0001752724-19-071701.txt : 20190709 0001752724-19-071701.hdr.sgml : 20190709 20190709165931 ACCESSION NUMBER: 0001752724-19-071701 CONFORMED SUBMISSION TYPE: N-CEN/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20181031 FILED AS OF DATE: 20190709 DATE AS OF CHANGE: 20190709 EFFECTIVENESS DATE: 20190709 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCIPAL FUNDS INC CENTRAL INDEX KEY: 0000898745 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CEN/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07572 FILM NUMBER: 19947676 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 BUSINESS PHONE: 515-248-4745 MAIL ADDRESS: STREET 1: PRINCIPAL FINANCIAL GROUP CITY: DES MOINES STATE: IA ZIP: 50392 FORMER COMPANY: FORMER CONFORMED NAME: PRINCIPAL INVESTORS FUND INC DATE OF NAME CHANGE: 20001012 FORMER COMPANY: FORMER CONFORMED NAME: PRINCIPAL SPECIAL MARKETS FUND INC DATE OF NAME CHANGE: 19930714 0000898745 S000006952 Core Plus Bond Fund fka Bond & Mortgage Securities Fund C000018956 R-1 PBOMX C000018957 R-2 PBMNX C000018958 R-3 PBMMX C000018959 R-5 PBMPX C000018960 R-4 PBMSX C000018961 Institutional Class PMSIX C000018962 J Class PBMJX C000018963 A Class PRBDX C000018964 B Class C000038772 Class C PBMCX C000182281 Class T PCYTX 0000898745 S000006992 Diversified International Fund C000019052 R-1 PDVIX C000019053 R-2 PINNX C000019054 R-3 PINRX C000019055 R-5 PINPX C000019056 R-4 PINLX C000019057 Institutional Class PIIIX C000019058 Class J PIIJX C000019059 Class A PRWLX C000038774 Class C PDNCX C000210673 Class R-6 PDIFX 0000898745 S000006996 High Income Fund (f/k/a High Yield Fund I) C000019079 Institutional Class PYHIX C000123728 Class A PYHAX 0000898745 S000006997 Inflation Protection Fund C000019080 R-2 PBSAX C000019081 R-3 PIFPX C000019082 R-5 PBPPX C000019083 R-4 PIFSX C000019084 R-1 PISPX C000019085 Class J PIPJX C000019086 Institutional Class PIPIX C000019087 Class A PITAX C000038776 Class C PPOCX 0000898745 S000007013 International Emerging Markets Fund C000019139 R-2 PEASX C000019140 R-3 PEAPX C000019141 R-4 PESSX C000019142 R-5 PEPSX C000019143 R-1 PIXEX C000019144 Institutional Class PIEIX C000019145 Class J PIEJX C000019146 Class A PRIAX C000038777 Class C PMKCX C000175481 R-6 PIIMX 0000898745 S000007015 LargeCap Growth Fund C000019157 R-2 PCPPX C000019158 R-3 PLGPX C000019159 R-5 PDPPX C000019160 R-4 PEPPX C000019161 R-1 PLSGX C000019163 Institutional Class PGLIX C000019164 Class J PGLJX C000019165 Class A PRGWX C000038778 Class C PLGCX 0000898745 S000007016 LargeCap S&P 500 Index Fund C000019167 R-1 PLPIX C000019168 R-2 PLFNX C000019169 R-3 PLFMX C000019170 R-5 PLFPX C000019171 R-4 PLFSX C000019172 Institutional Class PLFIX C000019173 Class J PSPJX C000019174 Class A PLSAX C000038779 Class C PLICX 0000898745 S000007075 MidCap Fund (f/k/a MidCap Blend Fund) C000019310 R-1 PMSBX C000019311 R-2 PMBNX C000019312 R-3 PMBMX C000019313 R-5 PMBPX C000019314 R-4 PMBSX C000019315 Institutional Class PCBIX C000019316 Class J PMBJX