|
Share
Class | ||
Account/Portfolio |
1 |
2 |
3 |
Blue
Chip |
|
|
X |
Bond
Market Index |
X |
|
|
Core
Plus Bond |
X |
|
|
Diversified
Balanced |
X |
X |
X |
Diversified
Balanced Managed Volatility |
|
X |
X |
Diversified
Balanced Volatility Control |
|
X |
X |
Diversified
Growth |
|
X |
X |
Diversified
Growth Managed Volatility |
|
X |
X |
Diversified
Growth Volatility Control |
|
X |
X |
Diversified
Income |
|
X |
X |
Diversified
International |
X |
|
|
Equity
Income |
X |
X |
X |
Global
Emerging Markets |
X |
|
|
Government
& High Quality Bond |
X |
|
|
LargeCap
Growth I |
X |
|
|
LargeCap
S&P 500 Index |
X |
X |
|
LargeCap
S&P 500 Managed Volatility Index |
X |
|
|
MidCap |
X |
X |
|
Principal
Capital Appreciation |
X |
X |
|
Principal
LifeTime Strategic Income |
X |
|
|
Principal
LifeTime 2020 |
X |
|
|
Principal
LifeTime 2030 |
X |
|
|
Principal
LifeTime 2040 |
X |
|
|
Principal
LifeTime 2050 |
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 |
|
|
SmallCap |
X |
X |
|
U.S.
LargeCap Buffer January |
|
X |
|
U.S.
LargeCap Buffer April |
|
X |
|
U.S.
LargeCap Buffer July |
|
X |
|
U.S.
LargeCap Buffer October |
|
X |
|
Account/Portfolio |
2022 |
2021 |
Comments |
Blue
Chip |
91.9% |
12.5% |
Turnover
levels were elevated in 2022 due to a large fund
outflow. |
Diversified
Balanced Volatility Control |
104.9 |
47.6 |
Turnover
levels were elevated in 2022 due to heightened equity market
volatility. |
Equity
Income |
19.6 |
9.6 |
Turnover
normalized in 2022 after lighter trading in 2021. |
LargeCap
S&P 500 Index |
9.0 |
2.6 |
Turnover
in the index, which this passive option tracks, increased in 2022
relative
to 2021. |
LargeCap
S&P 500 Managed Volatility Index |
8.3 |
2.6 |
Turnover
in the index, which this passive option tracks, increased in 2022
relative
to 2021. |
SmallCap |
18.0 |
36.6 |
Lower
turnover in 2022 was primarily due to strategic decisions by the portfolio
management
team to hold certain
securities. |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
15(c)
Committee
Karen
McMillan, Chair
Fritz
S. Hirsch
Padelford
L. Lattimer
Mary
M. VanDeWeghe |
The
Committee’s primary purpose is to assist the Board in performing the
annual review of
the
Funds’ advisory and sub-advisory agreements pursuant to Section 15(c) of
the 1940 Act.
The
Committee is responsible for requesting and reviewing related
materials. |
6 |
Audit
Committee
Victor
L. Hymes, Chair
Leroy
T. Barnes, Jr.
Frances
P. Grieb
Elizabeth
A. Nickels
Mary
M. VanDeWeghe |
The
Committee’s primary purpose is to assist the Board by serving as an
independent and
objective
party to monitor the Fund Complex’s accounting policies, financial
reporting, and
internal
control system, as well as the work of the independent registered public
accountants.
The
Audit Committee assists Board oversight of 1) the integrity of the Fund
Complex’s
financial
statements; 2) the Fund Complex’s compliance with certain legal and
regulatory
requirements;
3) the independent registered public accountants’ qualifications and
independence;
and 4) the performance of the Fund Complex’s independent registered public
accountants.
The Audit Committee also provides an open avenue of communication among
the
independent registered public accountants, PGI’s internal auditors, Fund
Complex
management,
and the Board. |
10 |
Executive
Committee
Kamal
Bhatia, Chair
Craig
Damos
Patrick
G. Halter |
The
Committee’s primary purpose is to exercise certain powers of the Board
when the Board
is
not in session. When the Board is not in session, the Committee may
exercise all powers of
the
Board in the management of the Fund Complex’s business except the power to
1) issue
stock,
except as permitted by law; 2) recommend to the shareholders any action
that requires
shareholder
approval; 3) amend the bylaws; or 4) approve any merger or share exchange
that
does
not require shareholder approval. |
None |
Committee
and
Independent
Board
Members |
Primary
Purpose and Responsibilities |
Meetings
Held
During
the Last
Fiscal
Year |
Nominating
and Governance
Committee
Elizabeth
A. Nickels, Chair
Craig
Damos
Fritz
S. Hirsch
Victor
L. Hymes |
The
Committee’s primary purpose is to oversee the structure and efficiency of
the Board and
the
committees. The Committee is responsible for evaluating Board membership
and
functions,
committee membership and functions, insurance coverage, and legal matters.
The
Committee’s
nominating functions include selecting and nominating Independent Board
Member
candidates for election to the Board. Generally, the Committee requests
nominee
suggestions
from Board Members and management. In addition, the Committee considers
candidates
recommended by shareholders of the Fund Complex. Recommendations should
be
submitted in writing to the Principal Funds Complex Secretary, in care of
the Principal
Funds
Complex, 711 High Street, Des Moines, IA 50392. Such recommendations must
include
all information specified in the Committee’s charter and must conform with
the
procedures
set forth in Appendix A thereto, which can be found at https://
secure02.principal.com/publicvsupply/GetFile?fm=MM13013&ty=VOP&EXT=.VOP.
Examples
of such information include the nominee’s biographical information;
relevant
educational
and professional background of the nominee; the number of shares of each
Fund
owned of record and beneficially by the nominee and by the recommending
shareholder;
any other information regarding the nominee that would be required to be
disclosed
in a proxy statement or other filing required to be made in connection
with the
solicitation
of proxies for the election of board members; whether the nominee is an
“interested
person” of the Funds as defined in the 1940 Act; and the written consent
of the
nominee
to be named as a nominee and serve as a board member if
elected.
When
evaluating a potential nominee for Independent Board Member, the Committee
may
consider,
among other factors: educational background; relevant business and
industry
experience;
whether the person is an “interested person” of the Funds as defined in
the 1940
Act;
and whether the person is willing to serve, and willing and able to commit
the time
necessary
to attend meetings and perform the duties of an Independent Board Member.
In
addition,
the Committee may consider whether a candidate’s background, experience,
skills
and
views would complement the background, experience, skills and views of
other Board
Members
and would contribute to the diversity of the Board. The final decision is
based on a
combination
of factors, including the strengths and the experience an individual may
bring to
the
Board. The Board does not regularly use the services of professional
search firms to
identify
or evaluate potential candidates or nominees. |
5 |
Operations
Committee
Padelford
L. Lattimer, Chair
Craig
Damos
Katharin
S. Dyer
Karen
McMillan |
The
Committee’s primary purpose is to review and oversee the provision of
administrative
and
distribution services to the Fund Complex, communications with the Fund
Complex’s
shareholders,
and the Fund Complex’s operations. |
6 |
INDEPENDENT
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Leroy
T. Barnes, Jr.
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2012) |
Retired |
131 |
McClatchy
Newspapers,
Inc.
(2000 –
2020);
Frontier
Communi-
cations,
Inc.
(2005
–
2019) |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Craig
Damos
711
High Street
Des
Moines, IA 50392
1954 |
Lead
Independent Board Member
(since
2020) |
President,
C.P. Damos
Consulting,
LLC
(consulting
services) |
131 |
None |
Director,
PFI and PVC (since 2008) | ||||
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Katharin
S. Dyer
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2023) |
Founder
and Chief
Executive
Officer, PivotWise
(consulting
services);
Global
Partner, IBM
(technology
company)
from
2016 –2018 |
131 |
Liquidity
Services, Inc.
(2020
–
present) |
Trustee,
PDSRA and PETF
(since
2023) | ||||
Frances
P. Grieb
711
High Street
Des
Moines, IA 50392
1960 |
Director,
PFI and PVC (since 2023) |
Retired |
131 |
First
Interstate
BancSystem,
Inc.
(2022
–
present);
Great
Western Bancorp,
Inc.
and Great Western
Bank
(2014 –
2022) |
Trustee,
PDSRA and PETF
(since
2023) | ||||
Fritz
S. Hirsch
711
High Street
Des
Moines, IA 50392
1951 |
Director,
PFI and PVC (since 2005) |
Interim
CEO, MAM USA
(manufacturer
of infant and
juvenile
products)
from
February 2020 to
October
2020 |
131 |
MAM
USA
(2011
–
present) |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since
2019) |
INDEPENDENT
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Board
Positions Held
with
Fund Complex |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Victor
L. Hymes
711
High Street
Des
Moines, IA 50392
1957 |
Director,
PFI and PVC (since 2020) |
Founder,
CEO, CIO, Legato
Capital
Management, LLC
(investment
management
company) |
131 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
| ||||
Padelford
L. Lattimer
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2020) |
Managing
Partner,
TBA
Management
Consulting
LLC
(management
consulting
and
staffing company) |
131 |
None |
Trustee,
PDSRA and PETF
(since
2020) | ||||
Karen
McMillan
711
High Street
Des
Moines, IA 50392
1961 |
Director,
PFI and PVC (since 2014) |
Founder/Owner,
Tyche
Consulting LLC
(consulting
services);
Managing
Director,
Patomak
Global Partners,
LLC
(financial
services
consulting)
from
2014 –2021 |
131 |
None |
Trustee,
PETF (since 2014) | ||||
Trustee,
PDSRA (since 2019) | ||||
Elizabeth
A. Nickels
711
High Street
Des
Moines, IA 50392
1962 |
Director,
PFI and PVC (since 2015) |
Retired |
131 |
SpartanNash
(2000
–
2022) |
Trustee,
PETF (since 2015) | ||||
Trustee,
PDSRA (since 2019) | ||||
Mary
M. VanDeWeghe
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2018) |
CEO
and President,
Forte
Consulting, Inc.
(financial
and management
consulting) |
131 |
Helmerich
& Payne
(2019
–
present);
Denbury
Resources Inc.
