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2010 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2020 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2030 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2040 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage of Voting Securities Owned of Each Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
PRINCIPAL LIFETIME 2050
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
PRINCIPAL LIFETIME
2060 |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
REAL ESTATE
SECURITIES |
99.56% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL LIFE ACCOUNTING
|
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM BALANCED |
80.59% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
90.21% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
BALANCED |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
55.93% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
GROWTH |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
|||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM
CONSERVATIVE |
29.44% |
FARMERS NEW WORLD LIFE INS CO
|
California |
Farmer's Insurance
|
GROWTH |
3003 77TH AVE SE
|
Group | ||
MERCER ISLAND WA 98040-2890
|
||||
SAM FLEXIBLE
INCOME |
89.37% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
SAM STRATEGIC
GROWTH |
53.76% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST G-012-S41
|
||||
DES MOINES IA 50392-0001
|
||||
SAM STRATEGIC
GROWTH |
39.59% |
FARMERS NEW WORLD LIFE INS CO
|
California |
Farmer's Insurance
|
3003 77TH AVE SE
|
Group | |||
MERCER ISLAND WA 98040-2890
|
||||
SHORT-TERM INCOME
|
83.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
||||
Account
Name |
Percentage of Voting Securities Owned of Each Account |
Control
Person – Name and Address |
Jurisdiction
Under
Which
the
Company
is
Organized
(when
control
person is
a
company) |
Parent of
Control
Person (when
control
Person is a
company) |
SMALLCAP |
95.79% |
PRINCIPAL LIFE INSURANCE CO
CUST |
Iowa |
Principal Financial
Group |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 |
||||
711 HIGH ST |
||||
DES MOINES IA 50392-0001
|
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
BOND MARKET INDEX; Class
1 |
56.17% |
DIVERSIFIED GROWTH
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
BOND MARKET INDEX; Class
1 |
23.48% |
DIVERSIFIED BALANCED
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
BOND MARKET INDEX; Class
1 |
7.00% |
DIVERSIFIED INCOME
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
BOND MARKET INDEX; Class
1 |
5.09% |
DIVERSIFIED GROWTH MANAGED
VOLATILITY ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
22.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
17.67% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
CORE PLUS BOND; Class
1 |
13.72% |
PRINCIPAL LIFE INSURANCE CO
CUST - VUL |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
10.59% |
LIFETIME 2020
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
6.54% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INDIVIDUAL
| ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
6.22% |
LIFETIME 2030
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
1 |
55.07% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
CORE PLUS BOND; Class
2 |
44.92% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBP PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED
BALANCED |
82.75% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
FBO PRINCIPAL INVESTMENT PLUS
| |
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED BALANCED
|
15.09% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY; Class
2 |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED BALANCED; Class
1 |
56.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
PRINCIPAL FLEXIBLE
VARIABLE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
DIVERSIFIED BALANCED; Class
1 |
21.42% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INDIVIDUAL -
PRINFLEX | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED BALANCED; Class
1 |
5.10% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INDIVIDUAL -
PRINFLEX | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED BALANCED; Class
2 |
96.96% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT
PLUS | ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED
BALANCED |
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VOLATILITY CONTROL; Class
2 |
FBO PRINCIPAL LIFETIME
INSURANCE SOLUTIONS II | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED GROWTH
|
89.58% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY, Class
2 |
FBO PRINCIPAL INVESTMENT PLUS
| |
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED GROWTH
|
8.63% |
PRINCIPAL LIFE INSURANCE CO
CUST |
MANAGED VOLATILITY, Class
2 |
FBO PRINCIPAL LIFETIME INCOME
SOLUTIONS | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED GROWTH; Class
2 |
98.56% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED GROWTH
|
100.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VOLATILITY CONTROL, Class
2 |
FBO PRINCIPAL LIFETIME
INSURANCE SOLUTIONS II | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
DIVERSIFIED INCOME; Class
2 |
92.78% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
27.34% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
13.56% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
13.06% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
12.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
7.46% |
PRINCIPAL LIFE INSURANCE CO
CUST - VUL |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
7.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
5.27% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 1 |
5.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
DIVERSIFIED INTERNATIONAL;
Class 2 |
38.94% |
FARMERS NEW WORLD LIFE INS
CO |
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPARATE
ACCOUNTS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
36.88% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
15.02% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE
ACCOUNT | ||
ATTN LEGAL
DEPARTMENT | ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
DIVERSIFIED INTERNATIONAL;
Class 2 |
7.17% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
1 |
24.21% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
1 |
15.94% |
SAM BALANCED PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
1 |
14.03% |
TIAA-CREF LIFE SEPARATE
ACCOUNT |
VA-1 OF TIAA-CREF LIFE INS
CO | ||
8500 ANDREW CARNEGIE
BLVD | ||
MAIL CODE -
E3/N6 | ||
CHARLOTTE NC
28262-8500 | ||
EQUITY INCOME; Class
1 |
9.68% |
SAMS CONS GROWTH PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
1 |
8.11% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
EQUITY INCOME; Class
1 |
7.94% |
SAM STRATEGIC GROWTH PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
2 |
29.84% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPARATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
EQUITY INCOME; Class
2 |
26.60% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
EQUITY INCOME; Class
2 |
23.98% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
EQUITY INCOME; Class
2 |
7.85% |
FARMERS NEW WORLD LIFE INS
CO |
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
EQUITY INCOME; Class
2 |
5.27% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
EQUITY INCOME; Class
2 |
5.12% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
20.40% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
18.10% |
SAM BALANCED PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
16.85% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTEMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
10.10% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
8.09% |
SAM CONS BALANCED PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 1 |
5.35% |
PRINCIPAL LIFE INSURNACE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 2 |
43.20% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 2 |
30.65% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
GOVERNMENT & HIGH QUALITY
BOND; Class 2 |
23.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME; Class 1 |
44.31% |
SAM BALANCED PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME; Class 1 |
25.52% |
SAM FLEXIBLE INCOME PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
INCOME; Class 1 |
16.92% |
SAM CONS BALANCED PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME; Class 1 |
8.52% |
SAM CONS GROWTH PORTFOLIO
PVC |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME; Class 2 |
55.72% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL
DEPARTMENT | ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
INCOME; Class 2 |
28.61% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INCOME; Class 2 |
9.69% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
29.58% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
20.90% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
13.05% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
7.43% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
INTERNATIONAL EMERGING MARKETS;
Class 1 |
7.01% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 1 |
5.76% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 2 |
84.06% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
INTERNATIONAL EMERGING MARKETS;
Class 2 |
15.93% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
1 |
28.39% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
1 |
24.35% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
1 |
19.48% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
1 |
9.80% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
LARGECAP GROWTH I; Class
1 |
6.86% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
2 |
83.64% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH I; Class
2 |
16.35% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
1 |
26.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
1 |
18.36% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
1 |
15.20% |
PRINCIPAL LIFE INSURANCE CO
CUST - VUL |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
1 |
10.07% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
1 |
7.82% |
AMERICAN GENERAL LIFE INSURANCE
CO |
VARIABLE PRODUCTS DEPARTMENT
| ||
ATTN DEBORAH
KERAI | ||
PO BOX 1591 | ||
HOUSTON TX
77251-1591 | ||
LARGECAP GROWTH; Class
1 |
7.22% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
LARGECAP GROWTH; Class
2 |
31.46% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
2 |
30.91% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
LARGECAP GROWTH; Class
2 |
21.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP GROWTH; Class
2 |
15.43% |
FARMERS NEW WORLD LIFE INS
CO |
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPERATE
ACCOUNTS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
LARGECAP S&P 500 INDEX;
Class 1 |
68.80% |
DIVERSIFIED GROWTH
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP S&P 500 INDEX;
Class 1 |
15.65% |
DIVERSIFIED BALANCED
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP S&P 500 INDEX;
Class 2 |
77.39% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP S&P 500 INDEX;
Class 2 |
22.60% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP S&P 500
|
71.87% |
DIVERSIFIED GROWTH MANAGED
VOLATILITY ACCOUNT |
MANAGED VOLATILITY; Class
1 |
ATTN MUTUAL FUND ACCOUNTING
H221 | |
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
LARGECAP S&P 500
|
28.12% |
DIVERSIFIED BALANCED MANAGED
VOLATILITY ACCOUNT |
MANAGED VOLATILITY; Class
1 |
ATTN MUTUAL FUND ACCOUNTING
H221 | |
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
1 |
32.39% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
1 |
16.99% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
1 |
13.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
1 |
10.94% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
2 |
82.95% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
VARIABLE ANNUITY V2 | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
LARGECAP VALUE; Class
2 |
17.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MIDCAP; Class 1 |
36.96% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MIDCAP; Class 1 |
20.52% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
MIDCAP; Class 1 |
13.31% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MIDCAP; Class 2 |
62.33% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
MIDCAP; Class 2 |
24.31% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
MULTI-ASSET INCOME; Class
1 |
32.29% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MULTI-ASSET INCOME; Class
1 |
26.21% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MULTI-ASSET INCOME; Class
1 |
18.04% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MULTI-ASSET INCOME; Class
1 |
11.14% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VARIABLE UNIVERSAL LIFE INCOME
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MULTI-ASSET INCOME; Class
1 |
5.77% |
PRINCIPAL NATIONAL LIFE INS
CO |
FBO VUL INCOME
III | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
MULTI-ASSET INCOME; Class
2 |
54.09% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
MULTI-ASSET INCOME; Class
2 |
45.90% |
PRINCIPAL GLOBAL INVESTORS
LLC |
ATTN SEAN CLINES
801-9A08 | ||
801 GRAND
AVE | ||
DES MOINES IA
50309-8000 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
49.17% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
22.98% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
6.96% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 1 |
6.37% |
AMERICAN GENERAL LIFE INSURANCE
CO |
VARIABLE PRODUCTS DEPARTMENT
| ||
ATTN: DEBORAH
KERAI | ||
