X0201 N-CEN LIVE 0000898745 XXXXXXXX 811-07572 true true false N-1A S000046557 true S000046556 true S000046558 true S000046555 true S000007203 true S000006992 true S000007122 true S000046553 true S000046559 true S000014237 true S000014244 true S000007077 true S000007075 true S000007201 true S000007081 true S000014245 true S000039873 true S000046554 true S000007013 true S000046560 true S000007209 true S000007125 true S000046562 true S000014235 true S000054330 true S000014232 true S000014234 true S000007079 true S000060089 true S000022103 true S000014242 true S000014236 true S000058848 true S000007083 true S000007212 true S000022106 true S000007211 true S000007169 true S000022107 true S000024296 true S000007207 true S000007175 true S000007016 true S000022105 true S000014241 true S000007210 true S000007173 true S000023512 true S000019119 true S000007214 true S000006952 true S000046561 true S000046563 true S000014246 true S000006997 true S000014238 true S000022104 true S000058847 true S000007208 true S000007078 true S000014233 true S000014240 true S000006996 true Principal Funds Inc 811-07572 0000898745 549300HZGBXSW6DSXF23 801 Grand Ave Des Moines 50309 US-IA US 515-248-0156 Principal Global Investors, LLC 801 Grand Avenue Des Moines 50309 515-248-0156 Governance, compliance, accounting, administrative and investment oversight records N N N-1A 63 Y Elizabeth Ballatine N/A N Karen McMillan N/A N Fritz Hirsch N/A N Leroy T. Barnes, Jr N/A N Patrick G. Halter N/A Y Mary M. VanDeWeghe N/A N Tao Huang N/A N Elizabeth A. Nickels N/A N Mark A. Grimmett N/A N Timothy M. Dunbar N/A Y Craig Damos N/A N Teri R. Root 004458076 801 Grand Avenue Des Moines 50309 XXXXXX N N N N N Principal Funds Distributor, Inc. 8-50200 000043261 N/A Y N Ernst & Young LLP 42 N/A N N N N N N Overseas Fund S000023512 M8LPS0WBNG35BUE1BV52 N 6 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 8986615.03000000 78580.50000000 Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Barrow, Hanley, Mewhinney & Strauss, LLC 801-31237 000105519 213800XRVTFKWDGW6Y09 N N Causeway Capital Management LLC 801-60343 000113308 5493008B4M4EF3B5X872 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK 254900SQM7KOUO7DBM54 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHENZHEN 213800H3TEBTFHD5JR69 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI-HONG KONG STOCK CONNECT SPSA N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON MMYX0N4ZEZ13Z4XCG897 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 184534.43 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 92354.99 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 233516.91 KEEFE BRUYETTE & WOODS 8-10888 000000481 549300OM47DQV01G4854 92055.15 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 209623.06 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 128514.31 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 146332.32 CREDIT AGRICOLE CORP INVESTMENT BANKING 8-13753 000000190 969500TJ5KRTCJQWXH05 158831.5 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 71694.41 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 86986.78 1796336.07000001 4907719.75 Y 2787463348.07384 Committed 100000000 N Principal LifeTime 2030 Fund S000007208 549300PUV02156LIOH84 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 2754881555.79001 N 5428304073.77923 Committed 100000000 N N N N MidCap S&P 400 Index Fund S000007079 549300BESRSJ6JCTJH84 N 8 0 0 N N 0.04 -0.18 0.09 0.09 N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 9795489.41000000 79046.80000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 4858.76 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 3248.25 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 9253 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 15246.04 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 9904.68 IVY SECURITIES INC. 8-52916 000104450 254900CAX2NNK53FXB60 513.8 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 7724.53 MIZUHO SECURITIES USA INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 3476.83 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 12771.99 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 1053.17 70216.71 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 21061895.25 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 43376329.4800001 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 65216001.12 SOCIETY GENERELE SECURITIES 8-22522 000007616 N/A 11791806.12 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 49999198.1099999 MIZUHO SECURITIES USA INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 241720.54 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 43974999.34 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 65312111.2 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 44120671.32 WELLS FARGO ADVISOR 8-28721 000011025 N/A 4757112 360578511.509999 Y 1321859024.52769 Committed 100000000 N Principal LifeTime Hybrid 2065 Fund S000058848 5493007HTNDW2Q2WPY67 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 7783333.93000001 N 1647217.54307692 Committed 100000000 N N N N Finisterre Unconstrained Emerging Markets Bond Fund S000054330 549300MNS2JZWUXHD778 N 2 0 0 N/A Y N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Cash collateral reinvestment fee Revenue sharing split 1378784.62000000 2061.37000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Finisterre Capital LLP 801-76937 000162101 B6VWS2SNEDOVVKU6YC74 Y GB N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Hungarian Branch Office N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Stanbic IBTC Bank plc, Lagos 549300NIVXF92ZIOVW61 NG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust S.A., Bogota 549300NMTWZ8076A0603 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Egypt 2138001Q77JDLESS4Y50 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Sucursal de Lima MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK 254900SQM7KOUO7DBM54 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 61294845.71 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 113146246.65 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 79843359.42 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 127344902.9 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 42202592.67 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 173110127.98 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 48130944.18 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 135576563.25 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 61451080.71 CREDIT AGRICOLE CORP INVESTMENT BANKING 8-13753 000000190 969500TJ5KRTCJQWXH05 108858961.55 1126659384.5 N 126272024.078461 Committed 100000000 N N Money Market Fund S000007081 5493004TMQBCYWU5QO91 N 2 0 0 Money Market Fund N N Y N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 627738590.22 WELLS FARGO ADVISOR 8-28721 000011025 N/A 524942370.81 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 286420549.28 MITSUBISHI SECURITIES CO. LTD. 8-43026 000019685 N/A 202143162.08 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 1012282801.95 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 1679848737.76 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 228625956.4 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 350758289.77 