(2019
–
2020) |
Trustee,
PETF (since 2018) | ||||
Trustee,
PDSRA (since 2019) |
INTERESTED
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Positions
Held
with
Fund Complex |
Positions
with PGI
and
its affiliates;
Principal
Occupation(s)
During
Past 5 Years**
(unless
noted otherwise) |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Kamal
Bhatia
711
High Street
Des
Moines, IA 50392
1972 |
Director
and Chair, PFI and PVC
(since
2023) |
PGI Director
(since 2019)
President-Principal
Funds (since 2019) PFD Director
(since 2019) PFGI,
PFSI, and PLIC Senior
Executive Managing Director -
Global
Head of Investments –
PAM
(since
2023)
Senior
Executive Director and
Chief
Operating Officer - PAM
(2022-2023)
Senior
Executive Director and
Chief
Operating Officer - PGI
(2020-2022)
President-Principal
Funds (2019-2020) Post Director
(since 2020) Principal-REI Senior
Executive Director and
Chief
Operating Officer - PGI
(since
2022)
Director
(since 2020) PSS Executive
Vice President (since 2019)
Director
and Chair (2019-2022) Spectrum Director
(since 2021) Origin Additional
Director (since 2022) Oppenheimer
Funds Senior
Vice President (2011-2019) |
131 |
None |
Trustee
and Chair, PDSRA and
PETF
(since 2023) | ||||
Chief
Executive Officer and
President
(since 2019) |
INTERESTED
BOARD MEMBERS | ||||
Name,
Address,
and
Year of Birth |
Positions
Held
with
Fund Complex |
Positions
with PGI
and
its affiliates;
Principal
Occupation(s)
During
Past 5 Years**
(unless
noted otherwise) |
Number
of
Portfolios
Overseen
in
Fund
Complex |
Other
Directorships
Held
During
Past
5 Years |
Patrick
G. Halter
711
High Street
Des
Moines, IA 50392
1959 |
Director,
PFI and PVC (since 2017) |
PGI Chair
(since 2018)
Chief
Executive Officer and
President
(since 2018)
Director
(since 2003) PFGI,
PFSI, and PLIC Chief
Executive Officer and
President-
PAM (since 2022)
President
- PGAM (2020-2022) Post Director
(since 2017)
Chair
(2017-2020) Principal-REI President
- PGAM (since 2022)
Director
and Chair (since 2004)
Chief
Executive Officer and
President
(2018-2021) Origin Director
(2018-2019) |
131 |
None |
Trustee,
PETF (since 2017) | ||||
Trustee,
PDSRA (since 2019) | ||||
Kenneth
A. McCullum
711
High Street
Des
Moines, IA 50392
1964 |
Director,
PFI and PVC (since 2023) |
PGI Director
(since 2020) PFGI,
PFSI, and PLIC Executive
Vice President and
Chief
Risk Officer (since 2023)
Senior
Vice President and
Chief
Risk Officer (2020-2023)
Vice
President and Chief Actuary
(2015-2020) PSI Director
(since 2020) PSS Director
(since 2020) |
131 |
None |
Trustee,
PDSRA and PETF (since
2023) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Randy
D. Bolin
711
High Street
Des
Moines, IA 50392
1961 |
Assistant
Tax Counsel (since 2020) |
Vice
President/Associate General Counsel, PGI (since 2016)
Vice
President/Associate General Counsel, PFSI (since 2013)
Vice
President/Associate General Counsel, PLIC (since
2013) |
Beth
Graff
711
High Street
Des
Moines, IA 50392
1968 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Fund Accounting, PLIC (since 2016) |
Gina
L. Graham
711
High Street
Des
Moines, IA 50392
1965 |
Treasurer
(since 2016) |
Vice
President and Treasurer, PGI (since 2016)
Vice
President and Treasurer, Business Owner Ecosystem, Inc.
(formerly,
RobustWealth, Inc.) (since 2018)
Vice
President and Treasurer, PFD (since 2016)
Vice
President and Treasurer, PFGI (since 2016)
Vice
President and Treasurer, PFSI (since 2016)
Vice
President and Treasurer, PLIC (since 2016)
Vice
President and Treasurer, Principal - REI (since 2017)
Vice
President and Treasurer, PSI (since 2016)
Vice
President and Treasurer, PSS (since 2016) |
Megan
Hoffmann
711
High Street
Des
Moines, IA 50392
1979 |
Vice
President and Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2020)
Assistant
Director –
Accounting, PLIC (2017-2020) |
Laura
B. Latham
711
High Street
Des
Moines, IA 50392
1986 |
Assistant
Counsel and Assistant
Secretary
(since 2018) |
Counsel,
PGI (since 2018)
Counsel,
PLIC (since 2018) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Diane
K. Nelson
711
High Street
Des
Moines, IA 50392
1965 |
AML
Officer (since 2016) |
Chief
Compliance Officer/AML Officer, PSS (since 2015) |
Tara
Parks
711
High Street
Des
Moines, IA 50392
1983 |
Vice
President and Assistant Controller
(since
2021) |
Director
–
Accounting, PLIC (since 2019)
Tax
Manager –
ALPS Fund Services (2011-2019) |
Deanna
Y. Pellack
711
High Street
Des
Moines, IA 50392
1987 |
Assistant
Counsel and Assistant
Secretary
(since 2022) |
Counsel,
PLIC (since 2022)
Vice
President, The Northern Trust Company (2019-2022)
Second
Vice President, The Northern Trust Company (2014-2019)
Secretary,
Advisers Investment Trust (2021-2022)
Assistant
Secretary, Advisers Investment Trust (2018-2021) |
Sara
L. Reece
711
High Street
Des
Moines, IA 50392
1975 |
Vice
President and Chief Operating
Officer
(since 2021) |
Managing
Director –
Global Fund Ops, PLIC (since 2021)
Managing
Director –
Financial Analysis/ Planning, PLIC (2021)
Director
–
Accounting, PLIC (2015-2021) |
Vice
President and Controller
(2016-2021) | ||
Teri
R. Root
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Compliance Officer (since 2018) |
Chief
Compliance Officer - Funds, PGI (since 2018)
Vice
President, PSS (since 2015) |
Interim
Chief Compliance Officer (since
2018) | ||
Michael
Scholten
711
High Street
Des
Moines, IA 50392
1979 |
Chief
Financial Officer (since 2021) |
Chief
Operations Officer, PFD (since 2022)
Chief
Financial Officer, PFD (2016-2022)
Assistant
Vice President and Actuary, PLIC (since 2021)
Chief
Financial Officer –
Funds/Platforms, PLIC (since 2015)
Chief
Financial Officer, PSS (since 2015) |
Adam
U. Shaikh
711
High Street
Des
Moines, IA 50392
1972 |
Assistant
Secretary (since 2022) |
Assistant
General Counsel, PGI (since 2018)
Counsel,
PLIC (since 2006) |
Assistant
Counsel (since 2006) | ||
John
L. Sullivan
711
High Street
Des
Moines, IA 50392
1970 |
Assistant
Counsel and Assistant
Secretary
(since 2019) |
Counsel,
PGI (since 2020)
Counsel,
PLIC (since 2019)
Prior
thereto, Attorney in Private Practice |
Dan
L. Westholm
711
High Street
Des
Moines, IA 50392
1966 |
Assistant
Treasurer (since 2006) |
Assistant
Vice President-Treasury, PGI (since 2013)
Assistant
Vice President-Treasury, PFD (since 2013)
Assistant
Vice President-Treasury, PLIC (since 2014)
Assistant
Vice President-Treasury, PSI (since 2013)
Assistant
Vice President-Treasury, PSS (since 2013) |
Beth
C. Wilson
711
High Street
Des
Moines, IA 50392
1956 |
Vice
President and Secretary
(since
2007) |
Director
and Secretary-Funds, PLIC (since
2007) |
FUND
COMPLEX OFFICERS | ||
Name,
Address,
and
Year of Birth |
Position(s)
Held
with
Fund Complex |
Positions
with PGI and its Affiliates;
Principal
Occupations During Past 5 Years** |
Clint
L. Woods
711
High Street
Des
Moines, IA 50392
1961 |
Counsel,
Vice President, and Assistant
Secretary
(since 2018) |
PGI Vice
President, Associate General Counsel, and Assistant Secretary
(since
2021)
Vice
President, Associate General Counsel, and Secretary
(2020-2021)
Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (2018-2020) Business
Owner Ecosystem, Inc. (formerly, RobustWealth, Inc.) Vice
President, Associate General Counsel, and Assistant
Secretary
(since 2019) PFD Vice
President, Associate General Counsel, and Secretary (since
2021)
Vice
President, Associate General Counsel, and
Assistant
Corporate Secretary (2019-2021) PFSI Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) PLIC Vice
President, Associate General Counsel, Governance Officer, and
Assistant
Corporate Secretary (since 2015) Post Assistant
Secretary (since 2021)
Secretary
(2020-2021) Principal-REI Vice
President, Associate General Counsel, Governance Officer,
and
Secretary (since 2020)
Vice
President, Associate Counsel, Governance Officer, and
Assistant
Corporate Secretary (2020) PSI Vice
President, Associate General Counsel, and Secretary
(2021-2022)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) PSS Vice
President, Associate General Counsel, and Secretary (since
2021)
Vice
President, Associate General Counsel, and Assistant Corporate
Secretary
(2019-2021) Spectrum Assistant
Secretary (since 2021)
Secretary
(2020-2021) |
Jared
A. Yepsen
711
High Street
Des
Moines, IA 50392
1981 |
Assistant
Tax Counsel (since 2017) |
Counsel,
PGI (2017-2019)
Counsel,
PLIC (since 2015) |
A |
$0 |
B |
$1
up to and including $10,000 |
C |
$10,001
up to and including $50,000 |
D |
$50,001
up to and including $100,000 |
E |
$100,001
or more |
|
Independent
Board Members | |||||||||
Account/Portfolio |
Barnes |
Damos |
Dyer(1) |
Grieb(1) |
Hirsch |
Hymes |
Lattimer |
McMillan |
Nickels |
VanDeWeghe |
Accounts/Portfolios
in this SAI |
A |
A |
A |
A |
A |
A |
A |
A |
A |
A |
Total
Fund Complex |
E |
E |
A |
A |
E |
E |
C |
E |
E |
E |
Interested
Board Members | |||
Account/Portfolio |
Bhatia(2) |
Halter |
McCullum(2) |
Diversified
Growth |
A |
E |
A |
Total
Fund Complex |
E |
E |
E |
Board
Member |
Funds
in this SAI |
Fund
Complex |
Leroy
T. Barnes, Jr. |
$24,589 |
$312,500 |
Craig
Damos |
$29,969 |
$380,750 |
Katharin
S. Dyer(1) |
$0 |
$0 |
Frances
P. Grieb(1)
|
$0 |
$0 |
Fritz
S. Hirsch |
$26,131 |
$332,000 |
Victor
L. Hymes |
$26,657 |
$338,750 |
Padelford
L. Lattimer |
$25,532 |
$324,500 |
Karen
McMillan |
$26,423 |
$335,750 |
Elizabeth
A. Nickels |
$26,954 |
$342,500 |
Mary
M. VanDeWeghe |
$25,475 |
$323,750 |
Sub-Advisor: |
Brown
Advisory, LLC (“Brown”)
is a wholly-owned subsidiary of Brown Advisory Management,
LLC. |
Fund(s): |
a
portion of the assets of LargeCap Growth I |
Sub-Advisor: |
Principal
Real Estate Investors, LLC (doing
business as Principal Real Estate)
(“Principal - REI”)
is
an
indirect subsidiary of Principal Financial Group,
Inc. |
Fund(s): |
Real
Estate Securities |
Sub-Advisor: |
Spectrum
Asset Management, Inc. (“Spectrum”)
is an indirect subsidiary of Principal Financial
Group,
Inc. |
Fund(s): |
a
portion of the assets of 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. |
Fund(s): |
a
portion of the assets of LargeCap Growth
I |
|
Net
Asset Value of Account |
Account/Portfolio |
Overall
Fee |
Bond
Market Index |
0.14% |
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 Managed Volatility Index |
0.35% |
Principal
LifeTime Strategic Income |
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% |
U.S.