C000019317 Class A PEMGX C000038781 Class C PMBCX C000175482 R-6 PMAQX 0000898745 S000007077 LargeCap Growth Fund I C000019326 R-1 PCRSX C000019327 R-2 PPUNX C000019328 R-3 PPUMX C000019329 R-5 PPUPX C000019330 R-4 PPUSX C000019331 Institutional Class PLGIX C000019332 Class J PLGJX C000019333 Class A PLGAX C000149257 R-6 PLCGX 0000898745 S000007078 MidCap Growth Fund C000019335 R-2 PGPPX C000019336 R-3 PFPPX C000019337 R-5 PHPPX C000019338 R-4 PIPPX C000019339 R-1 PMSGX C000019340 Institutional Class PGWIX C000019341 Class J PMGJX 0000898745 S000007079 MidCap S&P 400 Index Fund C000019342 R-1 PMSSX C000019343 Institutional Class MPSIX C000019344 R-2 PMFNX C000019345 R-3 PMFMX C000019346 R-5 PMFPX C000019347 R-4 PMFSX C000019348 Class J PMFJX C000175483 R-6 PMAPX 0000898745 S000007081 Money Market Fund C000019362 Class J PMJXX C000019363 Class A PCSXX 0000898745 S000007083 International Fund I C000019371 R-2 PSPPX C000019372 R-3 PRPPX C000019373 R-5 PTPPX C000019374 R-4 PUPPX C000019375 R-1 PPISX C000019376 Institutional Class PINIX C000142630 Class A PFAFX C000175484 R-6 PIIDX 0000898745 S000007122 LargeCap Value Fund III C000019458 R-1 PESAX C000019459 R-2 PPSNX C000019460 R-3 PPSFX C000019461 R-5 PPSRX C000019462 R-4 PPSSX C000019463 Institutional Class PLVIX C000019464 Class J PLVJX 0000898745 S000007125 MidCap Growth Fund III C000019479 R-1 PHASX C000019480 R-2 PPQNX C000019481 R-3 PPQMX C000019482 R-5 PPQPX C000019483 R-4 PPQSX C000019484 Institutional Class PPIMX C000019485 Class J PPQJX 0000898745 S000007169 SmallCap Value Fund II C000019584 R-2 PKARX C000019585 R-3 PJARX C000019586 R-5 PLARX C000019587 R-4 PSTWX C000019588 R-1 PCPTX C000019589 Institutional Class PPVIX C000076717 Class J PSMJX C000142632 Class A PSVAX C000149259 R-6 PSMVX 0000898745 S000007170 Spectrum Preferred and Capital Securities Income Fund (f/k/a Preferred Securities) C000019590 R-2 PPRSX C000019591 R-3 PNARX C000019592 R-5 PPARX C000019593 R-4 PQARX C000019594 R-1 PUSAX C000019595 Institutional Class PPSIX C000019596 Class J PPSJX C000019597 Class A PPSAX C000038790 Class C PRFCX C000176328 R-6 PPREX C000182251 Class T PPBTX 0000898745 S000007173 MidCap Value Fund I C000019613 R-2 PABUX C000019614 R-3 PMPRX C000019615 R-5 PABVX C000019616 R-4 PABWX C000019617 R-1 PLASX C000019618 Institutional Class PVMIX C000076718 Class J PVEJX C000210674 A PCMVX C000210675 Class R-6 PCMSX 0000898745 S000007175 SmallCap Growth Fund I C000019625 R-1 PNASX C000019626 R-2 PPNNX C000019627 R-3 PPNMX C000019628 R-5 PPNPX C000019629 R-4 PPNSX C000019630 Institutional Class PGRTX C000019631 Class J PSIJX C000149260 R-6 PCSMX 0000898745 S000007201 Principal LifeTime 2010 Fund C000019699 R-1 PVASX C000019700 R-2 PTANX C000019701 R-3 PTAMX C000019702 R-5 PTAPX C000019703 R-4 PTASX C000019704 Institutional Class PTTIX C000019705 Class J PTAJX C000019706 Class A PENAX 0000898745 S000007203 SmallCap S&P 600 Index Fund C000019714 R-1 PSAPX C000019715 R-2 PSSNX C000019716 R-3 PSSMX C000019717 