PO BOX 1591 | ||
HOUSTON TX
77251-1591 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
24.76% |
FARMERS NEW WORLD LIFE INS
CO |
VARIABLE UNIVERSAL LIFE II
AGENT | ||
ATTN SEPERATE
ACCOUNTS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
24.22% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
22.40% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77H AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
11.29% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77H AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
PRINCIPAL CAPITAL APPRECIATION;
Class 2 |
10.59% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANN V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2010; Class
1 |
51.13% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2010; Class
1 |
22.16% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2010; Class
1 |
16.03% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2020; Class
1 |
47.02% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2020; Class
1 |
25.05% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2020; Class
1 |
15.31% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2020; Class
2 |
96.77% |
PRINCIPAL MANAGEMENT
CORPORATION |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2030; Class
1 |
40.43% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2030; Class
1 |
28.97% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2030; Class
1 |
15.58% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2030; Class
2 |
72.94% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2030; Class
2 |
27.05% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2040; Class
1 |
33.32% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2040; Class
1 |
21.83% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2040; Class
1 |
15.39% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2040; Class
1 |
12.41% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2040; Class
1 |
5.07% |
PRINCIPAL NATIONAL LIFE INS
CO |
FBO VUL INCOME
III | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-9992 | ||
PRINCIPAL LIFETIME 2040; Class
2 |
93.23% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2040; Class
2 |
6.76% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
32.06% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
19.39% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
15.51% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VUL INCOME | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
9.01% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
5.88% |
PRINCIPAL LIFE INSURANCE CO
CUST - VUL II |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
1 |
5.60% |
PRINCIPAL LIFE INSURANCE CO
CUST |
VARIABLE UNIVERSAL LIFE INCOME
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME 2050; Class
1 |
5.09% |
PRINCIPAL LIFE INSURANCE CO
|
FBO VUL INCOME
III | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-9992 | ||
PRINCIPAL LIFETIME 2050; Class
2 |
89.56% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2050; Class
2 |
10.43% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2060; Class
1 |
42.36% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2060; Class
1 |
25.18% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME 2060; Class
1 |
18.21% |
PRINCIPAL NATIONAL LIFE INS
CO |
FBO VUL INCOME
III | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
G12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-9992 | ||
PRINCIPAL LIFETIME 2060; Class
1 |
7.54% |
PRINCIPAL LIFE INSURANCE CO
CUST |
BENE VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME STRATEGIC
|
48.95% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME STRATEGIC
|
16.18% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
EXEC VAR UNIVERSAL LIFE
II | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
PRINCIPAL LIFETIME STRATEGIC
|
15.77% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
FBO PRINCIPAL
INDIVIDUAL | |
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
PRINCIPAL LIFETIME STRATEGIC
|
9.53% |
PRINCIPAL LIFE INSURANCE CO
CUST |
INCOME; Class 1 |
FLEX VARIABLE
ANNUITY | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
1 |
24.73% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT
PLUS | ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE ACOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
1 |
23.33% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
1 |
14.02% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
1 |
11.19% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
1 |
6.45% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
2 |
54.24% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
REAL ESTATE SECURITIES; Class
2 |
37.25% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANN V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
REAL ESTATE SECURITIES; Class
2 |
8.10% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM BALANCED PORTFOLIO; Class
1 |
69.69% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM BALANCED PORTFOLIO; Class
1 |
8.16% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM BALANCED PORTFOLIO; Class
2 |
25.82% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM BALANCED PORTFOLIO; Class
2 |
25.37% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM BALANCED PORTFOLIO; Class
2 |
18.57% |
FARMERS NEW WORLD LIFE INS
CO |
3003 77TH AVE SE
| ||
MERCER ISLAND WA
98040-2890 | ||
SAM BALANCED PORTFOLIO; Class
2 |
11.83% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM BALANCED PORTFOLIO; Class
2 |
6.12% |
THE U.S. LIFE INS. CO. IN THE
CITY OF N.Y. |
FS VERIABLE SEPARATE
ACCT | ||
ATTN LEGAL
DEPART | ||
21650 OXNARD ST STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM BALANCED PORTFOLIO; Class
2 |
5.74% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANN V2 | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SAM CONSERVATIVE BALANCED
|
62.93% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE BALANCED
|
17.15% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
EXEC VAR UNIVERSAL LIFE
II | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE BALANCED
|
6.82% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FLEX VARIABLE ANNUITY
| |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE BALANCED
|
30.26% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE BALANCED
|
18.05% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
3003 77TH AVE
SE | |
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE BALANCED
|
16.18% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPERATE
ACCOUNT | |
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM CONSERVATIVE BALANCED
|
14.32% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
2 |
FBO PRINCIPAL PIVOT SERIES VAR
ANN V2 | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE BALANCED
|
12.95% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
2 |
FBO PRINCIPAL PIVOT SERIES VAR
ANNUITY | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE BALANCED
|
6.25% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE GROWTH
|
40.75% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FBO PRINCIPAL INVESTMENT
PLUS | |
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SAM CONSERVATIVE GROWTH
|
9.77% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VARIABLE UNIVERSAL LIFE INCOME
II | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE GROWTH
|
8.34% |
PRINCIPAL NATIONAL LIFE INS
CO |
PORTFOLIO; Class
1 |
FBO VUL INCOME
III | |
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-9992 | ||
SAM CONSERVATIVE GROWTH
|
7.75% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
1 |
VARIABLE SEPARATE
ACCOUNT | |
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM CONSERVATIVE GROWTH
|
7.55% |
AMERICAN GENERAL LIFE INSURANCE
CO |
PORTFOLIO; Class
1 |
VARIABLE PRODUCTS
DEPARTMENT | |
ATTN: DEBORAH
KERAI | ||
PO BOX 1591 | ||
HOUSTON TX
77251-1591 | ||
SAM CONSERVATIVE GROWTH
|
6.24% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
EXEC VAR UNIVERSAL LIFE
II | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE GROWTH
|
5.69% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FLEX VARIABLE
ANNUITY | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM CONSERVATIVE GROWTH
|
29.59% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE GROWTH
|
27.10% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
3003 77TH AVE
SE | |
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE GROWTH
|
19.63% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM CONSERVATIVE GROWTH
|
12.91% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPARATE
ACCOUNT | |
ATTN LEGAL
DEPARTMENT | ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SAM CONSERVATIVE GROWTH
|
5.01% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
2 |
FBO PRINCIPAL PIVOT SERIES
| |
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 1 |
65.94% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT
PLUS | ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 1 |
15.00% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
29.00% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
23.24% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
23.18% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SAM FLEXIBLE INCOME PORTFOLIO;
Class 2 |
15.77% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES VAR
ANN | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM STRATEGIC GROWTH
|
33.65% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | |
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM STRATEGIC GROWTH
|
16.71% |
PRINCIPAL NATIONAL LIFE INS
CO |
PORTFOLIO; Class
1 |
FBO VUL INCOME
III | |
ATTN INDIVIDUAL LIFE ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-9992 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SAM STRATEGIC GROWTH
|
12.32% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VARIABLE UNIVERSAL LIFE INCOME
II | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM STRATEGIC GROWTH
|
7.20% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PORTFOLIO; Class
1 |
VUL INCOME | |
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SAM STRATEGIC GROWTH
|
5.10% |
AMERICAN GENERAL LIFE INSURANCE
CO |
PORTFOLIO; Class
1 |
VARIABLE PRODUCTS DEPARTMENT
| |
ATTN: DEBORAH KERAI
| ||
PO BOX 1591 | ||
HOUSTON TX
77251-1591 | ||
SAM STRATEGIC GROWTH
|
37.52% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM STRATEGIC GROWTH
|
32.20% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
3003 77TH AVE
SE | |
MERCER ISLAND WA
98040-2890 | ||
SAM STRATEGIC GROWTH
|
14.59% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
ATTN SEGREGATED
ASSETS | |
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM STRATEGIC GROWTH
|
5.75% |
FARMERS NEW WORLD LIFE INS
CO |
PORTFOLIO; Class
2 |
VARIABLE UNIVERSAL LIFE II
AGENT | |
ATTN SEPERATE
ACCOUNTS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SAM STRATEGIC GROWTH
|
5.36% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
PORTFOLIO; Class
2 |
VARIABLE SEPERATE
ACCOUNT | |
ATTN LEGAL
DEPARTMENT | ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SHORT-TERM INCOME; Class
1 |
44.62% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
1 |
16.27% |
PRINCIPAL LIFE INSURANCE CO
CUST |
EXEC VAR UNIVERSAL LIFE
II | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SHORT-TERM INCOME; Class
1 |
9.22% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
1 |
7.72% |
LIFETIME 2020
ACCOUNT |
ATTN MUTUAL FUND ACCOUNTING
H221 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
1 |
5.32% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
2 |
36.69% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
2 |
35.91% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SHORT-TERM INCOME; Class
2 |
25.74% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE
ACCOUNT | ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SMALLCAP; Class
1 |
29.66% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FLEX VARIABLE ANNUITY
| ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SMALLCAP; Class
1 |
22.83% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL INVESTMENT PLUS
VAR ANN | ||
ATTN INDIVIDUAL LIFE ACCOUNTING
| ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SMALLCAP; Class
1 |
15.82% |
PRINCIPAL LIFE INSURANCE CO
CUST |
PRINFLEX
LIFE | ||
ATTN INDIVIDUAL ACCOUNTING
G-12-S41 | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
Account and
Class Name |
Percentage
of Ownership of an Account by Class |
Principal
Holders of Securities
Name and
Address |
SMALLCAP; Class
1 |
6.37% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL
INDIVIDUAL | ||
EXECUTIVE VARIABLE UNIVERSAL
LIFE | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SMALLCAP; Class
2 |
40.95% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SMALLCAP; Class
2 |
28.01% |
FARMERS NEW WORLD LIFE INS
CO |
ATTN SEGREGATED
ASSETS | ||
3003 77TH AVE
SE | ||
MERCER ISLAND WA
98040-2890 | ||
SMALLCAP; Class
2 |
13.16% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE
ANNUITY | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 | ||
SMALLCAP; Class
2 |
7.77% |
SUNAMERICA ANNUITY & LIFE
ASSURANCE CO |
VARIABLE SEPERATE ACCOUNT
| ||
ATTN LEGAL DEPARTMENT
| ||
21650 OXNARD STREET STE
750 | ||
WOODLAND HILLS CA
91367-4997 | ||
SMALLCAP; Class
2 |
6.06% |
PRINCIPAL LIFE INSURANCE CO
CUST |
FBO PRINCIPAL PIVOT SERIES
| ||
VARIABLE ANNUITY
V2 | ||
ATTN INDIVIDUAL LIFE
ACCOUNTING | ||
711 HIGH ST | ||
DES MOINES IA
50392-0001 |
• |
Core Plus Bond Account, Class
2 - 2.036% |
• |
Principal LifeTime 2020
Account, Class 2 - 1.864% |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base
the
Advisory Fee
on
Performance | |
Daniel R.