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 4633222773.48 BANCAMERICA SECURITIES INC. 8-35968 000017977 N/A 5646651993.05 16129721150.66 N 509091458.882575 Committed 100000000 N N N MidCap Fund S000007075 549300D8KHZ8MDOZYC94 N 10 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 72290071.90000000 286877.26000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) EuroClear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N TD BANK FINANCIAL GROUP 8-36747 000018476 N/A 129270.34 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 199079.14 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 338343.66 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 154307.87 ITG INC 8-44218 000029299 549300S41SMIODVIT266 113127.55 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 114885.26 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 160433.52 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 236708.89 ROBERT W. BAIRD & CO. 8-497 000008158 549300772UJAHRD6LO53 114692.03 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 252721.11 3181548.31999999 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 4937509.5 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 1088256 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 1683127.5 7708893 Y 15664759471.4007 Committed 100000000 N N Global Diversified Income Fund S000024296 Z3JN35WE26MM2N5JM972 N 4 0 0 N/A N N Y N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Rule 17e-1 (17 CFR 270.17e-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DDJ Capital Management LLC 801-55001 000108468 549300ZLX14T3RGX6L55 N N Post Advisory Group, LLC 801-57939 000108860 T3HHYF0JECXJONZVPI19 Y N MetLife Investment Management, LLC 801-67314 000142463 EAUO72Q8FCR1S0XGYJ21 N N Spectrum Asset Management, Inc. 801-30405 000018217 WARIMFOO2Y13MJ7LNX31 Y N Principal Real Estate Investors LLC 801-55618 000109008 549300MQOXJ8V8FMMS34 Y N W. H. Reaves & Co., INC. 801-13457 000003140 254900WN2TEVPDIY4S09 N N Finisterre Capital LLP 801-76937 000162101 B6VWS2SNEDOVVKU6YC74 Y GB Analytic Investors, LLC 801-7082 000104963 Z3MU650ZFGLYFSRINB42 2018-12-28 Stone Harbor Investment Partners LP 801-65397 000138960 7PCGMNRXD3W5KPVEGV75 2019-06-11 Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Egypt 2138001Q77JDLESS4Y50 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Hungarian Branch Office N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Citibank N.A., Sucursal de Lima MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHENZHEN 213800H3TEBTFHD5JR69 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau Uruguay S.A. 549300HU8OQS1VTVXN55 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust S.A., Bogota 549300NMTWZ8076A0603 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK ARGENTINA, BUENOS AIRES N/A AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON MMYX0N4ZEZ13Z4XCG897 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N SAMI BROKERAGE LLC 8-36472 000018217 WARIMFOO2Y13MJ7LNX31 5644.99999999 FRANK RUSSELL SECURITIES 8-220 000000329 N/A 103008.33 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 184323.73 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 161625.54 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 136553.8 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 125211.26 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 56119.36 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 103802.3 KNIGHT CAPITAL GROUP INC. 8-68193 000149823 549300RA02N3BNSWBV74 76806.11 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 104154.95 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 207008.55 2033406.3 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 841801660.5 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 510819723.86 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 1026450332.36 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 1020378011.67 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 656575627.52 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 899933471.68 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 856934376.03 SAMI BROKERAGE LLC 8-36472 000018217 WARIMFOO2Y13MJ7LNX31 511534622.16 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 388553840.19 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 516352321.53 10321208087.52 Y 7764112376.5923 Committed 100000000 N California Municipal Fund S000014232 549300TB8YHKFT7I8G29 N 3 0 0 N/A N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 1060.9 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 4186.74 JANE STREET CAPITAL 8-52275 000103782 549300ZM16HMPEPNV857 840 6087.64 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 21501525 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 74839128 RAYMOND JAMES & ASSOCIATES 8-10999 000000705 U4ONQX15J3RO8XCKE979 25979730.85 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 12603427.7 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 43513370 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 31218560.9 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 20458314.5 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 115381491.86 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 28877415 US BANCORP 8-35359 000017868 N/A 40000000 498822767.16 N 466149757.23 Committed 100000000 N N N SmallCap Value Fund II S000007169 549300VWU1POPCB8T381 N 9 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 10284273.76000000 97529.52000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Hotchkis & Wiley Capital Management 801-60512 000114649 M35WBEXQYIYXS60OGD30 N N Vaughan Nelson Investment Management, L.P. 801-51795 000106975 549300FRU9FLMWI67N43 N N Los Angeles Capital Management and Equity Research, Inc. 801-60934 000119033 549300DZCL1LRBNVU327 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N OPPENHEIMER & CO. 8-4077 000000249 254900VH02JQR2L8XD64 34405.36 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 17220.84 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 24083.14 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 16697.58 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 274415.87 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 54361.39 ABEL/NOSER CORP. 8-69809 000284714 5493001TUUB0GB6K8B25 505043.44 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 110712.16 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 29902.76 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 29632.7 1212060.92999998 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 9608.58 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 38600 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 62860 US BANCORP 8-35359 000017868 N/A 23606 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 2504045.3 WELLS FARGO ADVISOR 8-28721 000011025 N/A 87582.8 CONTINENTAL STOCK TRANSFER & TRUST N/A N/A N/A 8850 12933487.29 Y 1038819178.76154 Committed 100000000 N N Tax-Exempt Bond Fund S000014237 6BYFT28JGHOUTUDNKO44 N 3 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 364357.04300000 3242.26000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 5334.1 JANE STREET CAPITAL 8-52275 000103782 549300ZM16HMPEPNV857 630 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 50 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 460 