R-5 PSSPX C000019718 R-4 PSSSX C000019719 Institutional Class PSSIX C000019720 Class J PSSJX C000175485 R-6 PSPIX 0000898745 S000007207 Principal LifeTime 2020 Fund C000019740 R-1 PWASX C000019741 R-2 PTBNX C000019742 R-3 PTBMX C000019743 R-5 PTBPX C000019744 R-4 PTBSX C000019745 Institutional Class PLWIX C000019746 Class J PLFJX C000019747 Class A PTBAX 0000898745 S000007208 Principal LifeTime 2030 Fund C000019749 R-1 PXASX C000019750 R-2 PTCNX C000019751 R-3 PTCMX C000019752 R-5 PTCPX C000019753 R-4 PTCSX C000019754 Institutional Class PMTIX C000019755 Class J PLTJX C000019756 Class A PTCAX 0000898745 S000007209 Principal LifeTime 2040 Fund C000019758 R-1 PYASX C000019759 R-2 PTDNX C000019760 R-3 PTDMX C000019761 R-5 PTDPX C000019762 R-4 PTDSX C000019763 Institutional Class PTDIX C000019764 Class J PTDJX C000019765 Class A PTDAX 0000898745 S000007210 Principal LifeTime 2050 Fund C000019767 R-1 PZASX C000019769 R-2 PTENX C000019770 R-3 PTERX C000019771 R-5 PTEFX C000019772 R-4 PTESX C000019773 Institutional Class PPLIX C000019774 Class J PFLJX C000019775 Class A PPEAX 0000898745 S000007211 Principal LifeTime Strategic Income Fund C000019776 R-1 PLAIX C000019778 R-2 PLSNX C000019779 R-3 PLSMX C000019780 R-5 PLSPX C000019781 R-4 PLSSX C000019782 Institutional Class PLSIX C000019783 Class J PLSJX C000019784 Class A PALTX 0000898745 S000007212 Real Estate Securities Fund C000019785 R-1 PRAEX C000019786 R-2 PRENX C000019787 R-3 PRERX C000019788 R-5 PREPX C000019789 R-4 PRETX C000019790 Institutional Class PIREX C000019791 Class J PREJX C000019792 Class A PRRAX C000038802 Class C PRCEX C000175486 R-6 PFRSX 0000898745 S000007214 SmallCap Fund fka SmallCap Blend Fund C000019802 R-1 PSABX C000019803 R-2 PSBNX C000019804 R-3 PSBMX C000019805 R-5 PSBPX C000019806 R-4 PSBSX C000019807 Institutional Class PSLIX C000019808 Class J PSBJX C000019809 Class A PLLAX C000038804 Class C PSMCX C000175487 R-6 PSMLX 0000898745 S000014232 California Municipal Fund C000038715 Class A SRCMX C000038717 Class C SRCCX C000153061 Institutional PCMFX 0000898745 S000014233 Strategic Asset Management Conservative Balanced Portfolio C000038718 Class A SAIPX C000038720 Class C SCIPX C000038721 Institutional Class PCCIX C000039336 R-2 PCNSX C000039337 R-3 PCBPX C000039338 R-1 PCSSX C000039339 R-4 PCBLX C000039340 R-5 PCBFX C000039341 Class J PCBJX 0000898745 S000014234 Strategic Asset Management Conservative Growth Portfolio C000038722 Class A SAGPX C000038724 Class C SCGPX C000038725 Institutional Class PCWIX C000039342 R-4 PCWSX C000039343 R-5 PCWPX C000039344 Class J PCGJX C000039345 R-2 PCGVX C000039346 R-3 PCGPX C000039347 R-1 PCGGX 0000898745 S000014235 Strategic Asset Management Flexible Income Portfolio C000038726 Class A SAUPX C000038728 Class C SCUPX C000038729 Institutional Class PIFIX C000039348 R-2 PFIVX C000039349 R-3 PFIPX C000039350 R-1 PFIGX C000039351 R-4 PFILX C000039352 R-5 PFIFX C000039353 Class J PFIJX 0000898745 S000014236 Strategic Asset Management