Coleman: Equity
Income and Principal Capital Appreciation Accounts |
||||
Registered investment
companies |
4 |
$13.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$722.6 million |
0 |
$0 |
Other accounts |
3 |
$2.2 billion |
0 |
$0 |
Theodore
Jayne: Principal Capital
Appreciation Account |
||||
Registered investment
companies |
2 |
$2.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
David W.
Simpson: Equity
Income Account |
||||
Registered investment
companies |
2 |
$10.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$71.7 million |
0 |
$0 |
Other accounts |
3 |
$2.2 billion |
0 |
$0 |
Nedret
Vidinli: Equity
Income Account |
||||
Registered investment
companies |
1 |
$7.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Daniel R.
Coleman |
Equity Income |
None |
Daniel R.
Coleman |
Principal Capital
Appreciation |
None |
Theodore Jayne |
Principal Capital
Appreciation |
None |
David W.
Simpson |
Equity Income |
None |
Nedret Vidinli |
Equity Income |
None |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of the
Accounts that base the
Advisory
Fee
on
Performance | |
Paul H.
Blankenhagen: Diversified International
Account |
||||
Registered investment
companies |
3 |
$13.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$3.9 billion |
0 |
$0 |
Other accounts |
8 |
$1.1 billion |
1 |
$248.8
million |
Juliet
Cohn: Diversified International
Account |
||||
Registered investment
companies |
3 |
$13.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$3.9 billion |
0 |
$0 |
Other accounts |
8 |
$1.1 billion |
1 |
$248.8
million |
Mihail
Dobrinov: International Emerging Markets
Account |
||||
Registered investment
companies |
1 |
$1.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$957.9 million |
0 |
$0 |
Other accounts |
5 |
$1.7 billion |
0 |
$0 |
Christopher
Ibach: LargeCap
Value Account |
||||
Registered investment
companies |
2 |
$2.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$677.7 million |
0 |
$0 |
Other accounts |
10 |
$3.0 billion |
1 |
$245.5
million |
Thomas L.
Kruchten: LargeCap
S&P 500 Index, and LargeCap S&P 500 Managed Volatility Index
Accounts |
||||
Registered investment
companies |
6 |
$9.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$35.4 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
K. William
Nolin: MidCap
Account |
||||
Registered investment
companies |
3 |
$18.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$2.5 billion |
0 |
$0 |
Other accounts |
32 |
$3.2 billion |
0 |
$0 |
Phil
Nordhus: SmallCap
Account |
||||
Registered investment
companies |
1 |
$638.1 million |
0 |
$0 |
Other pooled investment
vehicles |
2 |
$897.3 million |
0 |
$0 |
Other accounts |
10 |
$574.0 million |
0 |
$0 |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of the
Accounts that base the
Advisory
Fee
on
Performance | |
Brian W.
Pattinson: SmallCap Account
|
||||
Registered investment
companies |
3 |
$1.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$2.6 billion |
0 |
$0 |
Other accounts |
14 |
$1.9 billion |
1 |
$147.8
million |
Tom
Rozycki: MidCap
Account |
||||
Registered investment
companies |
3 |
$18.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$2.5 billion |
0 |
$0 |
Other accounts |
32 |
$3.2 billion |
0 |
$0 |
Jeffrey A.
Schwarte*: LargeCap S&P 500 Index,
LargeCap S&P 500 Managed Volatility Index, and LargeCap Value
Accounts |
||||
Registered investment
companies |
17 |
$11.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$35.4 billion |
0 |
$0 |
Other accounts |
3 |
$62.9 million |
0 |
$0 |
Alan Wang:
International
Emerging Markets Account |
||||
Registered investment
companies |
1 |
$1.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$957.9 million |
0 |
$0 |
Other accounts |
5 |
$1.7 billion |
0 |
$0 |
Mohammed
Zaidi: International Emerging Markets
Account |
||||
Registered investment
companies |
1 |
$1.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
3 |
$957.9 million |
0 |
$0 |
Other accounts |
5 |
$1.6 billion |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Paul H.
Blankenhagen |
Diversified International
|
None |
Juliet Cohn |
Diversified International
|
None |
Mihail Dobrinov |
International Emerging Markets
|
None |
Christopher
Ibach |
LargeCap Value |
None |
Thomas L.
Kruchten |
LargeCap S&P 500 Index
|
None |
Thomas L.
Kruchten |
LargeCap S&P 500 Managed
Volatility Index |
None |
K. William
Nolin |
MidCap |
None |
Phil Nordhus |
SmallCap |
None |
Brian W.
Pattinson |
SmallCap |
None |
Tom Rozycki |
MidCap |
None |
Jeffrey A.
Schwarte |
LargeCap S&P 500 Index
|
None |
Jeffrey A.
Schwarte |
LargeCap S&P 500 Managed
Volatility Index |
None |
Jeffrey A.
Schwarte* |
LargeCap Value |
None |
Alan Wang |
International Emerging
Markets |
None |
Mohammed Zaidi |
International Emerging
Markets |
None |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that base
the
Advisory
Fee
on
Performance | |
William C.
Armstrong: Core
Plus Bond Account |
||||
Registered investment
companies |
1 |
$3.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
7 |
$7.3 billion |
0 |
$0 |
Other accounts |
13 |
$4.9 billion |
2 |
$1.3 billion |
John R.
Friedl: Government
& High Quality Bond, Income and Short-Term Income
Accounts |
||||
Registered investment
companies |
4 |
$9.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
1 |
$4.8 million |
0 |
$0 |
Ryan P.
McCann: Government
& High Quality Bond, Income, and Short-Term Income
Accounts |
||||
Registered investment
companies |
4 |
$9.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
1 |
$4.8 million |
0 |
$0 |
Tina
Paris: Core
Plus Bond Account |
||||
Registered investment
companies |
2 |
$3.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
9 |
$7.3 billion |
0 |
$0 |
Other accounts |
15 |
$5.2 billion |
2 |
$1.3 billion |
Scott J.
Peterson: Government & High Quality
Bond, Income, and Short-Term Income Accounts |
||||
Registered investment
companies |
4 |
$9.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$532.8 million |
0 |
$0 |
Timothy R.
Warrick: Core Plus
Bond Account |
||||
Registered investment
companies |
2 |
$3.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
8 |
$7.2 billion |
0 |
$0 |
Other accounts |
36 |
$16.7 billion |
3 |
$1.6
billion |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
William C.
Armstrong |
Core Plus Bond |
None |
John R. Friedl |
Government & High Quality
Bond |
None |
John R. Friedl |
Income |
None |
John R. Friedl |
Short-Term Income
|
None |
Ryan P. McCann |
Government & High Quality
Bond |
None |
Ryan P. McCann |
Income |
None |
Ryan P. McCann |
Short-Term Income
|
None |
Tina Paris |
Core Plus Bond |
None |
Scott J.
Peterson |
Government & High Quality
Bond |
None |
Scott J.
Peterson |
Income |
None |
Scott J.
Peterson |
Short-Term Income
|
None |
Timothy R.
Warrick |
Core Plus Bond |
None |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base
the
Advisory
Fee
on
Performance | |
Matthew D.
Annenberg:
Principal LifeTime Strategic Income, 2010, 2020, 2030, 2040, 2050, and
2060 Accounts |
||||
Registered investment
companies |
12 |
$26.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
2 |
$15.5 million |
0 |
$0 |
Charles D.