LargeCap Buffer January |
0.69% |
U.S.
LargeCap Buffer April |
0.69% |
U.S.
LargeCap Buffer July |
0.69% |
U.S.
LargeCap Buffer October |
0.69% |
|
Net
Asset Value of Account | ||||
Account/Portfolio |
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% |
Government
& High Quality Bond |
0.50% |
0.48% |
0.46% |
0.45% |
0.44% |
LargeCap
Growth I |
0.80% |
0.75% |
0.70% |
0.65% |
0.60% |
Real
Estate Securities |
0.79% |
0.77% |
0.73% |
0.70% |
0.68% |
SmallCap |
0.85% |
0.80% |
0.75% |
0.70% |
0.65% |
|
Net
Asset Value of Account | ||||||
Account/Portfolio |
First
$100
million |
Next
$100
million |
Next
$100
million |
Next
$100
million |
Next
$300
million |
Next
$300
million |
Over
$1
billion |
Equity
Income |
0.60% |
0.55% |
0.50% |
0.45% |
0.40% |
0.39% |
0.38% |
MidCap |
0.65% |
0.60% |
0.55% |
0.50% |
0.45% |
0.44% |
0.43% |
|
Net
Asset Value of Account | ||||
Account/Portfolio |
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% |
Global
Emerging Markets |
1.00% |
0.98% |
0.96% |
0.95% |
0.90% |
|
Net
Asset Value of Account | |
Account/Portfolio |
First
$500
million |
Over
$500
million |
Blue
Chip |
0.60% |
0.55% |
Principal
Capital Appreciation |
0.625% |
0.500% |
Short-Term
Income |
0.40% |
0.39% |
|
Net
Asset Value of Account | |
Account/Portfolio |
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% |
|
Net
Asset Value of Account | |
Account/Portfolio |
First
$3
billion |
Over
$3
billion |
LargeCap
S&P 500 Index |
0.20% |
0.18% |
Contractual
Limits on Total Annual Fund Operating Expenses | ||||
Account/Portfolio |
Class
1 |
Class
2 |
Class
3 |
Expiration |
Blue
Chip |
N/A |
N/A |
1.05% |
4/30/2024 |
Diversified
Balanced Managed Volatility |
N/A |
0.31% |
N/A |
4/30/2024 |
LargeCap
Growth I |
0.69% |
N/A |
N/A |
4/30/2024 |
U.S.
LargeCap Buffer January |
N/A |
0.95% |
N/A |
4/30/2024 |
U.S.
LargeCap Buffer April |
N/A |
0.95% |
N/A |
4/30/2024 |
U.S.
LargeCap Buffer July |
N/A |
0.95% |
N/A |
4/30/2024 |
U.S.
LargeCap Buffer October |
N/A |
0.95% |
N/A |
4/30/2024 |
Contractual
Management Fee Waivers | ||
Account/Portfolio |
Waiver |
Expiration |
LargeCap
Growth I |
0.016% |
4/30/2024 |
Management
Fees Paid for Periods Ended December 31 (amounts in
thousands) | |||
Account/Portfolio |
2022 |
2021 |
2020 |
Blue
Chip |
$50 |
$47 |
$2(1) |
Bond
Market Index |
3,508 |
3,993 |
3,561 |
Core
Plus Bond |
965 |
1,117 |
1,173 |
Diversified
Balanced |
419 |
509 |
490 |
Diversified
Balanced Managed Volatility |
79 |
93 |
86 |
Diversified
Balanced Volatility Control |
251 |
250 |
192 |
Diversified
Growth |
1,674 |
1,974 |
1,804 |
Diversified
Growth Managed Volatility |
163 |
195 |
174 |
Diversified
Growth Volatility Control |
1,421 |
1,369 |
1,012 |
Diversified
Income |
138 |
165 |
145 |
Diversified
International |
2,111 |
2,546 |
2,088 |
Equity
Income |
3,199 |
3,535 |
3,287 |
Global
Emerging Markets |
735 |
1,069 |
929(2) |
Government
& High Quality Bond |
883 |
977 |
1,199 |
LargeCap
Growth I |
3,583 |
4,507 |
3,740 |
LargeCap
S&P 500 Index |
6,600 |
7,719 |
6,611 |
LargeCap
S&P 500 Managed Volatility Index |
909 |
1,085 |
976 |
MidCap |
3,247 |
3,532 |
3,035 |
Principal
Capital Appreciation |
1,017 |
1,124 |
928 |
Principal
LifeTime 2020 |
— |
— |
— |
Principal
LifeTime 2030 |
— |
— |
— |
Principal
LifeTime 2040 |
— |
— |
— |
Principal
LifeTime 2050 |
— |
— |
— |
Principal
LifeTime 2060 |
— |
— |
— |
Principal
LifeTime Strategic Income |
— |
— |
— |
Real
Estate Securities |
1,208 |
1,296 |
1,121 |
SAM
Balanced |
1,431 |
1,660 |
1,503 |
SAM
Conservative Balanced |
410 |
457 |
419 |
SAM
Conservative Growth |
852 |
944 |
783 |
SAM
Flexible Income |
375 |
427 |
410 |
SAM
Strategic Growth |
829 |
895 |
696 |
Short-Term
Income |
632 |
670 |
701 |
SmallCap |
1,521 |
1,850 |
1,419 |
U.S
LargeCap Buffer January |
1(3) |
— |
— |
U.S.
LargeCap Buffer April |
— |
— |
— |
U.S
LargeCap Buffer July |
87(4)
|
— |
— |
U.S
LargeCap Buffer October |
40(5)
|
— |
— |
Management
Fees Waived for Periods Ended December 31
(amounts
in thousands) | |||
Account/Portfolio |
2022 |
2021 |
2020 |
Global
Emerging Markets |
$— |
$— |
$39 |
LargeCap
Growth I |
82 |
107 |
86 |
Expenses
Reimbursed for Periods Ended December 31
(amounts
in thousands) | |||
Account/Portfolio |
2022 |
2021 |
2020 |
Blue
Chip |
$ 8 |
$ 10 |
$ 3(1) |
Global
Emerging Markets |
— |
— |
10 |
LargeCap
Growth I |
1 |
— |
— |
Short-Term
Income |
— |
— |
14 |
U.S.
LargeCap Buffer January |
4(2) |
— |
— |
U.S.
LargeCap Buffer July |
4(3)
|
— |
— |
U.S.