Strategic Growth Portfolio C000038730 Class A SACAX C000038732 Class C SWHCX C000038733 Institutional Class PSWIX C000039354 R-2 PSGVX C000039355 R-3 PSGPX C000039356 R-1 PSGGX C000039357 R-4 PSGLX C000039358 R-5 PSGFX C000039359 Class J PSWJX 0000898745 S000014237 Tax-Exempt Bond Fund formerly Tax-Exempt Bond Fund I C000038734 Class A PTEAX C000038736 Class C PTBCX C000158782 Institutional Class PITEX 0000898745 S000014238 Principal Capital Appreciation Fund (fka West Coast Equity Fund) C000038737 Class A CMNWX C000038739 Class C CMNCX C000038740 Institutional Class PWCIX C000085758 R-1 PCAMX C000085759 R-2 PCANX C000085760 R-3 PCAOX C000085761 R-4 PCAPX C000085762 R-5 PCAQX 0000898745 S000014240 Equity Income Fund formerly Equity Income Fund I C000038744 Class A PQIAX C000038746 Class C PEUCX C000038747 Institutional Class PEIIX C000085763 R-1 PIEMX C000085764 R-2 PEINX C000085765 R-3 PEIOX C000085766 R-4 PEIPX C000085767 R-5 PEIQX C000204702 Class J PEIJX 0000898745 S000014241 High Yield Fund C000038748 Class A CPHYX C000038750 Class C CCHIX C000038751 Institutional Class PHYTX C000175488 R-6 PHYFX C000182294 Class T PHRTX 0000898745 S000014242 Income Fund C000038752 Class A CMPIX C000038754 Class C CNMCX C000038755 Institutional Class PIOIX C000080382 Class J PIOJX C000085768 R-5 PIOQX C000085769 R-1 PIOMX C000085770 R-2 PIONX C000085771 R-3 PIOOX C000085772 R-4 PIOPX C000149261 R-6 PICNX 0000898745 S000014244 Government & High Quality Bond Fund f/k/a Mortgage Securities Fund C000038760 Class A CMPGX C000038762 Class C CCUGX C000038763 Institutional Class PMRIX C000113840 R-1 PMGRX C000113841 R-2 PFMRX C000113842 R-3 PRCMX C000113843 R-4 PMRDX C000113844 R-5 PMREX C000113845 Class J PMRJX 0000898745 S000014245 Short-Term Income Fund C000038764 Class A SRHQX C000038766 Class C STCCX C000038767 Institutional Class PSHIX C000090493 Class J PSJIX C000090494 R-1 PSIMX C000090495 R-2 PSINX C000090496 R-3 PSIOX C000090497 R-4 PSIPX C000090498 R-5 PSIQX C000182297 Class T PTDTX 0000898745 S000014246 Strategic Asset Management Balanced Portfolio C000038768 Class A SABPX C000038770 Class C SCBPX C000038771 Institutional Class PSBIX C000039360 R-2 PSBVX C000039361 R-3 PBAPX C000039362 R-1 PSBGX C000039363 R-4 PSBLX C000039364 R-5 PSBFX C000039365 Class J PSAJX 0000898745 S000019119 Global Real Estate Securities Fund C000052887 Class A POSAX C000052888 Class C POSCX C000052889 Institutional Class POSIX C000149262 R-6 PGRSX C000167005 R-3 PGRKX C000167006 R-4 PGRVX C000167007 R-5 PGRUX 0000898745 S000022103 Principal LifeTime 2015 Fund C000063422 R-2 LTASX C000063423 Institutional Class LTINX C000063424 R-3 LTAPX C000063425 R-1 LTSGX C000063426 R-5 LTPFX C000063427 R-4 LTSLX 0000898745 S000022104 Principal LifeTime 2025 Fund C000063428 R-4 LTEEX C000063429 Institutional Class LTSTX C000063430 R-2 LTADX C000063431 R-3 LTVPX C000063432 R-1 LTSNX C000063433 R-5 LTPDX 0000898745 S000022105 Principal LifeTime 2035 Fund C000063434 R-2 LTVIX C000063435 R-3 LTAOX