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 107.11 6438.72 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 66790341.75 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 45771442 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 39760194 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 111970462.46 D A DAVIDSON & CO. 8-2399 000000199 N/A 12856237.5 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 47143192.75 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 16369023 US BANCORP 8-35359 000017868 N/A 47680000 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 65727227.7 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 60513097 619345834.99 N 449991790.165384 Committed 100000000 N N N SAM Strategic Growth Portfolio S000014236 549300C8SIHTBE7RE726 N 9 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WALLACHBETH CAPITAL 8-67936 000147853 549300R371KUKXEXC133 344591.85 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 683 MISCHLER FINANCIAL GROUP INC. 8-48067 000037818 N/A 1308.32 346583.17 597259900.49 N 1828289820.23538 Committed 100000000 N N N N SAM Conservative Balanced Portfolio S000014233 54930060DQIB252U8M18 N 9 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WALLACHBETH CAPITAL 8-67936 000147853 549300R371KUKXEXC133 63615.58 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 275 63890.58 523606694.76 N 1671382127.30615 Committed 100000000 N N N N Income Fund S000014242 2K6IF9KYA1Q08XNZVZ48 N 10 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 7824362.99000000 31409.65000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WEEDEN & CO. 8-37267 000016835 549300OYBLKSN8M8EW67 104.72 KNIGHT CAPITAL GROUP INC. 8-68193 000149823 549300RA02N3BNSWBV74 1273.07 1377.79 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 299664361.53 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 244028890.43 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 306045004.15 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 344873487.95 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 541522809.44 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 467020440.94 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 122286599.03 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 273061362.31 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 376269251.08 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 84760840 3803648961.02 N 3502417072.41154 Committed 100000000 N N Global Real Estate Securities Fund S000019119 549300RURQIM2C42MH06 N 7 0 0 N/A Y N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 14225541.20000000 483836.65000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Real Estate Investors LLC 801-55618 000109008 549300MQOXJ8V8FMMS34 Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON MMYX0N4ZEZ13Z4XCG897 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHENZHEN N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 238510.25 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 113289.93 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 184506.62 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 194541.08 DAIWA SECURITIES 8-12242 000001576 N/A 119930.24 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 82229.73 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 83524.08 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 87716.41 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 74332.98 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 87108.28 2224161.81000001 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 16661948.5 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 889152.5 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 5008139.7 BMO CAPITAL MARKETS 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 9894924.51 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 11640305.11 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 3142733.43 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 15678254.63 SCOTIA CAPITAL MARKETS (USA) 8-3716 000002739 N/A 6572142.05 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 9255425.38 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 18194444.5 98837107.09 Y 3456651258.09769 Committed 100000000 N Inflation Protection Fund S000006997 5493006ECFME6VCZ0U45 N 8 0 1 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 4780798.25000000 20780.11000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Blackrock Financial Management, INC 801-48433 000107105 549300LVXYIVJKE13M84 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 389.12 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 3725.67 R.J. O'BRIEN AND ASSOCIATES 8-67587 000143624 WOPZ3KWZW5JSJMG3U094 513.45 PRISM FINANCIAL PRODUCTS N/A N/A 549300SNCWUUNHA5EL28 371.07 MIZUHO SECURITIES USA INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 2443.32 7442.63 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 97776497.88 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 123929238.65 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 446778471.83 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 118604621.36 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 128472266.58 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 105061143.19 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 240068750.31 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 232739099.18 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 221898605.27 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 196037125.76 2232473301.97 N 1618595165.56461 Committed 100000000 N N N Principal LifeTime Strategic Income Fund S000007211 5493001UTDWI6JEST966 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 415972399.349999 N 418698479.240769 Committed 100000000 N N N N Government Money Market Fund S000060089 549300WWK3YB7DNN4U34 N 1 0 0 Money Market Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 36059962035.42 BNY MELLON CAPITAL MARKETS, LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 30964882895.84 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 26780000000 BARCLAYS CAPITAL, INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 25932911021.39 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 25724983750 BANCAMERICA SECURITIES, INC. 8-35968 000017977 N/A 23199410416.67 MIZUHO SECURITIES USA, INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 13749885666.67 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 12206685373.03 BMO CAPITAL MARKETS 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 12170000000 FITZGERALD, DAVIS & ASSOCIATES L. P. 8-45468 000031027 N/A 11459667798.61 240952889004.06 N 3142516200.84 Committed 100000000 N N N Principal LifeTime 2050 Fund S000007210 549300TYBTEX1TS6WI79 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 775414940.100001 N 2195361093.69384 Committed 100000000 N N N N Principal LifeTime Hybrid 2045 Fund S000046562 5493000UTID5OV7TX842 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 77612609.3999999 N 86606128.5923076 Committed 100000000 N N N N Principal LifeTime Hybrid 2055 Fund S000046554 549300ZIDHV5G7EDU738 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 27545843.61 N 26038883.3607692 Committed 100000000 N N N N SmallCap Growth Fund I S000007175 5493004U8OWJ0X12E116 N 8 