LargeCap Buffer October |
6(4)
|
— |
— |
Aggregate
Fees Paid to Sub-Advisors
(other
than Wholly-Owned Sub-Advisors)
for
Fiscal Years Ended December 31 (dollar amounts in
thousands) | ||||||
Account/Portfolio |
2022 |
2021 |
2020 | |||
|
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
Dollar
Amount |
Percent
of
Average
Daily
Net
Assets |
LargeCap
Growth I |
$ 1,053 |
0.23% |
$ 1,368 |
0.23% |
$ 1,112 |
0.23% |
Account/
Portfolio |
Gross
income
(including
from
cash
collateral
reinvestment) |
Fees
paid
to
securities
lending
agent
from
a
revenue
split |
Fees
paid
for
any
cash
collateral
management
service
that
are
not
included
in
revenue
split |
Administrative
fees
not
included
in
revenue
split |
Indemnification
fees
not
included
in
revenue
split |
Net
rebate
paid
to
borrower |
Other
fees
not
included
in
revenue
split |
Aggregate
fees/
compensation |
Net
income
from
securities
lending |
Blue
Chip |
$ 1 |
$ — |
$ — |
$ — |
$ — |
$ — |
$ — |
$ — |
$ — |
Bond
Market
Index |
145,148 |
7,715 |
— |
— |
— |
67,957 |
— |
75,672 |
69,476 |
Core
Plus
Bond |
17,388 |
1,625 |
— |
— |
— |
1,124 |
— |
2,749 |
14,639 |
Diversified
International |
37,483 |
2,011 |
— |
— |
— |
17,373 |
— |
19,384 |
18,099 |
Equity
Income |
75,394 |
3,393 |
— |
— |
— |
41,460 |
— |
44,854 |
30,540 |
Global
Emerging
Markets |
4,030 |
522 |
— |
— |
— |
(1,197) |
— |
(675) |
4,705 |
Government
&
High
Quality
Bond |
2,424 |
189 |
— |
— |
— |
538 |
— |
726 |
1,698 |
LargeCap
Growth
I |
56,325 |
2,330 |
— |
— |
— |
32,986 |
— |
35,316 |
21,009 |
LargeCap
S&P
500
Index |
4,937 |
1,136 |
— |
— |
— |
(6,429) |
— |
(5,293) |
10,229 |
LargeCap
S&P
500
Managed
Volatility
Index |
397 |
78 |
— |
— |
— |
(388) |
— |
(310) |
706 |
MidCap |
87 |
4 |
— |
— |
— |
47 |
— |
51 |
37 |
Principal
Capital
Appreciation |
3,607 |
191 |
— |
— |
— |
1,696 |
— |
1,887 |
1,720 |
Short-Term
Income |
1,505 |
70 |
— |
— |
— |
801 |
— |
871 |
634 |
SmallCap |
40,054 |
6,924 |
— |
— |
— |
(29,215) |
— |
(22,291) |
62,346 |
Account/Portfolio |
Paid
by Fund to PFD
(amount
in thousands) |
Paid
by PFD to
Financial
Intermediaries
(amount
in thousands) |
Retained
by PFD
(amounts
in thousands) |
Blue
Chip |
$ 21 |
$ 20 |
$ 1 |
Bond
Market Index |
- |
- |
- |
Core
Plus Bond |
- |
- |
- |
Diversified
Balanced |
2,006 |
2,005 |
1 |
Diversified
Balanced Managed Volatility |
393 |
393 |
- |
Diversified
Balanced Volatility Control |
524 |
524 |
- |
Diversified
Growth |
8,372 |
8,364 |
8 |
Diversified
Growth Managed Volatility |
815 |
814 |
1 |
Diversified
Growth Volatility Control |
2,961 |
2,961 |
- |
Diversified
Income |
691 |
690 |
1 |
Diversified
International |
- |
- |
- |
Equity
Income |
135 |
135 |
- |
Global
Emerging Markets |
- |
- |
- |
Government
& High Quality Bond |
- |
- |
- |
LargeCap
Growth I |
- |
- |
- |
LargeCap
S&P 500 Index |
107 |
107 |
- |
LargeCap
S&P 500 Managed Volatility Index |
- |
- |
- |
MidCap |
83 |
83 |
- |
Principal
Capital Appreciation |
75 |
75 |
- |
Principal
LifeTime 2020 |
- |
- |
- |
Principal
LifeTime 2030 |
- |
- |
- |
Principal
LifeTime 2040 |
- |
- |
- |
Principal
LifeTime 2050 |
- |
- |
- |
Principal
LifeTime 2060 |
- |
- |
- |
Principal
LifeTime Strategic Income |
- |
- |
- |
Real
Estate Securities |
26 |
25 |
1 |
SAM
Balanced |
342 |
342 |
- |
SAM
Conservative Balanced |
79 |
79 |
- |
SAM
Conservative Growth |
413 |
413 |
- |
SAM
Flexible Income |
99 |
99 |
- |
SAM
Strategic Growth |
435 |
434 |
1 |
Short-Term
Income |
- |
- |
- |
SmallCap |
22 |
22 |
- |
U.S.
LargeCap Buffer January(1) |
- |
- |
- |
U.S.
LargeCap Buffer July(2)
|
32 |
30 |
2 |
U.S.
LargeCap Buffer October(3)
|
14 |
14 |
- |
Account/Portfolio |
Amount
of Transactions
Because
of Research
Services
Provided |
Related
Commissions
Paid |
Blue
Chip |
$ 6,115,116 |
$ 1,014 |
Diversified
International |
147,960,511 |
87,751 |
Equity
Income |
235,283,977 |
92,334 |
Global
Emerging Markets |
19,862,315 |
11,842 |
LargeCap
Growth I |
66,217,258 |
11,806 |
LargeCap
S&P 500 Index |
219,925,456 |
56,564 |
LargeCap
S&P 500 Managed Volatility Index |
20,083,367 |
5,368 |
MidCap |
162,966,954 |
50,810 |
Principal
Capital Appreciation |
112,970,845 |
29,882 |
Real
Estate Securities |
35,810,856 |
22,129 |
SmallCap |
36,498,148 |
31,114 |
Total
Brokerage Commissions Paid for Periods Ended December
31 | |||
Account/Portfolio |
2022 |
2021 |
2020 |
Blue
Chip |
$ 2,268 |
$ 775 |
$ 276(1) |
Bond
Market Index |
7,300 |
6,650 |
10,355 |
Core
Plus Bond |
1,527 |
3,615 |
8,705 |
Diversified
Balanced Volatility Control |
18,582 |
4,228 |
10,735 |
Diversified
Growth Volatility Control |
94,105 |
27,768 |
50,465 |
Diversified
International |
204,914 |
201,377 |
189,733 |
Equity
Income |
140,788 |
101,431 |
131,248 |
Global
Emerging Markets |
50,961 |
64,730 |
90,763 |
LargeCap
Growth I |
47,330 |
40,392 |
68,020 |
LargeCap
S&P 500 Index |
94,680 |
58,598 |
92,614 |
LargeCap
S&P 500 Managed Volatility Index |
15,040 |
12,624 |
10,732 |
MidCap |
80,733 |
79,935 |
82,997 |
Principal
Capital Appreciation |
56,180 |
32,830 |
45,811 |
Real
Estate Securities |
40,599 |
31,243 |
81,548 |
SAM
Balanced |
20,150 |
19,170 |
15,990 |
SAM
Conservative Balanced |
4,747 |
5,060 |
2,398 |
SAM
Conservative Growth |
13,143 |
10,870 |
7,467 |
SAM
Flexible Income |
12,483 |
1,550 |
10,910 |
SAM
Strategic Growth |
8,275 |
8,940 |
10,170 |
SmallCap |
75,255 |
130,531 |
165,775 |
U.S.
LargeCap Buffer January |
1,642(2) |
- |
- |
U.S.
LargeCap Buffer July |
1,958(3)
|
- |
- |
U.S.
LargeCap Buffer October |
2,267(4)
|
- |
- |
Holdings
of Securities of Principal Variable Contracts Funds, Inc. Regular Brokers
and Dealers | ||
Account/Portfolio |
Broker
or Dealer |
Holdings
(in
thousands) |
Bond
Market Index |
Bank
of Montreal |
$ 1,380 |
Barclays
PLC |
3,361 | |
BNP
Paribas SA |
733 | |
Citigroup
Inc |
9,535 | |
Credit
Suisse AG |
1,807 | |
Goldman
Sachs Group Inc/The |
9,070 | |
Jefferies
Group LLC |
678 | |
JPMorgan
Chase & Co |
14,344 | |
Morgan
Stanley |
9,778 | |
Nomura
Holdings Inc |
902 | |
Wells
Fargo & Co |
9,100 | |
Core
Plus Bond |
Barclays
PLC |
926 |
BNP
Paribas SA |
367 | |
Citigroup
Inc |
1,567 | |
Credit
Suisse AG |
1,414 | |
Goldman
Sachs Group Inc/The |
1,009 | |
JPMorgan
Chase & Co |
1,163 | |
Morgan
Stanley |
2,799 | |
Wells
Fargo & Co |
735 | |
Equity
Income |
JPMorgan
Chase & Co |
16,806 |
Morgan
Stanley |
17,688 | |
LargeCap
S&P 500 Index |
Citigroup
Inc |
6,713 |
Goldman
Sachs Group Inc/The |
8,910 | |
JPMorgan
Chase & Co |
30,140 | |
Morgan
Stanley |
8,588 | |
Wells
Fargo & Co |
12,056 | |
LargeCap
S&P 500 Managed Volatility Index |
Citigroup
Inc |
458 |
Goldman
Sachs Group Inc/The |
609 | |
JPMorgan
Chase & Co |
2,058 | |
Morgan
Stanley |
586 | |
Wells
Fargo & Co |
823 | |
Principal
Capital Appreciation |
JPMorgan
Chase & Co |
3,178 |
Morgan
Stanley |
1,939 | |
Short-Term
Income |
Bank
of Montreal |
530 |
Barclays
PLC |
928 | |
BNP
Paribas SA |
249 | |
Citigroup
Inc |
1,498 | |
Credit
Suisse AG |
829 | |
Goldman
Sachs Group Inc/The |
2,106 | |
JPMorgan
Chase & Co |
1,704 | |
Morgan
Stanley |
2,516 | |
Wells
Fargo & Co |
1,426 | |
SmallCap |
Stifel
Financial Corp |
1,185 |
Account/Portfolio
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) |
BLUE
CHIP |
89.43% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
BOND
MARKET
INDEX |
45.41% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING
H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MARYLAND |
PRINCIPAL
FINANCIAL
GROUP |
CORE
PLUS BOND |
97.69% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
BALANCED |
99.91% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
BALANCED
MANAGED
VOLATILITY |
99.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
BALANCED
VOLATILITY
CONTROL |
99.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
GROWTH |
99.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
GROWTH
MANAGED
VOLATILITY |
99.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
GROWTH
VOLATILITY
CONTROL |
99.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
INCOME |
99.97% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
DIVERSIFIED
INTERNATIONAL |
98.89% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
EQUITY
INCOME |
49.98% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
Account/Portfolio
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) |
GLOBAL
EMERGING
MARKETS |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
GOVERNMENT
&
HIGH
QUALITY BOND |
81.04% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
LARGECAP
GROWTH
I |
98.07% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
LARGECAP
S&P 500
INDEX |
52.84% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING
H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MARYLAND |
PRINCIPAL
FINANCIAL
GROUP |
LARGECAP
S&P 500
MANAGED
VOLATILITY
INDEX |
72.89% |
DIVERSIFIED
GROWTH MANAGED
VOLATILITY
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING
H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MARYLAND |
PRINCIPAL
FINANCIAL
GROUP |
LARGECAP
S&P 500
MANAGED
VOLATILITY
INDEX |
27.10% |
DIVERSIFIED
BALANCED MANAGED
VOLATILITY
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING
H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
MARYLAND |
PRINCIPAL
FINANCIAL
GROUP |
MIDCAP |
84.93% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
CAPITAL
APPRECIATION |
73.12% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
2020 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
2030 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
2040 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
2050 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
2060 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
PRINCIPAL
LIFETIME
STRATEGIC
INCOME |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
REAL
ESTATE
SECURITIES |
99.56% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
Account/Portfolio
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) |
SAM
BALANCED |
78.23% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SAM
CONSERVATIVE
BALANCED |
89.49% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SAM
CONSERVATIVE
GROWTH |
55.14% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SAM
CONSERVATIVE
GROWTH |
35.04% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEPARATE ACCOUNTS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
CALIFORNIA |
FARMER’S
INSURANCE
GROUP |
SAM
FLEXIBLE
INCOME |
90.74% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SAM
STRATEGIC
GROWTH |
53.84% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SAM