Averill: SAM
Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible
Income and SAM Strategic Growth Portfolios |
||||
Registered investment
companies |
6 |
$15.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
James W.
Fennessey: Diversified Balanced,
Diversified Balanced Managed Volatility, Diversified Balanced Volatility
Control, Diversified Growth, Diversified Growth Managed Volatility,
Diversified Growth Volatility Control, Diversified Income, LargeCap Growth
I, Principal LifeTime Strategic Income, 2010, 2020, 2030, 2040, 2050, 2060
Accounts |
||||
Registered investment
companies |
36 |
$43.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
19 |
$34.4 billion |
0 |
$0 |
Other accounts |
36 |
$4.5 billion |
0 |
$0 |
Todd A.
Jablonski: SAM
Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible
Income and SAM Strategic Growth Portfolios |
||||
Registered investment
companies |
6 |
$15.0 billion |
0 |
$0 |
Other pooled investment
vehicles |
2 |
$322.3 million |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Thomas L.
Kruchten*: Diversified Balanced
Volatility Control and Diversified Growth Volatility Control
Accounts |
||||
Registered investment
companies |
5 |
$2.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
4 |
$35.4 billion |
0 |
$0 |
Other accounts |
0 |
$0 |
0 |
$0 |
Mark R.
Nebelung: Diversified Balanced
Volatility Control and Diversified Growth Volatility Control
Accounts |
||||
Registered investment
companies |
15 |
$2.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$122.6 million |
0 |
$0 |
Other accounts |
6 |
$694.8 million |
0 |
$0 |
Jeffrey A.
Schwarte*: Diversified Balanced
Volatility Control and Diversified Growth Volatility Control
Accounts |
||||
Registered investment
companies |
16 |
$4.2 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$35.4 billion |
0 |
$0 |
Other accounts |
3 |
$67.0 million |
0 |
$0 |
Scott
Smith: Principal LifeTime
Strategic Income, 2010, 2020, 2030, 2040, 2050, 2060 and Multi-Asset
Income Accounts |
||||
Registered investment
companies |
20 |
$26.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
19 |
$34.4 billion |
0 |
$0 |
Other accounts |
37 |
$4.7 billion |
0 |
$0 |
Gregory L.
Tornga: SAM
Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible
Income, SAM Strategic Growth Portfolios |
||||
Registered investment
companies |
5 |
$14.8 billion |
0 |
$0 |
Other pooled investment
vehicles |
2 |
$322.3 million |
0 |
$0 |
Other accounts |
1 |
$53.5 million |
0 |
$0 |
Randy L.
Welch: Diversified
Balanced, Diversified Balanced Managed Volatility, Diversified Balanced
Volatility Control, Diversified Growth, Diversified Growth Managed
Volatility, Diversified Growth Volatility Control, Diversified Income,
LargeCap Growth I, Principal LifeTime Strategic Income, 2010, 2020, 2030,
2040, 2050, 2060 Accounts |
||||
Registered investment
companies |
36 |
$43.1 billion |
0 |
$0 |
Other pooled investment
vehicles |
19 |
$34.4 billion |
0 |
$0 |
Other accounts |
36 |
$4.5 billion |
0 |
$0 |
* For more information
regarding Thomas L. Kruchten's and Jeffrey A. Schwarte's Other Accounts
Managed, see Sub-Advisor: Principal Global Investors, LLC (Equity
Portfolio Managers). |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Matthew D.
Annenberg |
Principal LifeTime Strategic
Income |
None |
Matthew D.
Annenberg |
Principal LifeTime
2010 |
None |
Matthew D.
Annenberg |
Principal LifeTime 2020
|
None |
Matthew D.
Annenberg |
Principal LifeTime 2030
|
None |
Matthew D.
Annenberg |
Principal LifeTime 2040
|
None |
Matthew D.
Annenberg |
Principal LifeTime 2050
|
None |
Matthew D.
Annenberg |
Principal LifeTime 2060
|
None |
Charles D.
Averill |
SAM Balanced |
None |
Charles D.
Averill |
SAM Conservative
Balanced |
None |
Charles D.
Averill |
SAM Conservative
Growth |
None |
Charles D.
Averill |
SAM Flexible
Income |
None |
Charles D.
Averill |
SAM Strategic
Growth |
None |
James W.
Fennessey |
Diversified Balanced
|
None |
James W.
Fennessey |
Diversified Balanced Managed
Volatility |
None |
James W.
Fennessey |
Diversified Balanced Volatility
Control |
None |
James W.
Fennessey |
Diversified Growth
|
None |
James W.
Fennessey |
Diversified Growth Managed
Volatility |
None |
James W.
Fennessey |
Diversified Growth Volatility
Control |
None |
James W.
Fennessey |
Diversified
Income |
None |
James W.
Fennessey |
LargeCap Growth
I |
None |
James W.
Fennessey |
Principal LifeTime Strategic
Income |
None |
James W.
Fennessey |
Principal LifeTime
2010 |
None |
James W.
Fennessey |
Principal LifeTime
2020 |
None |
James W.
Fennessey |
Principal LifeTime
2030 |
None |
James W.
Fennessey |
Principal LifeTime
2040 |
None |
James W.
Fennessey |
Principal LifeTime
2050 |
None |
James W.
Fennessey |
Principal LifeTime
2060 |
None |
Todd A.
Jablonski |
SAM Balanced |
None |
Todd A.
Jablonski |
SAM Conservative
Balanced |
None |
Todd A.
Jablonski |
SAM Conservative
Growth |
None |
Todd A.
Jablonski |
SAM Flexible
Income |
None |
Todd A.
Jablonski |
SAM Strategic
Growth |
None |
Thomas L.
Kruchten* |
Diversified Balanced Volatility
Control |
None |
Thomas L.
Kruchten* |
Diversified Growth Volatility
Control |
None |
Mark R.
Nebelung |
Diversified Balanced Volatility
Control |
None |
Mark R.
Nebelung |
Diversified Growth Volatility
Control |
None |
Jeffrey A.
Schwarte* |
Diversified Balanced Volatility
Control |
None |
Jeffrey A.
Schwarte* |
Diversified Growth Volatility
Control |
None |
Scott Smith |
Multi-Asset
Income |
None |
Scott Smith |
Principal LifeTime Strategic
Income |
None |
Scott Smith |
Principal LifeTime
2010 |
None |
Scott Smith |
Principal LifeTime
2020 |
None |
Scott Smith |
Principal LifeTime
2030 |
None |
Scott Smith |
Principal LifeTime
2040 |
None |
Scott Smith |
Principal LifeTime
2050 |
None |
Scott Smith |
Principal LifeTime
2060 |
None |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Gregory L.
Tornga |
SAM Balanced |
None |
Gregory L. Tornga
|
SAM Conservative Balanced
|
None |
Gregory L. Tornga
|
SAM Conservative Growth
|
None |
Gregory L. Tornga
|
SAM Flexible Income
|
None |
Gregory L. Tornga
|
SAM Strategic
Growth |
None |
Randy L. Welch |
Diversified Balanced
|
None |
Randy L. Welch |
Diversified Balanced Managed
Volatility |
None |
Randy L. Welch |
Diversified Balanced Volatility
Control |
None |
Randy L. Welch |
Diversified Growth
|
None |
Randy L. Welch |
Diversified Growth Managed
Volatility |
None |
Randy L. Welch |
Diversified Growth Volatility
Control |
None |
Randy L. Welch |
Diversified
Income |
None |
Randy L. Welch |
LargeCap Growth
I |
None |
Randy L. Welch |
Principal LifeTime Strategic
Income |
None |
Randy L. Welch |
Principal LifeTime
2010 |
None |
Randy L. Welch |
Principal LifeTime
2020 |
None |
Randy L. Welch |
Principal LifeTime
2030 |
None |
Randy L. Welch |
Principal LifeTime
2040 |
None |
Randy L. Welch |
Principal LifeTime
2050 |
None |
Randy L. Welch |
Principal LifeTime
2060 |
None |
* |
For more information regarding
Thomas L. Kruchten's and Jeffrey A. Schwarte's Other Accounts Managed, see
Sub-Advisor: Principal Global Investors,LLC (Equity Portfolio
Managers). |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base
the
Advisory
Fee
on
Performance | |
Paul
Benson: Bond Market Index
Account |
||||
Registered investment
companies |
18 |
$8.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
49 |
$14.9 billion |
0 |
$0 |
Other accounts |
38 |
$21.8 billion |
0 |
$0 |
Gregg
Lee: Bond Market Index
Account |
||||
Registered investment
companies |
18 |
$8.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
49 |
$14.9 billion |
0 |
$0 |
Other accounts |
38 |
$21.8 billion |
0 |
$0 |
Nancy G.
Rogers: Bond Market Index
Account |
||||
Registered investment
companies |
18 |
$8.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
49 |
$14.9 billion |
0 |
$0 |
Other accounts |
38 |
$21.8 billion |
0 |
$0 |
Stephanie
Shu: Bond Market Index
Account |
||||
Registered investment
companies |
18 |
$8.7 billion |
0 |
$0 |
Other pooled investment
vehicles |
49 |
$14.9 billion |
0 |
$0 |
Other accounts |
38 |
$21.8 billion |
0 |
$0 |
• |
Motivate and reward superior
investment and business performance |
• |
Motivate and reward continued
growth and profitability |
• |
Attract and retain
high-performing individuals critical to the on-going success of BNY Mellon
AMNA |
• |
Create an ownership mentality
for all plan participants |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Paul Benson |
Bond Market
Index |
None |
Gregg Lee |
Bond Market Index
|
None |
Nancy G. Rogers |
Bond Market Index
|
None |
Stephanie Shu |
Bond Market Index
|
None |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base
the
Advisory
Fee
on
Performance | |
Thomas J.