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 46622375.64000000 826155.47000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N AllianceBernstein L.P. 801-32361 000106998 0JK55UGWSWNF3X7KLQ85 N N Emerald Advisors Inc 801-40263 000107496 N/A N N Brown Advisory LLC 801-38826 000110181 549300KMFGGW36I79D06 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N COWEN GROUP INC. 8-22522 000007616 549300WR155U7DVMIW58 73020.86 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 39518.56 BLOOMBERG TRADEBOOK 8-49219 000040881 549300P0PVQNO43T7K36 94388.72 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 41417.23 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 55441.38 LYNCH JONES & RYAN 8-12893 000003198 N/A 41463.46 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 117954.93 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 50371.37 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 46906.66 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 86994.7 1214615.61000001 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 3114878 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 11859665.95 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 9254506.5 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 2563642.5 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 2188310.25 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 3510000 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 741000 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 20514126.75 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 20491157.61 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 4520842 112887417.73 Y 1810990603.25077 Committed 100000000 N Diversified International Fund S000006992 549300WI2K0C68CW5R08 N 10 1 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 34193832.00000000 306731.79000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N DEUTSCHE BANK AG (LDN) N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG Mumbai N/A IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Maghreb 5493003FVWLMBFTISI11 MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Doha N/A QA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHENZHEN 213800H3TEBTFHD5JR69 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Shanghai-Hong Kong Stock Connect SPSA 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Bermuda Limited, Hamilton 0W1U67PTV5WY3WYWKD79 BM N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust S.A., Bogota 549300NMTWZ8076A0603 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK 254900SQM7KOUO7DBM54 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Argentina, Buenos Aires 579100KKDGKCFFKKF005 AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Hungarian Branch Office N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Dubai 549300F99IL9YJDWH369 AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) THE BANK OF NEW YORK MELLON N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SAUDI ARABIA LIMITED N/A SA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON MMYX0N4ZEZ13Z4XCG897 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 1409281.18 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 501048.49 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 787040.97 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 758923.95 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 1078402.84 ITG INC 8-44218 000029299 549300S41SMIODVIT266 445374.3 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 517225.3 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 406052.52 MIZUHO SECURITIES USA INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 394549.67 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 714844.89 10964604.56 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 12843132.57 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 25052904.18 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 10.21 50609122.78 Y 11444342283.2199 Committed 100000000 N Principal LifeTime Hybrid 2060 Fund S000046555 549300WOGNMY43MZS271 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 9054380.09000001 N 8662176.10384612 Committed 100000000 N N N N SAM Flexible Income Portfolio S000014235 549300ITXDI984NFCS62 N 9 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N BANK OF NEW YORK (CUSTODIAN) N/A N/A N/A 3658.25 MISCHLER FINANCIAL GROUP INC. 8-48067 000037818 N/A 6020 WALLACHBETH CAPITAL 8-67936 000147853 549300R371KUKXEXC133 100689.47 106709.47 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 1284335 497629216.749999 N 2605209385.51615 Committed 100000000 N N N N Principal LifeTime 2060 Fund S000039873 549300HB2Z0M4WWLPT85 N 7 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 148684640.36 N 325043662.766154 Committed 100000000 N N N N MidCap Growth Fund III S000007125 549300GHS4DWMKDWYG64 N 7 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 5318100.65400000 10424.31000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 17e-1 (17 CFR 270.17e-1) Rule 10f-3 (17 CFR 270.10f-3) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Eagle Asset Management Inc 801-21343 000110653 254900014X4G6Q0SPF80 N N Robert W. Baird & Co. Incorporated 801-7571 000008158 549300772UJAHRD6LO53 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N RAYMOND JAMES & ASSOCIATES 8-10999 000000705 U4ONQX15J3RO8XCKE979 10174.62 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 16318.24 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 14631.85 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 19463.48 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 26023.12 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 19882.25 BLAIR WILLIAM AND COMPANY 8-2698 000001252 N/A 18447.11 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 29290.63 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 17499.22 FRANK RUSSELL SECURITIES 8-220 000000329 N/A 14790.58 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 18549.94 377887.4 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 148147 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 8689134.5 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1917 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 110030.39 9682362.39 Y 1065613359.3423 Committed 100000000 N N Principal LifeTime 2040 Fund S000007209 549300D7K5PXZ3QLDU23 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 1188405748.41 N 3725575454.38769 Committed 100000000 N N N N Principal LifeTime 2065 Fund S000058847 549300LRM8HZ22GBEX65 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 18541761.04 N 12988964.2184615 Committed 100000000 N N N N Principal LifeTime 2055 Fund S000022107 549300PUZ2TR10G3XL72 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 177019439.17 N 429943404.186154 Committed 100000000 N N N N LargeCap Value Fund III S000007122 549300P5E4OK1XZWQO33 N 7 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 1145298.22600000 4100.22000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Barrow, Hanley, Mewhinney & Strauss, LLC 801-31237 000105519 213800XRVTFKWDGW6Y09 N N Westwood Management Corp 801-18727 000110269 5493007KT04ZMBGVOW11 N N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 45951.59 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 26787.94 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 