STRATEGIC
GROWTH |
42.60% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEPARATE ACCOUNTS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
CALIFORNIA |
FARMER’S
INSURANCE
GROUP |
SHORT-TERM
INCOME |
98.99% |
PRINCIPAL
NATIONAL LIFE INS CO CUST
ATTN
INDIVIDUAL ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
SMALLCAP |
95.44% |
PRINCIPAL
NATIONAL LIFE INS CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
US
LARGECAP
BUFFER
JANUARY |
95.26% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
US
LARGECAP
BUFFER
APRIL |
97.22% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
US
LARGECAP
BUFFER
JULY |
95.65% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
US
LARGECAP
BUFFER
OCTOBER |
93.06% |
PRINCIPAL
LIFE INSURANCE CO CUST
ATTN
IND ACCTNG G-12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
IOWA |
PRINCIPAL
FINANCIAL
GROUP |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
BLUE
CHIP, Class 3 |
71.91% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP, Class 3 |
8.86% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
BLUE
CHIP, Class 3 |
5.01% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX, Class 1 |
45.41% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX, Class 1 |
18.56% |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX, Class 1 |
15.96% |
DIVERSIFIED
BALANCED ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
BOND
MARKET INDEX, Class 1 |
7.02% |
DIVERSIFIED
INCOME ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND, Class 1 |
20.23% |
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 |
17.29% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND, Class 1 |
12.90% |
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 |
12.27% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND, Class 1 |
9.98% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
CORE
PLUS BOND, Class 1 |
5.92% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
BALANCED MANAGED
VOLATILITY,
Class 2 |
78.21% |
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 MANAGED
VOLATILITY,
Class 2 |
11.30% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME
INCOME
SOLUTIONS
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED MANAGED
VOLATILITY,
Class 2 |
8.07% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED MANAGED
VOLATILITY,
Class 3 |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
DIVERSIFIED
BALANCED VOLATILITY
CONTROL,
Class 2 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED VOLATILITY
CONTROL,
Class 3 |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
DIVERSIFIED
BALANCED, Class 1 |
47.20% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
PRINCIPAL
FLEXIBLE VARIABLE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED, Class 1 |
27.09% |
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 |
5.44% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL - FLEXIBLE
VARIABLE
LIFE INSURANCE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED, Class 1 |
5.01% |
PRINCIPAL
LIFE INSURANCE CO
SEPARATE
ACCOUNT B - PREMIER
RIS
FIN MGMT B&C T-005-W40
THE
PRINCIPAL FINANCIAL GROUP
DES
MOINES IA 50392-0001 |
DIVERSIFIED
BALANCED, Class 2 |
94.91% |
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, Class 3 |
98.47% |
MIDLAND
NATIONAL LIFE
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
GROWTH MANAGED
VOLATILITY,
Class 2 |
83.62% |
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 MANAGED
VOLATILITY,
Class 2 |
6.43% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
GROWTH MANAGED
VOLATILITY,
Class 2 |
6.28% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME
INCOME
SOLUTIONS
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL,
Class 2 |
100.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL,
Class 3 |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL,
Class 3 |
100.00% |
PRINCIPAL
GLOBAL INVESTORS LLC
ATTN
SEAN CLINES 801-9A08
801
GRAND AVE
DES
MOINES IA 50309-8000 |
DIVERSIFIED
GROWTH, Class 2 |
94.66% |
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, Class 3 |
95.78% |
MIDLAND
NATIONAL LIFE
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
DIVERSIFIED
INCOME, Class 2 |
67.37% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INCOME, Class 2 |
31.11% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INCOME, Class 3 |
100.00% |
MIDLAND
NATIONAL LIFE
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
20.19% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
14.69% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
DIVERSIFIED
INTERNATIONAL, Class 1 |
14.18% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
10.54% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
EXECUTIVE
VARIABLE UNIVERSAL LIFE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
8.85% |
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 |
8.39% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
6.26% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
DIVERSIFIED
INTERNATIONAL, Class 1 |
5.85% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 1 |
15.22% |
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 |
14.20% |
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 |
11.22% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 1 |
8.97% |
SAM
BALANCED PORTFOLIO PVC
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 1 |
8.38% |
SAM
STRATEGIC GROWTH PORTFOLIO PVC
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 1 |
7.62% |
SAM
CONS GROWTH PORTFOLIO PVC
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 1 |
5.92% |
PRINCIPAL
LIFE INSURANCE CO
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
PRINCIPAL
FINANCIAL GROUP
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
EQUITY
INCOME, Class 1 |
5.48% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 2 |
40.16% |
THRIVENT
FINANCIAL FOR LUTHERANS
901
MARQUETTE AVE STE 2500
MINNEAPOLIS
MN 55402-3211 |
EQUITY
INCOME, Class 2 |
20.18% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
EQUITY
INCOME, Class 2 |
14.01% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
EQUITY
INCOME, Class 2 |
9.27% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPERATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA 91367-4997 |
EQUITY
INCOME, Class 2 |
7.53% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
EQUITY
INCOME, Class 3 |
75.41% |
MIDLAND
NATIONAL LIFE
8300
MILLS CIVIC PKWY
WDM
IA 50266-3833 |
EQUITY
INCOME, Class 3 |
10.55% |
EQUITABLE
LIFE SEPERATE ACCOUNT AR
U/A
DTD 01/10/2022
1290
AVE OF THE AMERICAS 16TH FL
NEW
YORK NY 10104-0101 |
EQUITY
INCOME, Class 3 |
5.92% |
EQUITABLE
LIFE SEPERATE ACCOUNT A
U/A
DTD 01/10/2022
1290
AVE OF THE AMERICAS 16TH FL
NEW
YORK NY 10104-0101 |
EQUITY
INCOME, Class 3 |
5.10% |
EQUITABLE
LIFE SEPARATE ACCOUNT A G
U/A
DTD 01/10/2022
1290
AVE OF THE AMERICAS 16TH FL
NEW
YORK NY 10104-0101 |
GLOBAL
EMERGING MARKETS, Class 1 |
21.73% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
16.57% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
12.48% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
9.77% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
GLOBAL
EMERGING MARKETS, Class 1 |
6.42% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
EXECUTIVE
VARIABLE UNIVERSAL LIFE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
6.22% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
5.66% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
5.45% |
PRINCIPAL
LIFE INSURANCE CO CUST
VARIABLE
UNIVERSAL LIFE INCOME II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GLOBAL
EMERGING MARKETS, Class 1 |
5.16% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
21.06% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
17.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
9.88% |
PRINCIPAL
LIFE INSURANCE 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
1 |
8.40% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
6.76% |
SAM
BALANCED PORTFOLIO PVC
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
5.53% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
GOVERNMENT
& HIGH QUALITY BOND,
Class
1 |
5.09% |
SAM
FLEXIBLE INCOME PORTFOLIO PVC
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I, Class 1 |
22.75% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
LARGECAP
GROWTH I, Class 1 |
20.63% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I, Class 1 |
20.21% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I, Class 1 |
11.40% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
EXECUTIVE
VARIABLE UNIVERSAL LIFE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
GROWTH I, Class 1 |
5.04% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 1 |
53.72% |
DIVERSIFIED
GROWTH ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 1 |
12.19% |
DIVERSIFIED
GROWTH VOLATILITY
CONTROL
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 1 |
10.28% |
DIVERSIFIED
BALANCED ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 1 |
9.31% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 2 |
86.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 INDEX, Class 2 |
10.21% |
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 MANAGED
VOLATILITY
INDEX, Class 1 |
72.89% |
DIVERSIFIED
GROWTH MANAGED
VOLATILITY
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA 50392-0001 |
LARGECAP
S&P 500 MANAGED
VOLATILITY
INDEX, Class 1 |
27.10% |
DIVERSIFIED
BALANCED MANAGED
VOLATILITY
ACCOUNT
ATTN
MUTUAL FUND ACCOUNTING H221
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
MIDCAP,
Class 1 |
30.32% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP,
Class 1 |
14.72% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP,
Class 1 |
13.32% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP,
Class 2 |
42.33% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
MIDCAP,
Class 2 |
40.07% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
MIDCAP,
Class 2 |
9.61% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
1 |
36.74% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
1 |
22.10% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
1 |
8.23% |
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 |
7.08% |
AMERICAN
GENERAL LIFE INSURANCE CO
VARIABLE
PRODUCTS DEPARTMENT
ATTN:
DEBORAH KERAI
PO
BOX 1591
HOUSTON
TX 77251-1591 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
1 |
5.04% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
2 |
44.12% |
THRIVENT
FINANCIAL FOR LUTHERANS
901
MARQUETTE AVE STE 2500
MINNEAPOLIS
MN 55402-3211 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