Bisighini: LargeCap Growth
Account |
||||
Registered investment
companies |
1 |
$980.0 million |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
17 |
$1.8 billion |
1 |
$92.0
million |
Anthony
Rizza: LargeCap Growth
Account |
||||
Registered investment
companies |
1 |
$980.0 million |
0 |
$0 |
Other pooled investment
vehicles |
0 |
$0 |
0 |
$0 |
Other accounts |
17 |
$1.8 billion |
1 |
$92.0
million |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Thomas J.
Bisighini |
LargeCap Growth |
None |
Anthony Rizza |
LargeCap Growth |
None |
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base
the
Advisory
Fee
on
Performance | |
Keith
Bokota: Real
Estate Securities Account |
||||
Registered investment
companies |
2 |
$3.6 billion |
0 |
$0 |
Other pooled investment
vehicles |
1 |
$44.0 million |
0 |
$0 |
Other accounts |
12 |
$982.9 million |
0 |
$0 |
Anthony
Kenkel: Real
Estate Securities Account |
||||
Registered investment
companies |
5 |
$6.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$1.2 billion |
0 |
$0 |
Other accounts |
50 |
$5.7 billion |
0 |
$0 |
Kelly D.
Rush: Real Estate
Securities Account |
||||
Registered investment
companies |
5 |
$6.3 billion |
0 |
$0 |
Other pooled investment
vehicles |
5 |
$1.2 billion |
0 |
$0 |
Other accounts |
51 |
$5.7 billion |
0 |
$0 |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
Keith Bokota |
Real Estate Securities
|
None |
Anthony Kenkel |
Real Estate
Securities |
None |
Kelly D. Rush |
Real Estate
Securities |
None |
Sub-Advisor: |
Spectrum
Asset Management, Inc. |
Total Number
of Accounts |
Total Assets
in the Accounts |
Number of
Accounts that base the Advisory Fee on Performance |
Total Assets
of the Accounts that base the Advisory Fee on
Performance | |
L. Phillip
Jacoby, IV: LargeCap S&P 500 Managed
Volatility Index Account |
||||
Registered investment
companies |
6 |
$10.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
31 |
$6.8 billion |
1 |
$11.5
million |
Other accounts |
43 |
$6.9 billion |
0 |
$0 |
Manu
Krishnan: LargeCap S&P 500
Managed Volatility Index Account |
||||
Registered investment
companies |
6 |
$10.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
31 |
$6.8 billion |
1 |
$11.5
million |
Other accounts |
43 |
$6.9 billion |
0 |
$0 |
Kevin
Nugent: LargeCap S&P
500 Managed Volatility Index Account |
||||
Registered investment
companies |
6 |
$10.4 billion |
0 |
$0 |
Other pooled investment
vehicles |
31 |
$6.8 billion |
1 |
$11.5
million |
Other accounts |
43 |
$6.9 billion |
0 |
$0 |
• |
Changes in overall firm assets
under management, including those assets in the Fund. (Portfolio managers
are not directly incentivized to increase assets (“AUM”), although they
are indirectly compensated as a result of an increase in
AUM) |
• |
Portfolio performance (on a
pre-tax basis) relative to benchmarks measured
annually. |
• |
Contribution to client
servicing |
• |
Compliance with firm and/or
regulatory policies and procedures |
• |
Work
ethic |
• |
Seniority and length of
service |
• |
Contribution to overall
functioning of organization |
Portfolio
Manager |
PVC Accounts
Managed by Portfolio Manager |
Dollar Range
of Securities Owned by the Portfolio Manager |
L. Phillip Jacoby, IV
|
LargeCap S&P 500 Managed
Volatility Index |
None |
Manu Krishnan |
LargeCap S&P 500 Managed
Volatility Index |
None |
Kevin Nugent |
LargeCap S&P 500 Managed
Volatility Index |
None |
Aaa: |
Obligations rated Aaa are
judged to be of the highest quality, subject to the lowest level of credit
risk. |
Aa: |
Obligations rated Aa are
judged to be of high quality and are subject to very low credit
risk. |
A: |
Obligations rated A are
considered upper-medium grade and are subject to low credit
risk. |
Baa: |
Obligations rated Baa are
subject to moderate credit risk. They are considered medium-grade and as
such may possess certain speculative
characteristics. |
Ba: |
Obligations rated Ba are
judged to be speculative and are subject to substantial credit
risk. |
B: |
Obligations rated B are
considered speculative and are subject to high credit
risk. |
Caa: |
Obligations rated Caa are
judged to be speculative of poor standing and are subject to very high
credit risk. |
Ca: |
Obligations rated Ca are
highly speculative and are likely in, or very near, default, with some
prospect of recovery of principal and
interest. |
C: |
Obligations rated C are the
lowest rated class of bonds and are typically in default, with little
prospect for recovery of principal or
interest. |
• |
Likelihood of payment -
capacity and willingness of the obligor to meet its financial commitment
on an obligation in accordance with the terms of the
obligation; |
• |
Nature of and provisions of
the obligation; |
• |
Protection afforded by, and
relative position of, the obligation in the event of bankruptcy,
reorganization, or other arrangement under the laws of bankruptcy and
other laws affecting creditor's rights. |
AAA: |
Obligations rated ‘AAA’ have
the highest rating assigned by S&P Global. The obligor’s capacity to
meet its financial commitment on the obligation is extremely
strong. |
AA: |
Obligations rated ‘AA’ differ
from the highest-rated issues only in small degree. The obligor’s capacity
to meet its financial commitment on the obligation is very
strong. |
A: |
Obligations rated ‘A’ have a
strong capacity to meet financial commitment on the obligation although
they are somewhat more susceptible to the adverse effects of changes in
circumstances and economic conditions than obligations in higher-rated
categories. |
BBB: |
Obligations rated ‘BBB’
exhibit adequate protection parameters; however, adverse economic
conditions or changing circumstances are more likely to lead to a weakened
capacity to meet financial commitment on the
obligation. |
BB, B, CCC, |
Obligations rated ‘BB’, ‘B’,
‘CCC’, ‘CC’, and ‘C’ are regarded, on balance, as having
significant |
CC, and C: |
speculative characteristics.
‘BB’ indicates the lowest degree of speculation and ‘C’ the highest degree
of speculation. While such obligations will likely have some quality and
protective characteristics, these may be outweighed by large uncertainties
or major risk exposures to adverse
conditions. |
BB: |
Obligations rated ‘BB’ are
less vulnerable to nonpayment than other speculative issues. However it
faces major ongoing uncertainties or exposure to adverse business,
financial, or economic conditions which could lead to the obligor’s
inadequate capacity to meet its financial commitment on the
obligation. |
B: |
Obligations rated ‘B’ are more
vulnerable to nonpayment than ‘BB’ but the obligor currently has the
capacity to meet its financial commitment on the obligation. Adverse
business, financial, or economic conditions will likely impair this
capacity. |
CCC: |
Obligations rated ‘CCC’ are
currently vulnerable to nonpayment and is dependent upon favorable
business, financial, and economic conditions for the obligor to meet its
financial commitment on the obligation. If adverse business, financial, or
economic conditions occur, the obligor is not likely to have the capacity
to meet its financial commitment on the
obligation. |
CC: |
Obligations rated ‘CC’ are
currently highly vulnerable to nonpayment. The ‘CC’ rating is used when a
default has not yet occurred but S&P Global expects default to be a
virtual certainty, regardless of anticipated time to
default. |
C: |
The rating ‘C’ is highly
vulnerable to nonpayment, the obligation is expected to have lower
relative seniority or lower ultimate recovery compared to higher rated
obligations. |
D: |
Obligations rated ‘D’ are in
default, or in breach of an imputed promise. For non-hybrid capital
instruments, the ‘D’ rating category is used when payments on an
obligation are not made on the date due, unless S&P Global believes
that such payments will be made within five business days in the absence
of a stated grace period or within the earlier of the stated grace period
or 30 calendar days. The rating will also be used upon filing for
bankruptcy petition or the taking of similar action and where default is a
virtual certainty. If an obligation is subject to a distressed exchange
offer the rating is lowered to ‘D’. |
NR: |
Indicates that no rating has
been requested, that there is insufficient information on which to base a
rating or that S&P Global does not rate a particular type of
obligation as a matter of policy. |
A-1: |
This is the highest category.
The obligor’s capacity to meet its financial commitment on the obligation
is strong. Within this category, certain obligations are designated with a
plus sign (+). This indicates that the obligor’s capacity to meet its
financial commitment on these obligations is extremely
strong. |
A-2: |
Issues carrying this
designation are somewhat more susceptible to the adverse effects of the
changes in circumstances and economic conditions than obligations in
higher rating categories. However, the obligor’s capacity to meet its
financial commitment on the obligation is
satisfactory. |
A-3: |
Issues carrying this
designation exhibit adequate capacity to meet their financial obligations.