C000063436 R-1 LTANX C000063437 R-5 LTPEX C000063438 R-4 LTSEX C000063439 Institutional Class LTIUX 0000898745 S000022106 Principal LifeTime 2045 Fund C000063440 R-2 LTRSX C000063441 R-3 LTRVX C000063442 R-1 LTRGX C000063443 R-5 LTRDX C000063444 R-4 LTRLX C000063445 Institutional Class LTRIX 0000898745 S000022107 Principal LifeTime 2055 Fund C000063446 R-2 LTFSX C000063447 R-3 LTFDX C000063448 R-1 LTFGX C000063449 R-5 LTFPX C000063450 R-4 LTFLX C000063451 Institutional Class LTFIX 0000898745 S000023512 Overseas Fund (f/k/a International Value Fund I) C000069149 Institutional Class PINZX C000111519 R-1 Class PINQX C000111520 R-2 Class PINSX C000111521 R-3 Class PINTX C000111522 R-4 Class PINUX C000111523 R-5 Class PINGX 0000898745 S000024296 Global Diversified Income Fund C000071805 Institutional Class PGDIX C000071807 Class A PGBAX C000071808 Class C PGDCX C000182300 Class T PGKTX C000190075 R-6 PGBLX 0000898745 S000027178 Bond Market Index Fund C000082026 Institutional Class PNIIX C000082027 R-1 PBIMX C000082028 R-2 PBINX C000082029 R-3 PBOIX C000082030 R-4 PBIPX C000082031 R-5 PBIQX C000085837 Class J PBIJX 0000898745 S000027179 International Equity Index Fund C000082032 R-3 PIIOX C000082033 R-4 PIIPX C000082034 R-5 PIIQX C000082035 Institutional Class PIDIX C000082036 R-1 PILIX C000082037 R-2 PINEX C000176329 R-6 PFIEX 0000898745 S000028139 Diversified Real Asset Fund C000085834 Class A PRDAX C000085835 Class C PRDCX C000085836 Institutional Class PDRDX C000150253 R-6 PDARX C000167691 R-5 PGDTX C000167692 R-3 PGDRX C000167693 R-4 PGDSX 0000898745 S000032942 Small-MidCap Dividend Income Fund C000101659 Class A PMDAX C000101661 Institutional Class PMDIX C000115416 Class C PMDDX C000176330 R-6 PMDHX 0000898745 S000033960 Global Multi-Strategy Fund C000104712 Class A PMSAX C000104714 Institutional Class PSMIX C000115417 Class C PMSCX C000190071 R-6 PGLSX 0000898745 S000037378 Blue Chip Fund C000115413 Institutional Class PBCKX C000131723 Class A PBLAX C000131724 Class C PBLCX C000167694 R-3 PGBEX C000167695 R-4 PGBFX C000167696 R-5 PGBGX C000176331 R-6 PGBHX C000182255 Class T PBLTX C000193661 Class J PBCJX 0000898745 S000037379 Opportunistic Municipal Fund C000115414 Class A PMOAX C000153266 Institutional Class POMFX 0000898745 S000039504 Global Opportunities Fund C000121678 Institutional Class PGOIX C000131726 Class A PGLAX 0000898745 S000039873 Principal LifeTime 2060 Fund C000123721 Class J PLTAX C000123722 R-1 PLTRX C000123723 R-2 PLTBX C000123724 R-3 PLTCX C000123725 R-4 PLTMX C000123726 R-5 PLTOX C000123727 Institutional Class PLTZX 0000898745 S000041598 Capital Securities Fund C000129138 Class S PCSFX 0000898745 S000045671 International Small Company Fund C000142295 Class A PICAX C000150254 Institutional PISMX C000176332 R-6 PFISX 0000898745 S000046553 Principal LifeTime Hybrid Income Fund C000145302 Institutional Class PHTFX C000159884 R-6 PLTYX C000199315 Class J PHJFX C000210676 Class R-3 PHTEX C000210677 Class R-5 PHTDX 0000898745 