2 |
28.76% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
CAPITAL APPRECIATION,
Class
2 |
8.65% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
PRINCIPAL
CAPITAL APPRECIATION,
Class
2 |
6.35% |
FARMERS
NEW WORLD LIFE INS CO
VARIABLE
UNIVERSAL LIFE II AGENT
ATTN
SEPERATE ACCOUNTS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
PRINCIPAL
LIFETIME 2020, Class 1 |
34.25% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2020, Class 1 |
30.99% |
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 |
13.52% |
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 1 |
6.47% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030, Class 1 |
44.17% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2030, Class 1 |
15.39% |
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 2030, Class 1 |
13.41% |
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 1 |
11.08% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040, Class 1 |
44.01% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040, Class 1 |
15.10% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
EXECUTIVE
VARIABLE UNIVERSAL LIFE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2040, Class 1 |
11.91% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040, Class 1 |
7.66% |
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 |
6.18% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2040, Class 1 |
5.03% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
PRINCIPAL
LIFETIME 2050, Class 1 |
38.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050, Class 1 |
11.47% |
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 |
11.16% |
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 |
10.81% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050, Class 1 |
9.87% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2050, Class 1 |
5.03% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
PRINCIPAL
LIFETIME 2060, Class 1 |
45.03% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060, Class 1 |
19.04% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA
50392-9992 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
PRINCIPAL
LIFETIME 2060, Class 1 |
12.49% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME 2060, Class 1 |
10.56% |
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 STRATEGIC
INCOME,
Class 1 |
44.09% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
PRINCIPAL
LIFETIME STRATEGIC
INCOME,
Class 1 |
21.41% |
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 STRATEGIC
INCOME,
Class 1 |
14.60% |
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 STRATEGIC
INCOME,
Class 1 |
5.85% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 1 |
18.08% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 1 |
16.69% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 1 |
16.66% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 1 |
12.53% |
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 |
6.84% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
REAL
ESTATE SECURITIES, Class 1 |
5.35% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
REAL
ESTATE SECURITIES, Class 2 |
76.64% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 2 |
10.92% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY V2
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
REAL
ESTATE SECURITIES, Class 2 |
10.37% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED, Class 1 |
60.58% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED, Class 1 |
7.68% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED, Class 1 |
5.19% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
SAM
BALANCED, Class 1 |
5.10% |
PRINCIPAL
LIFE INSURANCE CO CUST
VARIABLE
UNIVERSAL LIFE INCOME II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED, Class 2 |
27.21% |
FARMERS
NEW WORLD LIFE INS CO
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
BALANCED, Class 2 |
21.01% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
BALANCED, Class 2 |
14.97% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
BALANCED, Class 2 |
13.29% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPERATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA
91367-4997 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
BALANCED, Class 2 |
11.29% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE BALANCED,
Class
1 |
44.73% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
1 |
27.81% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
1 |
5.49% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
1 |
5.08% |
PRINCIPAL
LIFE INSURANCE CO CUST
VARIABLE
UNIVERSAL LIFE INCOME II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
37.58% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
22.86% |
FARMERS
NEW WORLD LIFE INS CO
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
11.64% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
8.14% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
6.83% |
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
CONSERVATIVE BALANCED,
Class
2 |
5.69% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE BALANCED,
Class
2 |
5.30% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPERATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA 91367-4997 |
SAM
CONSERVATIVE GROWTH, Class 1 |
26.99% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
CONSERVATIVE GROWTH, Class 1 |
16.00% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
SAM
CONSERVATIVE GROWTH, Class 1 |
11.92% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH, Class 1 |
11.64% |
PRINCIPAL
LIFE INSURANCE CO CUST
VARIABLE
UNIVERSAL LIFE INCOME II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH, Class 1 |
6.51% |
AMERICAN
GENERAL LIFE INSURANCE CO
VARIABLE
PRODUCTS DEPARTMENT
ATTN:
DEBORAH KERAI
PO
BOX 1591
HOUSTON
TX 77251-1591 |
SAM
CONSERVATIVE GROWTH, Class 1 |
5.69% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPARATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA 91367-4997 |
SAM
CONSERVATIVE GROWTH, Class 1 |
5.29% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH, Class 2 |
36.30% |
FARMERS
NEW WORLD LIFE INS CO
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE GROWTH, Class 2 |
26.44% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE GROWTH, Class 2 |
11.87% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
CONSERVATIVE GROWTH, Class 2 |
11.01% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
CONSERVATIVE GROWTH, Class 2 |
6.57% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPERATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA 91367-4997 |
SAM
FLEXIBLE INCOME, Class 1 |
52.28% |
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, Class 1 |
14.36% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
FLEXIBLE INCOME, Class 1 |
9.61% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME, Class 2 |
55.42% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
FLEXIBLE INCOME, Class 2 |
12.61% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
FLEXIBLE INCOME, Class 2 |
10.82% |
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, Class 2 |
7.99% |
SUNAMERICA
ANNUITY &
LIFE
ASSURANCE CO
VARIABLE
SEPERATE ACCOUNT
ATTN
LEGAL DEPARTMENT
21650
OXNARD STREET STE 750
WOODLAND
HILLS CA 91367-4997 |
SAM
FLEXIBLE INCOME, Class 2 |
6.29% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH, Class 1 |
28.25% |
PRINCIPAL
NATIONAL LIFE INS CO
FBO
VUL INCOME III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST G-012-S41
DES
MOINES IA 50392-9992 |
SAM
STRATEGIC GROWTH, Class 1 |
17.97% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH, Class 1 |
13.39% |
PRINCIPAL
LIFE INSURANCE CO CUST
VARIABLE
UNIVERSAL LIFE INCOME II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH, Class 1 |
7.92% |
PRINCIPAL
LIFE INSURANCE CO CUST
VUL
INCOME
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH, Class 1 |
6.48% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SAM
STRATEGIC GROWTH, Class 1 |
5.03% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INDIVIDUAL
EXECUTIVE
VARIABLE UNIVERSAL LIFE
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SAM
STRATEGIC GROWTH, Class 2 |
43.81% |
FARMERS
NEW WORLD LIFE INS CO
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
STRATEGIC GROWTH, Class 2 |
31.33% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
STRATEGIC GROWTH, Class 2 |
8.18% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SAM
STRATEGIC GROWTH, Class 2 |
8.03% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME, Class 1 |
37.45% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME, Class 1 |
26.55% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME, Class 1 |
11.12% |
PRINCIPAL
NATIONAL LIFE INSURANCE CO
CUST
FBO
VARIABLE
UNIVERSAL LIFE III
ATTN
INDIVIDUAL ACCOUNT
711
HIGH ST
DES
MOINES IA 50392-0001 |
SHORT-TERM
INCOME, Class 1 |
7.12% |
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 1 |
5.79% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP,
Class 1 |
24.69% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP,
Class 1 |
18.08% |
PRINCIPAL
LIFE INSURANCE CO CUST
PRINFLEX
LIFE
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP,
Class 1 |
16.89% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
SMALLCAP,
Class 1 |
7.77% |
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 1 |
6.10% |
PRINCIPAL
LIFE INSURANCE CO CUST
EXEC
VAR UNIVERSAL LIFE II
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP,
Class 2 |
43.59% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
SMALLCAP,
Class 2 |
26.85% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SMALLCAP,
Class 2 |
14.81% |
FARMERS
NEW WORLD LIFE INS CO
ATTN
SEGREGATED ASSETS
3120
139TH AVE SW SUITE 300
BELLEVUE
WA 98005 |
SMALLCAP,
Class 2 |
5.00% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER APRIL, Class 2 |
66.98% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER APRIL, Class 2 |
14.75% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER APRIL, Class 2 |
6.33% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JANUARY,
Class
2 |
66.65% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES VARIABLE
ANNUITY
III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JANUARY,
Class
2 |
14.51% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JANUARY,
Class
2 |
8.02% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA
50392-0001 |
Fund/Class |
Percentage
of
Ownership |
Name
and Address of Owner |
US
LARGECAP BUFFER JANUARY,
Class
2 |
5.03% |
PRINCIPAL
LIFE INSURANCE CO CUST