79395.63 PIPER JAFFRAY & CO. 8-15204 000000665 549300GRQCWQ3XGH0H10 25780.02 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 41858.57 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 90762.54 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 24517.82 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 58644.60999999 WEEDEN & CO. 8-37267 000016835 549300OYBLKSN8M8EW67 28723.84 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 31236.76 741357.06999999 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 313992 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 377626.73 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 7301637 WELLS FARGO ADVISOR 8-28721 000011025 N/A 137880 8267991.73 Y 2097037551.5823 Committed 100000000 N N Short-Term Income Fund S000014245 IJOCWVJG326LDFE5SJ51 N 9 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 10281669.70000000 27706.91000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 263908825.96 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 307193077.66 TD BANK FINANCIAL GROUP 8-36747 000018476 N/A 274782222.01 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 262488616.65 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 329254760.43 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 159463326.3 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1246755970.22 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 416159684.63 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 321620819.14 NATWEST CAPITAL MARKETS 8-37135 000011707 213800F25B5OHORTSI52 127173306 4271951420.32 N 4859468527.04 Committed 100000000 N Principal LifeTime 2020 Fund S000007207 549300N5YM1UZN95SQ38 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 3423379166.76002 N 4126236108.71 Committed 100000000 N N N N High Yield Fund S000014241 2U04QLKKFWRJC7CSOX80 N 4 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 15089170.60000000 48067.85000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 17a-7 (17 CFR 270.17a-7) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Landsbankinn hf. 549300TLZPT6JELDWM92 IS N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 5000 GUZMAN & COMPANY 8-38646 000021013 N/A 1208 6208 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 445713546.46 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 398457132.15 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 168478185.37 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 212164545.29 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 252429867.9 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 224190643.25 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 62786311.25 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 451290735.92 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 157488645.7 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 115524895.85 2731022196.94 N 2867670714.92538 Committed 100000000 N N Principal LifeTime Hybrid Income Fund S000046553 5493000CIRETGKIW5645 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 50933804.4 N 49363034.9815384 Committed 100000000 N N N N Principal LifeTime Hybrid 2050 Fund S000046563 549300W0MFWJ1HJTRN48 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 60533011.3 N 78831796.3138461 Committed 100000000 N N N N Core Plus Bond Fund S000006952 KIJ3S7K8DD1O6JZ8TF70 N 8 0 1 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 5131258.67000000 15333.18000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK N.A., BRAZILIAN BRANCH N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK N.A., SUCURSAL DE LIMA N/A PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 5324.13 DAVID J. GREENE & COMPANY LLC 8-4240 000002072 N/A 3206.85 SUSQUEHANNA FINANCIAL GROUP INC. 8-44325 000035865 549300E8QX0ZMRDC2M81 136 JANE STREET CAPITAL 8-52275 000103782 549300ZM16HMPEPNV857 11927.6 GUZMAN & COMPANY 8-38646 000021013 N/A 83.11 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 140 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 860.37 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 6549.88 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 100 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 25 28375.03 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 292090440.94 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 2492925447.33 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 188418945.7 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 648502408.57 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 884059863.73 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 405856430.14 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 1489153340.3 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 1593137035.28 BNP PARIBAS SECURITIES CORP 8-32682 000015794 2J5703FH5U5M97R1I237 163351217.81 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 1219024025.6 10213459713.45 N 3006837508.33384 Committed 100000000 N N Principal LifeTime Hybrid 2030 Fund S000046559 549300AXGFIB10CD1056 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 193002182.1 N 238723606.66 Committed 100000000 N N N N Principal LifeTime 2035 Fund S000022105 549300OUTLHKNTUQEQ44 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 694680586.3 N 1208072633.11307 Committed 100000000 N N N N LargeCap Growth Fund I S000007077 5493005TWCHTR0PO8C36 N 9 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 8115927.89000000 84913.62000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 17a-7 (17 CFR 270.17a-7) Rule 22d-1 (17 CFR 270.22d-1) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Brown Advisory, LLC 801-38826 000110181 549300KMFGGW36I79D06 N N T. Rowe Price Associates, Inc. 801-856 000105496 7HTL8AEQSEDX602FBU63 N N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 49404.87 FRANK RUSSELL SECURITIES 8-220 000000329 N/A 58675.48 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 46018.15 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 154494.82 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 119071.98 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 143151.99 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 57080.05 EVERCORE PARTNERS 8-49830 000042405 213800AABECOIDY85761 46260.4 SANFORD C. BERNSTEIN & CO. 8-52942 000104474 549300I7JYZHT7D5CO04 67475.03 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 113449.52 1180004.19000001 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 45354023.5 STATE STREET BANK & TRUST N/A N/A N/A 7792562.11 STATE STREET FINANCIAL GLOBAL MARKETS 8-69862 000285852 N/A 3460899.79 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1860285 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 20673750 ALLEN & COMPANY 8-12123 000001042 549300RO3RYDN328JY68 3025551.43 92199287.35 Y 8722708149.76154 Committed 100000000 N SAM Conservative Growth Portfolio S000014234 549300W8DHI9NJT79L41 N 9 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WALLACHBETH CAPITAL 8-67936 000147853 549300R371KUKXEXC133 166819.33 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 431 167250.33 698241926.510002 N 2974169507.03384 Committed 100000000 N N N N International Emerging Markets Fund S000007013 5493005LRWTRDOOFXF24 N 10 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 824934.85800000 4877.