S000046554 Principal LifeTime Hybrid 2055 Fund C000145305 Institutional Class PLTNX C000159885 R-6 PLHTX C000199316 Class J PHJBX C000210678 Class R-3 PLTLX C000210679 Class R-5 PLTKX 0000898745 S000046555 Principal LifeTime Hybrid 2060 Fund C000145308 Institutional Class PLTHX C000159886 R-6 PLKTX C000199317 Class J PHJGX C000210680 Class R-3 PLTEX C000210681 Class R-5 PLTDX 0000898745 S000046556 Principal LifeTime Hybrid 2015 Fund C000145311 Institutional Class PHTMX C000159887 R-6 PLRRX C000199318 Class J PHJMX C000210682 Class R-5 PHTRX C000210683 Class R-3 PHTCX 0000898745 S000046557 Principal LifeTime Hybrid 2020 Fund C000145314 Institutional Class PHTTX C000159888 R-6 PLTTX C000199319 Class J PHJTX C000210684 Class R-5 PHTIX C000210685 Class R-3 PHWIX 0000898745 S000046558 Principal LifeTime Hybrid 2025 Fund C000145317 Institutional Class PHTQX C000159889 R-6 PLFTX C000199320 Class J PHJQX C000210686 Class R-3 PHTPX C000210687 Class R-5 PHTOX 0000898745 S000046559 Principal LifeTime Hybrid 2030 Fund C000145320 Institutional Class PHTNX C000159890 R-6 PLZTX C000199321 Class J PHJNX C000210688 Class R-3 PHTLX C000210689 Class R-5 PHTKX 0000898745 S000046560 Principal LifeTime Hybrid 2035 Fund C000145323 Institutional Class PHTJX C000159891 R-6 PLRTX C000199322 Class J PHJJX C000210690 Class R-3 PHTHX C000210691 Class R-5 PHTGX 0000898745 S000046561 Principal LifeTime Hybrid 2040 Fund C000145326 Institutional Class PLTQX C000159892 R-6 PLMTX C000199323 Class J PHJEX C000210692 Class R-3 PLHBX C000210693 Class R-5 PHTZX 0000898745 S000046562 Principal LifeTime Hybrid 2045 Fund C000145329 Institutional Class PHTYX C000159893 R-6 PLNTX C000199324 Class J PHJYX C000210694 Class R-3 PHTWX C000210695 Class R-5 PHTVX 0000898745 S000046563 Principal LifeTime Hybrid 2050 Fund C000145332 Institutional Class PHTUX C000159894 R-6 PLJTX C000199325 Class J PHJUX C000210696 Class R-3 PHTSX C000210697 Class R-5 PLRJX 0000898745 S000046673 Dynamic Floating Rate High Income Fund C000145652 Class A PDYAX C000145653 Institutional 0000898745 S000047839 Origin Emerging Markets Fund C000150246 Class A POEYX C000150247 Institutional POEIX C000150248 R-6 POEFX 0000898745 S000047841 Real Estate Debt Income Fund C000150251 Class A PRDYX C000150252 Institutional PRDIX C000176333 R-6 PRDHX 0000898745 S000049582 EDGE MidCap Fund C000156764 Institutional PEDGX C000176334 R-6 PEDMX C000208088 Class A PEMCX 0000898745 S000050840 SystematEx International Fund C000160405 Institutional Class PSOMX C000160406 R-6 PSTMX 0000898745 S000050841 SystematEx Large Value Fund C000160407 R-6 PSLVX 0000898745 S000053267 Multi-Manager Equity Long/Short Fund C000167687 Class A PGMMX C000167688 Institutional Class PGPIX C000167689 R-6 PGPMX 0000898745 S000054330 Finisterre Unconstrained Emerging Markets Bond Fund C000170734 Class A PFUEX C000170736 Institutional Class PFUMX 0000898745 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Report of Independent Registered Public Accounting Firm