FLEX
VARIABLE ANNUITY
ATTN
IND ACCTNG G12-S41
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JULY, Class 2 |
73.44% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JULY, Class 2 |
9.98% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER JULY, Class 2 |
7.51% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL INVESTMENT PLUS
VARIABLE
ANNUITY
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER OCTOBER,
Class
2 |
58.12% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL PIVOT SERIES
VARIABLE
ANNUITY III
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER OCTOBER,
Class
2 |
22.58% |
PRINCIPAL
LIFE INSURANCE CO CUST
FBO
PRINCIPAL LIFETIME INSURANCE
SOLUTIONS
II
ATTN
INDIVIDUAL LIFE ACCOUNTING
711
HIGH ST
DES
MOINES IA 50392-0001 |
US
LARGECAP BUFFER OCTOBER,
Class
2 |
6.93% |
PRINCIPAL
FINANCIAL SERVICES INC
PUBLIC
SEED ACCOUNT
ATTN
GAM INVACCT ACA TEAM G-016-S40
711
HIGH ST
DES
MOINES IA 50392-9992 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Brody
Dass:
Diversified Balanced, Diversified Balanced Managed Volatility, Diversified
Balanced Volatility Control, Diversified
Growth,
Diversified Growth Managed Volatility, Diversified Growth Volatility
Control, and Diversified Income Accounts; and SAM
Balanced,
SAM Conservative Balanced, SAM Conservative Growth, SAM Flexible Income,
and SAM Strategic Growth Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$12.8 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
James
W. Fennessey:
LargeCap Growth I and Principal LifeTime Strategic Income, 2020, 2030,
2040, 2050, and 2060 Accounts | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
53 |
$79.7 billion |
0 |
$0 |
Other
accounts |
34 |
$2.9 billion |
0 |
$0 |
Todd
A. Jablonski:
SAM Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM
Flexible Income, and SAM
Strategic
Growth Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$12.8 billion |
0 |
$0 |
Other
accounts |
18 |
$241.7 million |
0 |
$0 |
Jeffrey
A. Schwarte(1):
Diversified Balanced Volatility Control and Diversified Growth Volatility
Control Accounts | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
32 |
$58.5 billion |
0 |
$0 |
Other
accounts |
6 |
$2.6 billion |
0 |
$0 |
Aaron
J. Siebel(1):
Diversified Balanced Volatility Control and Diversified Growth Volatility
Control Accounts | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
32 |
$58.5 billion |
0 |
$0 |
Other
accounts |
3 |
$2.4 billion |
0 |
$0 |
Scott
Smith:
Principal LifeTime Strategic Income, 2020, 2030, 2040, 2050, and 2060
Accounts | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
40 |
$70.3 billion |
0 |
$0 |
Other
accounts |
24 |
$3.0 billion |
0 |
$0 |
Yesim
Tokat-Acikel:
Diversified Balanced, Diversified Balanced Managed Volatility, Diversified
Balanced Volatility Control,
Diversified
Growth, Diversified Growth Managed Volatility, Diversified Growth
Volatility Control, and Diversified Income Accounts;
and
SAM Balanced, SAM Conservative Balanced, SAM Conservative Growth, SAM
Flexible Income, and SAM Strategic Growth
Portfolios | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$12.8 billion |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
Randy
L. Welch:
LargeCap Growth I and Principal LifeTime Strategic Income, 2020, 2030,
2040, 2050, and 2060 Accounts | ||||
Registered
investment companies |
0 |
$0 |
0 |
$0 |
Other
pooled investment vehicles |
53 |
$79.7 billion |
0 |
$0 |
Other
accounts |
34 |
$2.9 billion |
0 |
$0 |
Portfolio
Manager |
PVC
Accounts/Portfolios Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Brody
Dass |
Diversified
Balanced |
None |
Brody
Dass |
Diversified
Balanced Managed Volatility |
None |
Brody
Dass |
Diversified
Balanced Volatility Control |
None |
Brody
Dass |
Diversified
Growth |
None |
Brody
Dass |
Diversified
Growth Managed Volatility |
None |
Brody
Dass |
Diversified
Growth Volatility Control |
None |
Brody
Dass |
Diversified
Income |
None |
Brody
Dass |
SAM
Balanced |
None |
Brody
Dass |
SAM
Conservative Balanced |
None |
Brody
Dass |
SAM
Conservative Growth |
None |
Brody
Dass |
SAM
Flexible Income |
None |
Brody
Dass |
SAM Strategic
Growth |
None |
James
W. Fennessey |
LargeCap
Growth I |
None |
James
W. Fennessey |
Principal
LifeTime Strategic Income |
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 |
Jeffrey
A. Schwarte(1) |
Diversified
Balanced Volatility Control |
None |
Jeffrey
A. Schwarte(1) |
Diversified
Growth Volatility Control |
None |
Aaron
J. Siebel(1) |
Diversified
Balanced Volatility Control |
None |
Aaron
J. Siebel(1) |
Diversified
Growth Volatility Control |
None |
Scott
Smith |
Principal
LifeTime Strategic Income |
None |
Scott
Smith |
Principal
LifeTime 2020 |
None |
Scott
Smith |
Principal
LifeTime 2030 |
None |
Scott
Smith |
Principal
LifeTime 2040 |
None |
Portfolio
Manager |
PVC
Accounts/Portfolios Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Scott
Smith |
Principal
LifeTime 2050 |
None |
Scott
Smith |
Principal
LifeTime 2060 |
None |
Yesim
Tokat-Acikel |
Diversified
Balanced |
None |
Yesim
Tokat-Acikel |
Diversified
Balanced Managed Volatility |
None |
Yesim
Tokat-Acikel |
Diversified
Balanced Volatility Control |
None |
Yesim
Tokat-Acikel |
Diversified
Growth |
None |
Yesim
Tokat-Acikel |
Diversified
Growth Managed Volatility |
None |
Yesim
Tokat-Acikel |
Diversified
Growth Volatility Control |
None |
Yesim
Tokat-Acikel |
Diversified
Income |
None |
Yesim
Tokat-Acikel |
SAM
Balanced |
None |
Yesim
Tokat-Acikel |
SAM
Conservative Balanced |
None |
Yesim
Tokat-Acikel |
SAM
Conservative Growth |
None |
Yesim
Tokat-Acikel |
SAM
Flexible Income |
None |
Yesim
Tokat-Acikel |
SAM Strategic
Growth |
None |
Randy
L. Welch |
LargeCap
Growth I |
None |
Randy
L. Welch |
Principal
LifeTime Strategic Income |
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 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Daniel
R. Coleman:
Equity Income and Principal Capital Appreciation
Accounts | ||||
Registered
investment companies |
5 |
$13.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$280.2 million |
0 |
$0 |
Other
accounts |
44 |
$3.2 billion |
0 |
$0 |
Theodore
Jayne:
Principal Capital Appreciation Account | ||||
Registered
investment companies |
2 |
$3.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
0 |
$0 |
0 |
$0 |
Other
accounts |
9 |
$221.0 million |
0 |
$0 |
Sarah
E. Radecki:
Equity Income Account | ||||
Registered
investment companies |
3 |
$10.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$280.2 million |
0 |
$0 |
Other
accounts |
34 |
$3.0 billion |
0 |
$0 |
Nedret
Vidinli:
Equity Income Account | ||||
Registered
investment companies |
2 |
$9.6 billion |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$186.8 million |
0 |
$0 |
Other
accounts |
9 |
$320.8 million |
0 |
$0 |
Portfolio
Manager |
PVC
Accounts/Portfolios 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 |
Sarah
E. Radecki |
Equity
Income |
None |
Nedret
Vidinli |
Equity
Income |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base the
Advisory
Fee
on
Performance |
Total
Assets
of
the Accounts
that
base the
Advisory
Fee
on
Performance |
Paul
H. Blankenhagen:
Diversified International Account | ||||
Registered
investment companies |
3 |
$4.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$9.7 billion |
0 |
$0 |
Other
accounts |
11 |
$1.2 billion |
1 |
$278.1 million |
Juliet
Cohn:
Diversified International Account | ||||
Registered
investment companies |
3 |
$4.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$9.7 billion |
0 |
$0 |
Other
accounts |
11 |
$1.2 billion |
1 |
$278.1 million |
Jeffrey
Kilkenny:
Global Emerging Markets Account | ||||
Registered
investment companies |
1 |
$221.7 million |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$196.0 million |
0 |
$0 |
Other
accounts |
0 |
$0 |
0 |
$0 |
K.
William Nolin:
Blue Chip and MidCap Accounts | ||||
Registered
investment companies |
4 |
$27.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.6 billion |
0 |
$0 |
Other
accounts |
68 |
$11.2 billion |
0 |
$0 |
Phil
Nordhus:
SmallCap Account | ||||
Registered
investment companies |
5 |
$1.2 billion |
0 |
$0 |
Other
pooled investment vehicles |
1 |
$646.6 million |
0 |
$0 |
Other
accounts |
28 |
$2.7 billion |
2 |
$444.2 million |
Brian
W. Pattinson:
SmallCap Account | ||||
Registered
investment companies |
7 |
$1.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$2.3 billion |
0 |
$0 |
Other
accounts |
42 |
$4.3 billion |
2 |
$444.2 million |
Tom
Rozycki:
Blue Chip and MidCap Accounts | ||||
Registered
investment companies |
4 |
$27.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
4 |
$2.6 billion |
0 |
$0 |
Other
accounts |
68 |
$11.2 billion |
0 |
$0 |
Jeffrey
A. Schwarte(1)(2):
LargeCap S&P 500 Index, LargeCap S&P 500 Managed Volatility Index,
U.S. LargeCap Buffer January,
U.S.
LargeCap Buffer April, U.S. LargeCap Buffer July, and U.S. LargeCap Buffer
October Accounts | ||||
Registered
investment companies |
26 |
$14.4 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$39.1 billion |
0 |
$0 |
Other
accounts |
4 |
$1.8 billion |
0 |
$0 |
Aaron
J. Siebel(1)(2):
LargeCap S&P 500 Index, LargeCap S&P 500 Managed Volatility Index,
U.S. LargeCap Buffer January, U.S.
LargeCap
Buffer April, U.S. LargeCap Buffer July, and U.S. LargeCap Buffer October
Accounts | ||||
Registered
investment companies |
25 |
$14.3 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$39.1 billion |
0 |
$0 |
Other
accounts |
2 |
$1.8 billion |
0 |
$0 |
Portfolio
Manager |
PVC
Accounts/Portfolios Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
Paul
H. Blankenhagen |
Diversified
International |
None |
Juliet
Cohn |
Diversified
International |
None |
Jeffrey
Kilkenny |
Global
Emerging Markets |
None |
K.
William Nolin |
Blue
Chip |
None |
K.
William Nolin |
MidCap |
None |
Phil
Nordhus |
SmallCap |
None |
Brian
W. Pattinson |
SmallCap |
None |
Tom
Rozycki |
Blue
Chip |
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(2) |
U.S. LargeCap
Buffer January |
None |
Jeffrey
A. Schwarte(2)
|
U.S.
LargeCap Buffer April |
None |
Jeffrey
A. Schwarte(1)
|
U.S. LargeCap
Buffer July |
None |
Jeffrey
A. Schwarte(2) |
U.S.
LargeCap Buffer October |
None |
Aaron
J. Siebel |
LargeCap
S&P 500 Index |
None |
Aaron
J. Siebel |
LargeCap
S&P 500 Managed Volatility Index |
None |
Aaron
J. Siebel(2) |
U.S. LargeCap
Buffer January |
None |
Aaron
J. Siebel(2)
|
U.S.
LargeCap Buffer April |
None |
Aaron
J. Siebel(1)
|
U.S. LargeCap
Buffer July |
None |
Aaron
J. Siebel(2) |
U.S.