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Argentina, Buenos Aires 579100KKDGKCFFKKF005 AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco de Chile 8B4EZFY8IHJC44TT2K84 CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau Uruguay S.A. 549300HU8OQS1VTVXN55 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Bulgaria Branch N/A BG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Sucursal de Lima MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Shanghai-Hong Kong Stock Connect SPSA 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust S.A., Bogota 549300NMTWZ8076A0603 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) DEUTSCHE BANK AG (LDN) N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHANGHAI 2CZOJRADNJXBLT55G526 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Dubai 549300F99IL9YJDWH369 AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Doha N/A QA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG Mumbai N/A IN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SHENZHEN 213800H3TEBTFHD5JR69 CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Maghreb 5493003FVWLMBFTISI11 MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK 254900SQM7KOUO7DBM54 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Hungarian Branch Office N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG Karachi Branch N/A PK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC SAUDI ARABIA LIMITED 2138009S6SHV5GLS7987 SA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 183298.55 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 181023.38 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 284124.69 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 222959.92 CREDIT AGRICOLE CORP INVESTMENT BANKING 8-13753 000000190 969500TJ5KRTCJQWXH05 110678.12 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 261023.63 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 203148.45 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 205501.85 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 206490.11 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 172426.96 2748446.82 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 335980.99 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 762668.68 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1504172 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 1809482.72 4412304.39 Y 580743448.702307 Committed 100000000 N Principal LifeTime 2045 Fund S000022106 549300MVKLE6XJFKIO43 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 342982635.720002 N 872250078.301538 Committed 100000000 N N N N Principal LifeTime 2015 Fund S000022103 549300XAYIJ4V261EO69 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 438518108.749998 N 420877279.758461 Committed 100000000 N N N N Principal LifeTime Hybrid 2020 Fund S000046557 549300EIPFTYIBBWRT04 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 278937910.3 N 270839252.542307 Committed 100000000 N N N N Principal Capital Appreciation Fund S000014238 549300488LDV833BXR20 N 8 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 649165.93400000 1049.90000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N EVERCORE PARTNERS 8-49830 000042405 213800AABECOIDY85761 39378.09 ITG INC 8-44218 000029299 549300S41SMIODVIT266 34554.1 RILEY (B.) & COMPANY INC. 8-49016 000040355 N/A 38043.57 COWEN GROUP INC. 8-22522 000007616 549300WR155U7DVMIW58 89816.89 MKM PARTNERS 8-53436 000114666 54930015ODYESNP2QX15 29364.53 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 241937.91 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 25867.75 WEEDEN & CO. 8-37267 000016835 549300OYBLKSN8M8EW67 19796.63 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 31561.62 CREDIT AGRICOLE CORP INVESTMENT BANKING 8-13753 000000190 969500TJ5KRTCJQWXH05 81029.15 856826.73 0 Y 1763377415.84153 Committed 100000000 N International Fund I S000007083 549300O1DA1JNC6UVF17 N 8 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 1181619.56000000 7855.05000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Origin Asset Management LLP 801-67539 000139897 GN8B7725DRX9FQ8TBR27 Y GB N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N N Cititrust S.A., Bogota 549300NMTWZ8076A0603 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe plc, Hungarian Branch Office N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank of South Africa, Johannesburg QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Manila Branch N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki S.A. 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon N/A IE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Credit Suisse (Switzerland) Ltd 549300CWR0W0BCS9Q144 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE REGISTERED N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citbank Europe plc N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Maghreb 5493003FVWLMBFTISI11 MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Helsinki branch N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK EUROPE PLC N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, Athens N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Egypt 2138001Q77JDLESS4Y50 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC New Zealand 213800NHDWIZKO5KIH05 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Oslo Branch N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon 549300KP56LL8NKKFL47 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Citibank N.A., Brazilian Branch 1P0UUG7LC1S92QTNHG39 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Seoul Branch N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken, Stockholm F3JS33DEI6XQ4ZBPTN86 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Dubai 549300F99IL9YJDWH369 AE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken AB, Copenhagen Branch N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corporation, Hong Kong 2HI3YI5320L3RW6NJ957 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Bilbao Vizcaya Argentaria, Madrid K8MS7FD7N5Z2WQ51AZ71 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Australia Limited DY9DBNI4W8J63Z298033 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank, Istanbul 789000N5SE3LWDK7OI11 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank (Taiwan) Limited N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ESES FRANCE BEARER N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Bank of New York Mellon SA/NV, Asset Servicing, Niederlassung Frankfurt am Main N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG, Jakarta N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibanamex, Mexico City 549300DHL7BK624NK881 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd, Singapore ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Middle East Limited, Doha N/A QA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) MUFG Bank, Ltd 549300OB5SQ53A8BTO30 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) PJSC ROSBANK N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON MMYX0N4ZEZ13Z4XCG897 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) THE BANK OF NEW YORK MELLON N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 121269.3 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 81762.77 203032.07 0 Y 356514682.253077 