However, adverse economic conditions or changing circumstances are more
likely to lead to a weakened capacity of the obligor to meet it financial
commitment on the obligation. |
B: |
Issues rated ‘B’ are regarded
as vulnerable and have significant speculative characteristics. The
obligor has capacity to meet financial commitments; however, it faces
major ongoing uncertainties which could lead to obligor’s inadequate
capacity to meet its financial
obligations. |
C: |
This rating is assigned to
short-term debt obligations that are currently vulnerable to nonpayment
and is dependent upon favorable business, financial, and economic
conditions to meet its financial commitment on the
obligation. |
D: |
This rating indicates that the
issue is either in default or in breach of an imputed promise. For
non-hybrid capital instruments, the ‘D’ rating category is used when
payments on an obligation are not made on the date due, unless S&P
Global believes that such payments will be made within five business days
in the absence of a stated grace period or within the earlier of the
stated grace period or 30 calendar days. The rating will also be used upon
filing for bankruptcy petition or the taking of similar action and where
default is a virtual certainty. If an obligation is subject to a
distressed exchange offer the rating is lowered to
‘D’. |
SP-1: |
A strong capacity to pay
principal and interest. Issues that possess a very strong capacity to pay
debt service is given a "+" designation. |
SP-2: |
A satisfactory capacity to pay
principal and interest, with some vulnerability to adverse financial and
economic changes over the terms of the
notes. |
SP-3: |
A speculative capacity to pay
principal and interest. |
AAA: |
Highest credit quality. ‘AAA’
ratings denote the lowest expectation of credit risk. They are assigned
only in case of exceptionally strong capacity for payment of financial
commitments. This capacity is highly unlikely to be adversely affected by
foreseeable events. |
AA: |
Very high credit quality. ‘AA’
ratings denote expectations of very low credit risk. They indicate very
strong capacity for timely payment of financial commitments. This capacity
is not significantly vulnerable to foreseeable
events. |
A: |
High credit quality. ‘A’
ratings denote low expectation of credit risk. The capacity for timely
payment of financial commitments is considered strong. This capacity may,
nevertheless, be more vulnerable to adverse business or economic
conditions than is the case for higher
ratings. |
BBB: |
Good credit quality. ‘BBB’
ratings indicate that expectations of credit risk are currently low. The
capacity for payment of financial commitments is considered adequate, but
adverse business or economic conditions are more likely to impair this
capacity. |
BB: |
Speculative. ‘BB’ ratings
indicate an elevated vulnerability to credit risk, particularly in the
event of adverse changes in business or economic conditions over time;
however, business or financial alternatives may be available to allow
financial commitments to be met. |
B: |
Highly speculative. ‘B’
ratings indicate that material credit risk is
present. |
CCC: |
Substantial credit risk. ‘CCC’
ratings indicate that substantial credit risk is
present. |
CC: |
Very high levels of credit
risk. ‘CC’ ratings indicate very high levels of credit
risk. |
C: |
Exceptionally high levels of
credit risk. ‘C’ indicates exceptionally high levels of credit
risk. |
D: |
Default. ‘D’ ratings indicate
an issuer has entered into bankruptcy filings, administration,
receivership, liquidation or which has otherwise ceased
business. |
F1: |
Highest short-term credit
quality. Indicates the strongest intrinsic capacity for timely payment of
financial commitments; may have an added “+” to denote any exceptionally
strong credit feature. |
F2: |
Good short-term credit
quality. Good intrinsic capacity for timely payment of financial
commitments. |
F3: |
Fair short-term credit
quality. The intrinsic capacity for timely payment of financial
commitments is adequate. |
B: |
Speculative short-term credit
quality. Minimal capacity for timely payment of financial commitments,
plus heightened vulnerability to near term adverse changes in financial
and economic conditions. |
C: |
High short-term default risk.
Default is a real possibility. |
RD: |
Restricted default. Indicates
an entity that has defaulted on one or more of its financial commitments,
although it continues to meet other financial obligations. Typically
applicable to entity ratings only. |
D: |
Default. Indicates a
broad-based default event for an entity, or the default of a specific
short-term obligation. |
RR1: |
Outstanding recovery prospects
given default. ‘RR1’ rated securities have characteristics consistent with
securities historically recovering 91%-100% of current principal and
related interest. |
RR2: |
Superior recovery prospects
given default. ‘RR2’ rated securities have characteristics consistent with
securities historically recovering 71%-90% of current principal and
related interest. |
RR3: |
Good recovery prospects given
default. ‘RR3’ rated securities have characteristics consistent with
securities historically recovering 51%-70% of current principal and
related interest. |
RR4: |
Average recovery prospects
given default. ‘RR4’ rated securities have characteristics consistent with
securities historically recovering 31%-50% of current principal and
related interest. |
RR5: |
Below average recovery
prospects given default. ‘RR5’ rated securities have characteristics
consistent with securities historically recovering 11%-30% of current
principal and related interest. |
RR6: |
Poor recovery prospects given
default. ‘RR6’ rated securities have characteristics consistent with
securities historically recovering 0%-10% of current principal and related
interest. |
1. |
Written affirmation that all
proxies voted during the preceding calendar quarter, other than those
specifically identified by the advisor or sub-advisor, were voted in a
manner consistent with the advisor's or sub-advisor's voting policies and
procedures. In order to monitor the potential effect of conflicts of
interest of an advisor or sub-advisor, the advisor or sub-advisor will
identify any proxies the advisor or sub-advisor voted in a manner
inconsistent with its policies and procedures. The advisor or sub-advisor
shall list each vote, explain why the advisor or sub-advisor voted in a
manner contrary to its policies and procedures, state whether the advisor
or sub-advisor’s vote was consistent with the recommendation to the
advisor or sub-advisor of a third party and, if so, identify the third
party; and |
2. |
Written notification of any
changes to the advisor's or sub-advisor's proxy voting policies and
procedures made during the preceding calendar
quarter. |
1. |
Identification of the issuer
of the security; |
2. |
Exchange ticker symbol of the
security; |
3. |
CUSIP number of the
security; |
4. |
The date of the shareholder
meeting; |
5. |
A brief description of the
subject of the vote; |
6. |
Whether the proposal was put
forward by the issuer or a shareholder; |
7. |
Whether and how the vote was
cast; |
8. |
Whether the vote was cast for
or against management of the issuer. |
1. |
The requesting PM Team’s
reasons for the decision; |
3. |
Notification to the Proxy
Voting Team and other appropriate personnel (including other Advisers
Portfolio Managers who may own the particular
security); |
4. |
A determination that the
decision is not influenced by any conflict of interest; and review
and |
• |
Restrictions for share
blocking countries;(2) |
• |
Casting a vote on a foreign
security may require that the adviser engage a
translator; |
• |
Restrictions on foreigners’
ability to exercise votes; |
• |
Requirements to vote proxies
in person; |
• |
Requirements to provide
local agents with power of attorney to facilitate the voting
instructions; |
• |
Untimely notice of
shareholder meeting; |
• |
Restrictions on the sale of
securities for a period of time in proximity to the shareholder
meeting. |
• |
Any request, whether written
(including e-mail) or oral, received by any Employee of the Advisers, must
be promptly reported to the Proxy Voting Team. All written requests must
be retained in the Client’s permanent
file. |
• |
The Proxy Voting Team
records the identity of the Client, the date of the request, and the
disposition (e.g., provided a written or oral response to Client’s
request, referred to third party, not a proxy voting client, other
dispositions, etc.) in a suitable place. |
• |
The Proxy Voting Team
furnishes the information requested to the Client within a reasonable time
period (generally within 10 business days). The Advisers maintain a copy
of the written record provided in response to Client’s written (including
e-mail) or oral request. A copy of the written response should be attached
and maintained with the Client’s written request, if applicable and
maintained in the permanent file. |
• |
Clients are permitted to
request the proxy voting record for the 5 year period prior to their
request. |
• |
Upon inadvertent receipt of
a proxy, the Advisers forward the proxy to ISS for voting, unless the
client has instructed otherwise. |
• |
The Advisers’ proxy voting
record is maintained by ISS. The Proxy Voting Team, with the assistance of
the Investment Accounting and SMA Operations Departments, periodically
ensures that ISS has |
• |
The Advisers maintain
documentation to support the decision to vote against the ISS
recommendation. |
• |
The Advisers maintain
documentation or any communications received from third parties, other
industry analysts, third party service providers, company’s management
discussions, etc. that were material in the basis for any voting
decision. |
1
*The
Advisers have various Portfolio Manager Teams organized by asset classes
and investment strategies. | |
2
*In
certain markets where share blocking occurs, shares must be “frozen” for
trading purposes at the custodian or sub-custodian in order to vote.
During the time that shares are blocked, any pending trades will not
settle. Depending on the market, this period can last from one day to
three weeks. Any sales that must be executed will settle late and
potentially be subject to interest charges or other punitive
fees. |
POLICY: |
As investment advisor, Mellon
Capital Management Corporation (“Mellon Capital') is typically delegated
by clients the responsibility for voting proxies for shares held in their
(i.e. client) account. Clients may decide to adopt Mellon Capital's proxy
voting policy or may use their own policy. In either case, Mellon Capital
will vote and monitor the proxies on behalf of the client and ensure that
the proxies are voted in accordance with the proxy voting
policy. |
MONITORING
OF ISS: |
Mellon Capital's Onboarding
Team has implemented procedures designed to ensure that; (1) the client's
custodian is instructed to send their client's proxy ballots to ISS for
voting; and (2) that ISS is notified that they should begin receiving
proxy ballots. In addition, the Compliance Department monitors ISS'
activities on behalf of Mellon Capital. On a monthly basis, ISS issues a
certification letter that states that all proxies available to vote were
voted and that there were no exceptions (any exceptions will be listed in
the letter). |
VOTING
DISCLOSURE: |
Clients for whom Mellon
Capital votes proxies will receive a summary of Mellon Capital's Proxy
Voting Policy and a full copy of the policy is available upon request.