LargeCap Buffer October |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
William
C. Armstrong:
Core Plus Bond Account | ||||
Registered
investment companies |
4 |
$1.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$2.8 billion |
0 |
$0 |
Other
accounts |
37 |
$2.7 billion |
3 |
$1.5 billion |
Jeff
Callahan:
Bond Market Index Account | ||||
Registered
investment companies |
3 |
$2.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
3 |
$10.8 billion |
0 |
$0 |
Other
accounts |
1 |
$3.0 billion |
0 |
$0 |
Bryan
C. Davis:
Core Plus Bond and Government & High Quality Bond
Accounts | ||||
Registered
investment companies |
8 |
$3.7 billion |
0 |
$0 |
Other
pooled investment vehicles |
9 |
$7.7 billion |
0 |
$0 |
Other
accounts |
16 |
$5.4 billion |
3 |
$1.1 billion |
John
R. Friedl:
Short-Term Income Account | ||||
Registered
investment companies |
3 |
$12.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.7 billion |
0 |
$0 |
Other
accounts |
10 |
$92.8 million |
0 |
$0 |
Zach
Gassmann:
Government & High Quality Bond Account | ||||
Registered
investment companies |
7 |
$1.1 billion |
0 |
$0 |
Other
pooled investment vehicles |
6 |
$1.2 billion |
0 |
$0 |
Other
accounts |
17 |
$807.7 million |
5 |
$336.4 million |
Scott
J. Peterson:
Short-Term Income Account | ||||
Registered
investment companies |
3 |
$12.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.7 billion |
0 |
$0 |
Other
accounts |
10 |
$92.8 million |
0 |
$0 |
Darryl
Trunnel:
Bond Market Index Account | ||||
Registered
investment companies |
14 |
$3.7 billion |
1 |
$528.7 million |
Other
pooled investment vehicles |
17 |
$14.3 billion |
0 |
$0 |
Other
accounts |
36 |
$10.3 billion |
7 |
$1.0 billion |
Portfolio
Manager |
PVC
Accounts/Portfolios Managed
by
Portfolio Manager |
Dollar
Range of
Securities
Owned by
the
Portfolio Manager |
William
C. Armstrong |
Core
Plus Bond |
None |
Jeff
Callahan |
Bond Market
Index |
None |
Bryan
C. Davis |
Core
Plus Bond |
None |
Bryan
C. Davis |
Government
& High Quality Bond |
None |
John
R. Friedl |
Short-Term
Income |
None |
Zach
Gassmann |
Government
& High Quality Bond |
None |
Scott
J. Peterson |
Short-Term
Income |
None |
Darryl
Trunnel |
Bond Market
Index |
None |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
Keith
Bokota:
Real Estate Securities Account | ||||
Registered
investment companies |
4 |
$5.8 billion |
0 |
$0 |
Other
pooled investment vehicles |
2 |
$1.0 billion |
0 |
$0 |
Other
accounts |
41 |
$3.0 billion |
1 |
$97.6 million |
Anthony
Kenkel:
Real Estate Securities Account | ||||
Registered
investment companies |
11 |
$8.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$2.4 billion |
0 |
$0 |
Other
accounts |
78 |
$8.3 billion |
5 |
$427.8 million |
Kelly
D. Rush:
Real Estate Securities Account | ||||
Registered
investment companies |
11 |
$8.9 billion |
0 |
$0 |
Other
pooled investment vehicles |
5 |
$2.4 billion |
0 |
$0 |
Other
accounts |
79 |
$8.4 billion |
5 |
$427.8 million |
Portfolio
Manager |
PVC
Accounts/Portfolios 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 |
|
Other
Accounts Managed | |||
|
Total
Number
of
Accounts |
Total
Assets
in
the
Accounts |
Number
of
Accounts
that
base
the
Advisory
Fee
on
Performance |
Total
Assets
of
the
Accounts
that
base the
Advisory
Fee
on
Performance |
L.
Phillip Jacoby, IV:
LargeCap S&P 500 Managed Volatility Index
Account | ||||
Registered
investment companies |
8 |
$10.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.3 billion |
0 |
$0 |
Other
accounts |
70 |
$6.5 billion |
0 |
$0 |
Manu
Krishnan:
LargeCap S&P 500 Managed Volatility Index
Account | ||||
Registered
investment companies |
8 |
$10.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.3 billion |
0 |
$0 |
Other
accounts |
70 |
$6.5 billion |
0 |
$0 |
Kevin
Nugent:
LargeCap S&P 500 Managed Volatility Index
Account | ||||
Registered
investment companies |
8 |
$10.5 billion |
0 |
$0 |
Other
pooled investment vehicles |
8 |
$4.3 billion |
0 |
$0 |
Other
accounts |
70 |
$6.5 billion |
0 |
$0 |
Portfolio
Manager |
PVC
Accounts/Portfolios 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. |
NOTE: |
Moody’s
appends numerical modifiers, 1, 2, and 3 to each generic rating
classification from Aa through Caa.
The
modifier 1 indicates that the obligation ranks in the higher end of its
generic rating category, the modifier 2
indicates
a mid-range ranking, and the modifier 3 indicates a ranking in the lower
end of that generic rating
category.
Additionally, a “(hyb)” indicator is appended to all ratings of hybrid
securities issued by banks, issuers,
financial
companies, and securities
firms.* |
AAA: |
Obligations
rated ‘AAA’ have the highest rating assigned by S&P Global Ratings.
The obligor’s capacity to
meet
its financial commitment on the obligation is extremely
strong. |
AA: |
Obligations
rated ‘AA’ differ from the highest-rated issues only in small degree. The
obligor’s capacity to
meet
its financial commitment on the obligation is very
strong. |
A: |
Obligations
rated ‘A’ have a strong capacity to meet financial commitment on the
obligation although they
are
somewhat more susceptible to the adverse effects of changes in
circumstances and economic
conditions
than obligations in higher-rated categories. |
BBB: |
Obligations
rated ‘BBB’ exhibit adequate protection parameters; however, adverse
economic conditions or
changing
circumstances are more likely to lead to a weakened capacity to meet
financial commitment on
the
obligation. |
BB,
B, CCC,
CC
and C: |
Obligations
rated ‘BB’, ‘B’, ‘CCC’, ‘CC’, and ‘C’ are regarded, on balance, as having
significant speculative
characteristics.
‘BB’ indicates the lowest degree of speculation and ‘C’ the highest degree
of speculation.
While
such obligations will likely have some quality and protective
characteristics, these may be
outweighed
by large uncertainties or major risk exposures to adverse
conditions. |
BB: |
Obligations
rated ‘BB’ are less vulnerable to nonpayment than other speculative
issues. However it faces
major
ongoing uncertainties or exposure to adverse business, financial, or
economic conditions which
could
lead to the obligor’s inadequate capacity to meet its financial commitment
on the obligation. |
B: |
Obligations
rated ‘B’ are more vulnerable to nonpayment than ‘BB’ but the obligor
currently has the
capacity
to meet its financial commitment on the obligation. Adverse business,
financial, or economic
conditions
will likely impair this capacity. |
CCC: |
Obligations
rated ‘CCC’ are currently vulnerable to nonpayment and is dependent upon
favorable
business,
financial, and economic conditions for the obligor to meet its financial
commitment on the
obligation.
If adverse business, financial, or economic conditions occur, the obligor
is not likely to have the
capacity
to meet its financial commitment on the
obligation. |
CC: |
Obligations
rated ‘CC’ are currently highly vulnerable to nonpayment. The ‘CC’ rating
is used when a
default
has not yet occurred but S&P Global Ratings expects default to be a
virtual certainty, regardless of
anticipated
time to default. |
C: |
The
rating ‘C’ is highly vulnerable to nonpayment, the obligation is expected
to have lower relative seniority
or
lower ultimate recovery compared to higher rated
obligations. |
D: |
Obligations
rated ‘D’ are in default, or in breach of an imputed promise. For
non-hybrid capital instruments,
the
‘D’ rating category is used when payments on an obligation are not made on
the date due, unless S&P
Global
Ratings believes that such payments will be made within five business days
in the absence of a
stated
grace period or within the earlier of the stated grace period or 30
calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual
certainty.
If an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
NR: |
Indicates
that no rating has been requested, that there is insufficient information
on which to base a rating or
that
S&P Global Ratings does not rate a particular type of obligation as a
matter of policy. |
A-1: |
This
is the highest category. The obligor’s capacity to meet its financial
commitment on the obligation is strong.
Within
this category, certain obligations are designated with a plus sign (+).
This indicates that the obligor’s
capacity
to meet its financial commitment on these obligations is extremely
strong. |
A-2: |
Issues
carrying this designation are somewhat more susceptible to the adverse
effects of the changes in
circumstances
and economic conditions than obligations in higher rating categories.
However, the obligor’s
capacity
to meet its financial commitment on the obligation is
satisfactory. |
A-3: |
Issues
carrying this designation exhibit adequate capacity to meet their
financial obligations. However, adverse
economic
conditions or changing circumstances are more likely to lead to a weakened
capacity of the obligor to
meet
it financial commitment on the obligation. |
B: |
Issues
rated ‘B’ are regarded as vulnerable and have significant speculative
characteristics. The obligor has
capacity
to meet financial commitments; however, it faces major ongoing
uncertainties which could lead to
obligor’s
inadequate capacity to meet its financial
obligations. |
C: |
This
rating is assigned to short-term debt obligations that are currently
vulnerable to nonpayment and is
dependent
upon favorable business, financial, and economic conditions to meet its
financial commitment on the
obligation. |
D: |
This
rating indicates that the issue is either in default or in breach of an
imputed promise. For non-hybrid capital
instruments,
the ‘D’ rating category is used when payments on an obligation are not
made on the date due,
unless
S&P Global Ratings believes that such payments will be made within
five business days in the absence
of
a stated grace period or within the earlier of the stated grace period or
30 calendar days. The rating will also
be
used upon filing for bankruptcy petition or the taking of similar action
and where default is a virtual certainty.
If
an obligation is subject to a distressed exchange offer the rating is
lowered to ‘D’. |
SP-1: |
A
strong capacity to pay principal and interest. Issues that possess a very
strong capacity to pay debt service is
given
a “+” designation. |
SP-2: |
A
satisfactory capacity to pay principal and interest, with some
vulnerability to adverse financial and economic
changes
over the terms of the notes. |
SP-3: |
A
speculative capacity to pay principal and
interest. |
1.
Security Name I Symbol: | |
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2.
Issue up for vote: | |
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3.
Summary of ISS recommendation (see attached full ISS
recommendation): | |
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4.
Reasons for voting against ISS recommendation (supporting documentation
may be attached): | |
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5.
Determination of potential conflicts (if any): | |
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6.
Contacted Compliance Department: Yes / No | |
Name
of individual contacted: |
|
Date: |
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7.
Contacted other Spectrum portfolio managers who have position in same
security: | |
Yes
/ No |
|
Name
of individual contacted: |
|
Date: |
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8.
Portfolio Manager Signature: | |
Date: |
|
Portfolio
Manager Name: |
|
Portfolio
Manager Signature*: |
|
Date: |
|
Portfolio
Manager Name: |
|