Committed 100000000 N N Principal LifeTime Hybrid 2015 Fund S000046556 54930088C6V7OPBVZ350 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 99992267.2599999 N 88839932.6753846 Committed 100000000 N N N N Principal LifeTime 2010 Fund S000007201 549300TQTCP24FML1791 N 8 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 681214832.039999 N 759127583.008461 Committed 100000000 N N N N Government & High Quality Bond Fund S000014244 XQSA5XKJBXF2IV4K6K06 N 9 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 1374032.89000000 920.85000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 51000572.08 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 54301221.22 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 27172107.31 SUNTRUST 8-35355 000017499 N/A 19830850.72 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 80770182.78 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 84704865.49 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 40793695.45 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 91771405.94 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 24102057.89 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 59644118.58 613823113.82 N 1510788407.47077 Committed 100000000 N N Principal LifeTime Hybrid 2025 Fund S000046558 549300OOALE400Z3J597 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 189454007.37 N 194826074.072307 Committed 100000000 N N N N MidCap Growth Fund S000007078 5493005XW9NLIS1WUD74 N 7 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 128118.15000000 270.85000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Columbus Circle Investors 801-47516 000111878 549300EP2XXFIQ5X7786 Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N OPPENHEIMER & CO. 8-4077 000000249 254900VH02JQR2L8XD64 11248.16 ROBERT W. BAIRD & CO. 8-497 000008158 549300772UJAHRD6LO53 8425.56 O'NEIL SECURITIES 8-11763 000000894 5493002J20FGJRC1XQ20 9181 COWEN GROUP INC. 8-22522 000007616 549300WR155U7DVMIW58 7365.44 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 7541.36 RAYMOND JAMES & ASSOCIATES 8-10999 000000705 U4ONQX15J3RO8XCKE979 12444.36 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 26086.92 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 8185.32 SUNTRUST 8-35355 000017499 N/A 12471.6 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 7259.58 215909.34 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 283458.15 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 538579.5 822037.65 Y 176650345.960769 Committed 100000000 N LargeCap S&P 500 Index Fund S000007016 549300HDJCROTIVIXD92 N 9 0 0 N N 0.04 -0.14 0.1 0.1 N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 1262506.20000000 2328.38000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 692.38 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 941.53 COWEN GROUP INC. 8-22522 000007616 549300WR155U7DVMIW58 900.93 IVY SECURITIES INC. 8-52916 000104450 254900CAX2NNK53FXB60 85.42 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 290.61 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 15617.45 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 112.69 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 615.62 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 299.7 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 10090.02 29646.4 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 13821150.52 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 61463941.3 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 75043569.08 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 7976770 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 106446409.04 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 3292377 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 16842657.77 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 25466844 SOCIETY GENERELE SECURITIES 8-22522 000007616 N/A 2157281.87 312567621.2 Y 5739729668.9223 Committed 100000000 N N Real Estate Securities Fund S000007212 5493007VCVKAGWPVUY18 N 10 0 0 N/A Y N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Real Estate Investors LLC 801-55618 000109008 549300MQOXJ8V8FMMS34 Y N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N KEYBANC CAPITAL MARKETS 8-30177 000000566 2EQWV0180Z211YVAD813 60170.25 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 71022.04 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 87612.81 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 55985.67 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 58407.36 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 96132.57 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 79508.45 SANFORD C. BERNSTEIN & CO. 8-52942 000104474 549300I7JYZHT7D5CO04 93332.02 GREEN STREET ADVISORS INC. 8-44110 000028937 N/A 61365.21 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 55741.37 1417735.4 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 26761681 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 7520121 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 43038239 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 44756645.25 126024201.98 Y 4333609176.9723 Committed 100000000 N Principal LifeTime Hybrid 2035 Fund S000046560 549300HTTM409VP2B571 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 120054168.76 N 142593262.193846 Committed 100000000 N N N N SAM Balanced Portfolio S000014246 549300S8O6Z9WO7ZQ889 N 9 0 0 Fund of Funds N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N WALLACHBETH CAPITAL 8-67936 000147853 549300R371KUKXEXC133 108630.83 MISCHLER FINANCIAL GROUP INC. 8-48067 000037818 N/A 1560 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 793 110983.83 1305082511.38 N 4458726056.73538 Committed 100000000 N N N N SmallCap S&P 600 Index Fund S000007203 549300B1ZF0B4X7VPP69 N 8 0 0 N N 0.03 -0.2 0.07 0.07 N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 17381385.90000000 178744.78000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N SANFORD C. BERNSTEIN & CO. 8-52942 000104474 549300I7JYZHT7D5CO04 1.91 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 9449.76999999 NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 167.34 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 124.52 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 1307.11 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 85.6 STIFEL NICOLAUS & COMPANY 8-1447 000000793 5WUVMA08EYG4KEUPW589 60.72 PENSERRA SECURITIES LLC 8-67773 000145994 549300WY8ZBI168Y6Z05 562.12 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 13214.45 24973.54 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 6376393.89 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 15008452.94 CONTINENTAL STOCK TRANSFER & TRUST N/A N/A N/A 1202400 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 63745625.86 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 13547590.8 M3 CAPITAL PARTNERS 8-47198 000036368 549300670K07JRB5UQ40 51954704.71 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 100512798.97 WELLS FARGO SECURITIES LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 117743932.47 US BANCORP 8-35359 000017868 N/A 2747657 MIZUHO SECURITIES USA INC. 8-37710 000019647 5493004GRDTUI7EMIZ82 4559777.32 387670330.670001 Y 1292113808.55846 Committed 100000000 N N N Principal LifeTime 2025 