Furthermore, clients may request a history of proxies voted on their
behalf.
|
RECORDKEEPING: |
ISS maintains proxy voting
records on behalf of Mellon Capital. |
STOCK:
|
It is the policy of Mellon
Capital not to vote or make recommendations on how to vote shares of the
Bank of New York Mellon Corporation stock, even where Mellon Capital has
the legal power to do so under the relevant governing instrument. In order
to avoid any appearance of conflict relating to voting BNY Mellon stock,
Mellon Capital has contracted with an independent fiduciary (Institutional
Shareholder Services) to direct all voting of BNY Mellon Stock held by any
Mellon Capital accounts on any matter in which shareholders of BNY Mellon
Stock are required or permitted to vote. |
1. |
Scope
of Policy -
This Proxy Voting Policy has been adopted by certain of the investment
advisory subsidiaries of The Bank of New York Mellon Corporation (“BNY
Mellon”), the investment companies advised by such subsidiaries (the
“Funds”), and certain of the banking subsidiaries of BNY Mellon (BNY
Mellon's participating investment advisory and banking subsidiaries are
hereinafter referred to individually as a “Subsidiary” and collectively as
the “Subsidiaries”). |
2. |
Fiduciary
Duty - We
recognize that an investment adviser is a fiduciary that owes its clients
a duty of utmost good faith and full and fair disclosure of all material
facts. We further recognize that the right to vote proxies is an asset,
just as the economic investment represented by the shares is an asset. An
investment adviser's duty of loyalty precludes the adviser from
subrogating its clients' interests to its own. Accordingly, in voting
proxies, we will seek to act solely in the best financial and economic
interests of our clients, including the Funds and their shareholders, and
for the exclusive benefit of pension and other employee benefit plan
participants. With regard to voting proxies of foreign companies, a
Subsidiary weighs the cost of voting, and potential inability to sell, the
shares against the benefit of voting the shares to determine whether or
not to vote. |
3. |
Long-Term
Perspective -
We recognize that management of a publicly-held company may need
protection from the market's frequent focus on short-term considerations,
so as to be able to concentrate on such long-term goals as productivity
and development of competitive products and
services. |
4. |
Limited
Role of Shareholders - We believe that a
shareholder's role in the governance of a publicly-held company is
generally limited to monitoring the performance of the company and its
managers and voting on matters which properly come to a shareholder vote.
We will carefully review proposals that would limit shareholder control or
could affect shareholder values. |
5. |
Anti-takeover
Proposals - We
generally will oppose proposals that seem designed to insulate management
unnecessarily from the wishes of a majority of the shareholders and that
would lead to a determination of a company's future by a minority of its
shareholders. We will generally support proposals that seem to have as
their primary purpose providing management with temporary or short-term
insulation from outside influences so as to enable them to bargain
effectively with potential suitors and otherwise achieve identified
long-term goals to the extent such proposals are discrete and not bundled
with other proposals. |
6. |
“Social”
Issues - On
questions of social responsibility where economic performance does not
appear to be an issue, we will attempt to ensure that management
reasonably responds to the social issues. Responsiveness will be measured
by management's efforts to address the particular social issue including,
where appropriate, assessment of the implications of the proposal to the
ongoing operations of the company. We will pay particular attention to
repeat issues where management has failed in the intervening period to
take actions previously committed to. |
7. |
Proxy
Voting Process
- Every voting proposal is reviewed, categorized and analyzed in
accordance with our written guidelines in effect from time to time. Our
guidelines are reviewed periodically and updated as necessary to reflect
new issues and any changes in our policies on specific issues. Items that
can be categorized will be voted in accordance with any applicable
guidelines or referred to the BNY Mellon Proxy Policy Committee (the
“Committee”), if the applicable guidelines so require. Proposals for which
a guideline has not yet been established, for example, new proposals
arising from emerging economic or regulatory issues, will be referred to
the Committee for discussion and vote. Additionally, the Committee may
elect to review any proposal where it has identified a particular issue
for special scrutiny in light of new information. The Committee will also
consider specific interests and issues raised by a Subsidiary to the
Committee, which interests and issues may require that a vote for an
account managed by a Subsidiary be cast differently from the collective
vote in order to act in the best interests of such account's beneficial
owners. |
8. |
Material
Conflicts of Interest - We recognize our duty to
vote proxies in the best interests of our clients. We seek to avoid
material conflicts of interest through the establishment of our Committee
structure, which applies detailed, pre-determined proxy voting guidelines
in an objective and consistent manner across client accounts, based on
internal and external research and recommendations provided by a third
party vendor, and without consideration of any client relationship
factors. Further, we engage a third party as an independent fiduciary to
vote all proxies for BNY Mellon securities and Fund securities, and may
engage an independent fiduciary to vote proxies of other issuers in our
discretion. |
9. |
Securities
Lending - We
seek to balance the economic benefits of engaging in lending securities
against the inability to vote on proxy proposals to determine whether to
recall shares, unless a plan fiduciary retains the right to direct us to
recall shares. |
10. |
Recordkeeping - We will keep, or cause our
agents to keep, the records for each voting proposal required by law.
|
11. |
Disclosure
- We will
furnish a copy of this Proxy Voting Policy and any related procedures, or
a description thereof, to investment advisory clients as required by law.
In addition, we will furnish a copy of this Proxy Voting Policy, any
related procedures, and our voting guidelines to investment advisory
clients upon request. The Funds shall disclose their proxy voting policies
and procedures and their proxy votes as required by law. We recognize that
the applicable trust or account document, the applicable client agreement,
the Employee Retirement Income Security Act of 1974 (ERISA) and certain
laws may require disclosure of other information relating to proxy voting
in certain circumstances. This information will only be disclosed to those
who have an interest in the account for which shares are voted, and after
the shareholder meeting has concluded. |
12. |
Charter - We maintain a Charter
which lists the Committee's responsibilities and duties, membership,
voting and non-voting members, quorum, meeting schedule and oversight
mapping to the BNY Mellon Fiduciary Risk Management
Committee. |
• |
increased disclosure of a
company’s business ethics and code of conduct, as well as of its
activities that relate to social welfare; |
• |
development of sustainable
business practices, such as animal welfare policies, human rights
policies, and fair lending policies; and |
• |
disclosure of a company’s
lobbying practices and political and charitable
spending. |
• |
enhanced rights of workers,
and consideration of the communities and broader constituents in the areas
in which companies do business; |
• |
increased disclosure
regarding impact on local stakeholders, workers’ rights and human
rights; |
• |
adherence to codes of
conduct relating to labor standards, human rights conventions and
corporate responsibility; and |
• |
independent verification of
a company’s contractors’ compliance with labor and
|
• |
adoption of the Equator
Principles - a benchmark regarding social and environmental risk in
project financing; |
• |
improved sustainability
reporting and disclosure about company practices which impact the
environment; |
• |
increased disclosure of
environmental risk, compliance with international environmental
conventions and adherence to environmental
principles; |
• |
development of greenhouse
gas emissions reduction goals, recycling programs, and other proactive
means to mitigate a company’s environmental
impact; |
• |
consideration of energy
efficiency and renewable energy sources in a company’s development and
business strategy; |
• |
increased disclosure
regarding health and safety issues, including the labeling of the use of
genetically modified organisms, the elimination or reduction of toxic
emissions and use of toxic chemicals in manufacturing, and the prohibition
of tobacco sales to minors; |
• |
reporting on a company’s
drug reimportation guidelines, as well as on ethical responsibilities
relating to drug distribution and manufacture;
and |
• |
additional safety standards
regarding these matters. |
i) |
in the case of a Fund, the
firm shall contact the Fund board for a review and
determination; |
ii) |
in the case of all other
conflicts or potential conflicts, the firm may “echo vote” such shares, if
possible, which means the firm will vote the shares in the same proportion
as the vote of all other holders of the issuer’s shares;
or |
iii) |
in cases when echo voting is
not possible, the firm may defer to Glass Lewis recommendations or confer
with counsel to ensure that the proxy is voted in the best interest of the
client. |
1) |
provides clients with a
concise summary of its proxy voting policy, which includes information
describing how clients may obtain a copy of this complete policy and
information regarding how specific proxies related to each respective
investment account are voted. Columbus Circle provides this summary to all
new clients as part of its Form ADV, Part 2 Brochure, which is available
to any clients upon request; |
2) |
applies its proxy voting
policy according to the following voting policies and keeps records of
votes for each client through Institutional Shareholder
Services; |
3) |
keeps records of proxy
voting available for inspection by each client or governmental agencies -
to both determine whether the votes were consistent with policy and to
determine all proxies were voted; |
4) |
monitors such voting for any
potential conflicts of interest and maintains systems to deal with these
issues appropriately; and |
5) |
maintains this written proxy
voting policy, which may be updated and supplemented from time to
time; |
1. |
When voting on ballot items
that are fairly common management sponsored initiatives certain items are
generally, although not always, voted
affirmatively. |
• |
"Normal" elections of
directors |
• |
Approval of
auditors/CPA |
• |
Directors' liability and
indemnification |
• |
General updating/corrective
amendments to charter |
• |
Elimination of cumulative
voting |
• |
Elimination of preemptive
rights |
2. |
When voting items that have