The Shareholders and Board of Directors Principal Funds, Inc.

In planning and performing our audits of the financial statements of each of the Principal Funds, Inc. listed in Exhibit A attached hereto (the "Funds") as of and for the period ended October 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion.

The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that

 

there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2018.

This report is intended solely for the information and use of management and the Board of Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ Ernst & Young LLP

Minneapolis, Minnesota December 18, 2018

 

Exhibit A

Overseas Fund

     Principal Capital Appreciation Fund

California Municipal Fund

Principal LifeTime 2010 Fund

Core Plus Bond Fund

Principal LifeTime 2015 Fund

Diversified International Fund

Principal LifeTime 2020 Fund

Equity Income Fund

Principal LifeTime 2025 Fund

Finisterre Unconstrained Emerging Markets Bond Fund

Global Diversified Income Fund

Global Real Estate Securities Fund

Government & High Quality Bond Fund

Government Money Market Fund

High Yield Fund

High Yield Fund I

Income Fund

Inflation Protection Fund

International Emerging Markets Fund

International Fund I

LargeCap Growth Fund

LargeCap Growth Fund I

     Principal LifeTime 2030 Fund

LargeCap S&P 500 Index Fund

Principal LifeTime 2035 Fund

LargeCap Value Fund III

     Principal LifeTime 2040 Fund

MidCap Fund

Principal LifeTime 2045 Fund

MidCap Growth Fund

Principal LifeTime 2050 Fund

MidCap Growth Fund III

     Principal LifeTime 2055 Fund

MidCap S&P 400 Index Fund

Principal LifeTime 2060 Fund

MidCap Value Fund I

     Principal LifeTime 2065 Fund

MidCap Value Fund III

     Principal LifeTime Hybrid 2015 Fund

Money Market Fund

Principal LifeTime Hybrid 2020 Fund

 

Principal LifeTime Hybrid 2025 Fund

Principal LifeTime Hybrid 2030 Fund

Principal LifeTime Hybrid 2035 Fund

Principal LifeTime Hybrid 2040 Fund

Principal LifeTime Hybrid 2045 Fund

Principal LifeTime Hybrid 2050 Fund

Principal LifeTime Hybrid 2055 Fund

Principal LifeTime Hybrid 2060 Fund

Principal LifeTime Hybrid 2065 Fund

Principal LifeTime Hybrid Income Fund

Principal LifeTime Strategic Income Fund

Real Estate Securities Fund

SAM Balanced Portfolio

SAM Conservative Balanced Portfolio

SAM Conservative Growth Portfolio

SAM Flexible Income Portfolio

SAM Strategic Growth Portfolio

Short-Term Income Fund

SmallCap Fund

SmallCap Growth Fund I

SmallCap S&P 600 Index Fund

SmallCap Value Fund II

Tax-Exempt Bond Fund

 OTHER REQUIRED INFO 3 Interfund_Lending_xml.htm Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\ncen2_N-CSR.xml

PRINCIPAL FUNDS’ CCO ANNUAL INTERFUND LENDING PROGRAM REPORT

For the year ended December 31, 2017

This report provides my annual evaluation of Principal Funds’ compliance with the terms and conditions of the application for exemptive relief filed with the SEC to enable the Funds to participate in an interfund lending program. The report also includes an assessment of the Funds’ procedures established to achieve such compliance.

The application for the order includes eighteen conditions. The Funds have adopted procedures to ensure compliance with each of the conditions of the SEC exemptive order. The Funds’ Compliance Oversight and Risk Committee reviewed quarterly reports providing details of the operation of the program for each quarter during 2017. The information provided in the reports demonstrated compliance with each of the conditions throughout the 2017 calendar year. A quarterly report regarding the operation of the program, including an affirmation of compliance with the SEC exemptive order conditions and supporting documentation, was also provided by management to the Operations Committee of the Funds’ Board of Directors during 2017.

It is my opinion that the Funds have complied with each of the conditions of the SEC exemptive order and that the Funds’ procedures established to achieve such compliance are reasonably designed and effectively implemented.

Teri R. Root

Interim Chief Compliance Officer – Principal Funds