Fund S000022104 5493005U15HJLR8XTL49 N 6 0 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 32a-4 (17 CFR 270.32a-4) N N N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N IHS Markit 549300HLPTRASHS0E726 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 1217042875.05001 N 1525978285.75538 Committed 100000000 N N N N MidCap Value Fund I S000007173 549300O90I046TGIJV51 N 9 2 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 946678.28800000 12766.49000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Victory Capital Management Inc. 801-46878 000106189 549300YNO08S1SH3I683 N N Los Angeles Capital Management and Equity Research, Inc. 801-60934 000119033 549300DZCL1LRBNVU327 N N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N IHS Markit 549300HLPTRASHS0E726 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 83161.37 STEPHENS INC. 8-1927 000003496 213800LH6T9XDYZCA534 42002.29 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 40726 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 42982.65999999 RAYMOND JAMES & ASSOCIATES 8-10999 000000705 U4ONQX15J3RO8XCKE979 48707 KEYBANC CAPITAL MARKETS 8-30177 000000566 2EQWV0180Z211YVAD813 58145.04 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 36354 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 35185.99 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 95055.83 ROBERT W. BAIRD & CO. 8-497 000008158 549300772UJAHRD6LO53 47857.15 815769.49999999 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 251469.5 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 2621093.56 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 2060973.2 WELLS FARGO ADVISOR 8-28721 000011025 N/A 124632 5226628.99 Y 1768622484.88692 Committed 100000000 N High Income Fund S000006996 549300587LXZ3RWC6G81 N 2 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 Y N Revenue sharing split Cash collateral reinvestment fee 40003676.05300000 199601.56000000 Rule 17a-7 (17 CFR 270.17a-7) Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DDJ Capital Management LLC 801-55001 000108468 549300ZLX14T3RGX6L55 N N Mellon Capital Management Corporation 801-19785 000105764 N/A N N Post Advisory Group, LLC 801-57939 000108860 T3HHYF0JECXJONZVPI19 Y Neuberger Berman Investment Advisors LLC 801-61757 000124687 N/A 2019-07-01 Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Belgium 21380014SJC1QPK8O356 BE N N Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NATIONAL BANK OF BELGIUM N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 0.23 HSBC SECURITIES INC. 8-41562 000019585 CYYGQCGNHMHPSMRL3R97 1312.5 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 1312.5 2625.23 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 106370971.32 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 323760953.46 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 285534712.57 BARCLAYS CAPITAL INC. 8-41342 000019714 G5GSEF7VJP5I7OUK5573 305682190.68 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 310166807.38 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 364562641.86 JANE STREET CAPITAL 8-52275 000103782 N/A 174758184.07 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 276654174.91 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 307759640.46 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 365515874.55 3979256827.65 N 3413893084.23384 N N N Principal LifeTime Hybrid 2040 Fund S000046561 549300HVNMFXPLESEP22 N 5 2 0 Fund of Funds Target Date Fund N N N N N/A 0.00000000 0.00000000 Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y Principal Shareholder Services, Inc. 084-05657 N/A Y N N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N 0 129994907.66 N 163382417.216154 Committed 100000000 N N N N Equity Income Fund S000014240 549300LK1BTIDFAOW136 N 9 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 17513543.70000000 41824.94000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N IHS Markit 549300HLPTRASHS0E726 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Euroclear Bank, Brussels 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CIBC Mellon Trust Company 549300IYUUH221WBZ505 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shangai Banking Corporation, Bangkok N/A TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N NOMURA SECURITIES INT'L INC. 8-15255 000004297 549300MGMN3RKMU8FT57 404392.27 ITG INC 8-44218 000029299 549300S41SMIODVIT266 82725.86 LIQUIDNET 8-52461 000103987 213800HSKBBO1GCVRG79 75529.57 BNY MELLON CAPITAL MARKETS LLC 8-46838 000035693 VJW2DOOHGDT6PR0ZRO63 141751.2 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 131381.23 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 59169.94 COWEN GROUP INC. 8-22522 000007616 549300WR155U7DVMIW58 135366.58 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 57577.34 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 56338.83 BIDS TRADING LTD 8-67376 000141296 254900J9JVL76SF70898 51797.54 1684442.17 0 Y 7284699217.53461 Committed 100000000 N N N SmallCap Fund S000007214 5493008AXRXQLEL0TR95 N 10 0 0 N/A N N Y N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Revenue sharing split Cash collateral reinvestment fee 15703421.50000000 86908.10000000 Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y N N Principal Global Investors, LLC 801-55959 000109002 549300BABIOZPCNHMB89 N Principal Shareholder Services, Inc. 084-05657 N/A Y N DST Asset Manager Solutions, Inc. 084-00896 N/A N Y N IHS Markit 549300HLPTRASHS0E726 N ICE Data Pricing & Reference Data, LLC 5493000F4ZO33MV32P92 N JPM PricingDirect 549300WIC0TOJ7N7GD54 N Bloomberg Finance L.P 5493001KJTIIGC8Y1R12 N N Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N DST Asset Manager Solutions, Inc. 084-00896 SEC File Number N Y Principal Shareholder Services, Inc. 084-05657 SEC File Number Y N N Principal Global Investors, LLC 549300BABIOZPCNHMB89 Y N N BMO CAPITAL MARKETS 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 11681.96 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 12582.64 UBS SECURITIES LLC 8-16267 000008174 T6FIZBDPKLYJKFCRVK44 33234.2 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 45291.75 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 12803.32 BLAYLOCK ROBERT VAN LLC 8-67721 000145317 N/A 18144.04 CANTOR FITZGERALD & CO. 8-201 000000134 5493004J7H4GCPG6OB62 11671.63 MERRILL LYNCH PIERCE FENNER & SMITH 8-7221 000007691 DWW559HN8WVTCCS4VJ94 18976.01 JEFFERIES & COMPANY 8-15074 000002347 58PU97L1C0WSRCWADL48 13598.43 DEUTSCHE BANK SECURITIES CORP. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 29765.86 373120.81 EVERCORE PARTNERS 8-49830 000042405 213800AABECOIDY85761 123360 MORGAN STANLEY & CO. LLC. 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 2972573.25 CREDIT SUISSE GROUP 8-00422 000000816 1V8Y6QCX6YMJ2OELII46 164052 CITIGROUP GLOBAL MARKETS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 605689 RBC DOMINION SECURITIES CORP. 8-45411 000031194 549300LCO2FLSSVFFR64 2528100 J.P. MORGAN SECURITIES LLC 8-35008 000000079 8I5DZWZKVSZI1NUHU748 3260375.93 COMPUTERSHARE TRUST CO. (TRANSFER AGENT) 8-53022 000107023 N/A 1609875 GOLDMAN SACHS CO. 8-129 000000361 FOR8UP27PHTHYVLBNG30 9002031.55 RAYMOND JAMES & ASSOCIATES 8-10999 000000705 U4ONQX15J3RO8XCKE979 283680 33915856.73 Y 656520001.873846 Committed 100000000 N N