a potential substantive financial or best interest impact, certain items
are generally, although not always, voted
affirmatively: |
• |
Capitalization changes that
eliminate other classes of stock and voting
rights |
• |
Changes in capitalization
authorization for stock splits, stock dividends,
and |
• |
Stock purchase plans with an
exercise price of not less than 85% FMV |
• |
Stock option plans that are
incentive based and not excessive |
• |
Reductions in supermajority
vote requirements |
• |
Adoption of antigreenmail
provisions |
3. |
When voting items which have
a potential substantive financial or best interest impact, certain items
are generally not voted in support of the proposed management sponsored
initiative: |
• |
Capitalization changes that
add classes of stock that are blank check
in |
• |
Changes in capitalization
authorization where management does not offer
an |
• |
Anti-takeover and related
provisions which serve to prevent the majority
of |
• |
Amendments to bylaws that
would require super-majority shareholder
votes |
• |
Classified or single-slate
boards of directors |
• |
Reincorporation into a state
that has more stringent anti-takeover and related
|
• |
Shareholder rights plans
that allow appropriate offers to shareholders to
be |
• |
Excessive compensation or
non-salary compensation related proposals,
always |
• |
Change-in-control provisions
in non-salary compensation plans,
employment |
• |
Amending articles to relax
quorum requirements for special
resolutions |
• |
Re-election of director(s)
directly responsible for a company’s fraudulent or criminal
act |
• |
Re-election of director(s)
who holds offices of chairman and CEO |
• |
Re-election of director(s)
who serve on audit, compensation and nominating
committees |
• |
Election of directors with
service contracts of three years, which exceed best practice and any
change in control provisions |
• |
Adoption of option
plans/grants to directors or employees of related
companies |
• |
Lengthening internal
auditors’ term in office to four years |
1. |
When voting shareholder
proposals, in general, initiatives related to the following items are
supported: |
• |
Auditors should attend the
annual meeting of shareholders |
• |
Election of the board on an
annual basis |
• |
Equal access to proxy
process |
• |
Submit shareholder rights
plan poison pill to vote or redeem |
• |
Undo various anti-takeover
related provisions |
• |
Reduction or elimination of
super-majority vote requirements |
• |
Anti-greenmail
provisions |
• |
Submit audit firm
ratification to shareholder votes |
• |
Audit firm rotations every
five or more years |
• |
Requirement to expense stock
options |
• |
Establishment of holding
periods limiting executive stock sales |
• |
Report on executive
retirement benefit plans |
• |
Require two-thirds of board
to be independent |
• |
Separation of chairman and
chief executive posts |
2. |
When voting shareholder
proposals, in general, initiatives related to the following items are not
supported: |
• |
Requiring directors to own
large amounts of stock before being eligible to
be |
• |
Restoring cumulative voting
in the election of directors |
• |
Reports which are costly to
provide or which would require duplicative
efforts |
• |
Restrictions related to
social, political or special interest issues which
impact |
• |
Restrictions banning future
stock option grants to executives except in extreme
cases |
3. |
Additional shareholder
proposals require case-by-case analysis |
• |
Prohibition or restriction
of auditors from engaging in non-audit services (auditors will be voted
against if non-audit fees are greater than audit and audit-related fees,
and permitted tax fees combined) |
• |
Requirements that stock
options be performance-based |
• |
Submission of extraordinary
pension benefits for senior executives under a company’s SERP for
shareholder approval |
• |
Shareholder access to
nominate board members |
• |
Requiring offshore companies
to reincorporate into the United States |
III. |
Conflicts
of Interest |
• |
That Spectrum act solely in
the interest of its clients in providing for ultimate long-term
stockholder value. |
• |
That Spectrum act without
undue influence from individuals or groups who may have an economic
interest in the outcome of a proxy vote. |
• |
That the custodian bank is
aware of our fiduciary duty to vote proxies on behalf of others – Spectrum
relies on the best efforts of the custodian bank to deliver all proxies we
are entitled to vote. |
• |
That Spectrum will exercise
its right to vote all proxies on behalf of its clients (or permit clients
to vote their interest, as the case(s) may
be). |
• |
That Spectrum will implement
a reasonable and sound basis to vote
proxies. |
A. |
Following ISS’
Recommendations |
B. |
Disregarding ISS’
Recommendations |
• |
Business Relationships – The
CCO will consider whether Spectrum (or an affiliate) has a substantial
business relationship with a portfolio company or a proponent of a proxy
proposal relating to the portfolio company (e.g., an employee group), such
that failure to vote in favor of management (or the proponent) could harm
the adviser’s relationship with the company (or proponent). For
example, if Spectrum manages money for the portfolio company or an
employee group, manages pension assets, leases office space from the
company, or provides other material services to the portfolio company, the
CCO will review whether such relationships may give rise to a conflict of
interest. |
• |
Personal Relationships – The
CCO will consider whether any senior executives or portfolio managers (or
similar persons at Spectrum’s affiliates) have a personal relationship
with other proponents of proxy proposals, participants in proxy contests,
corporate directors, or candidates for directorships that might give rise
to a conflict of interest. |
• |
Familial Relationships – The
CCO will consider whether any senior executives or portfolio managers (or
similar persons at Spectrum’s affiliates) have a familial relationship
relating to a portfolio company (e.g., a spouse or other relative who
serves as a director of a portfolio company, is a candidate for such a
position, or is employed by a portfolio company in a senior
position). |
• |
A list of clients that are
also public companies, which is prepared and updated by the Operations
Department and retained in the Compliance
Department. |
• |
Publicly available
information. |
• |
Information generally known
within Spectrum. |
• |
Information actually known
by senior executives or portfolio managers. When considering a proxy
proposal, investment professionals involved in the decision-making process
must disclose any potential material conflict that they are aware of to
the CCO prior to any substantive discussion of a proxy
matter. |
• |
Information obtained
periodically from those persons whom the CCO reasonably believes could be
affected by a conflict arising from a personal or familial relationship
(e.g., portfolio managers, senior
management). |
1. |
Financial Materiality – The
most likely indicator of materiality in most cases will be the dollar
amount involved with the relationship in question. For purposes
of proxy voting, it will be presumed that a conflict is not material
unless it involves at least 5% of Spectrum’s annual revenues or a minimum
dollar amount of $1,000,000. Different percentages or dollar
amounts may be used depending on the nature and degree of the conflict
(e.g., a higher number if the conflict arises through an affiliate rather
than directly with Spectrum). |
2. |
Non-Financial Materiality –
A non-financial conflict of interest might be material (e.g., conflicts
involving personal or familial relationships) and should be evaluated
based on the facts and circumstances of each
case. |
1. |
selection of
auditors |
2. |
increasing the authorized
number of common shares |
3. |
election of unopposed
directors |
1. |
Classification
of Board of Directors. Rather than
electing all directors annually, these provisions stagger a board,
generally into three annual classes, and call for only one-third to be
elected each year. Staggered boards may help to ensure
leadership continuity, but they also serve as defensive
mechanisms. Classifying the board makes it more difficult to
change control of a company through a proxy contest involving election of
directors. In general, we vote on a case by case basis on
proposals for staggered boards, but generally favor annual elections of
all directors. |
2. |
Cumulative
Voting of Directors. Most
corporations provide that shareholders are entitled to cast one vote for
each director for each share owned - the one share, one vote
standard. The process of cumulative voting, on the other hand,
permits shareholders to distribute the total number of votes they have in
any manner they wish when electing directors. Shareholders may
possibly elect a minority representative to a corporate board by this
process, ensuring representation for all sizes of
shareholders. Outside shareholder involvement can encourage
management to maximize share value. We generally support
cumulative voting of directors. |
3. |
Prevention
of Greenmail. These proposals
seek to prevent the practice of “greenmail”, or targeted share repurchases
by management of company stock from individuals or groups seeking control
of the company. Since only the hostile party receives payment,
usually at a substantial premium over the market value of its shares, the
practice discriminates against all other shareholders. By
making greenmail payments, management transfers significant sums of
corporate cash to one entity, most often for the primary purpose of saving
their jobs. Shareholders are left with an asset-depleted and
often less competitive company. We think that if a corporation
offers to buy back its stock, the offer should be made to all
shareholders, not just to a select group or individual. We are
opposed to greenmail and will support greenmail prevention
proposals. |
4. |
Supermajority
Provisions. These corporate
charter amendments generally require that a very high percentage of share
votes (70-81%) be cast affirmatively to approve a merger, unless the board
of directors has approved it in advance. These provisions have
the potential to give management veto power over merging with another
company, even though a majority of shareholders favor the
merger. In most cases we believe requiring supermajority
approval of mergers places too much veto power in the hands of management
and other minority shareholders, at the expense of the majority
shareholders, and we oppose such
provisions. |
5. |
Defensive
Strategies. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
6. |
Business
Combinations or Restructuring. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
7. |
Executive
and Director Compensation. These proposals
will be analyzed on a case by case basis to determine the effect on
shareholder value. Our decision will be based on whether the
proposal enhances long-term economic
value. |
Name of individual
contacted: |
| |
Date: |
Yes / No |
| |
Name of individual
contacted: |
| |
Date: |
8. Portfolio Manager
Signature: |
| |
Date: |
| |
Portfolio Manager
Name: |
| |
|
| |
Portfolio Manager
Signature*: |
| |
Date: |
| |
Portfolio Manager
Name: |
|