# EDGAR Filing Document

**Accession Number:** 0000898745
**File Stem:** 0001752724-23-001007
**Filing Date:** 2023-1
**Character Count:** 1632536
**Document Hash:** 3378f65c105b4ae110e0e92dfebabb63
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-001007.hdr.sgml**: 20230112

**ACCESSION NUMBER**: 0001752724-23-001007

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20221031

**FILED AS OF DATE**: 20230112

**DATE AS OF CHANGE**: 20230112

**EFFECTIVENESS DATE**: 20230112

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRINCIPAL FUNDS, INC.
- **CENTRAL INDEX KEY:** 0000898745
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-07572
- **FILM NUMBER:** 23525357

**BUSINESS ADDRESS:**
- **STREET 1:** 711 HIGH STREET
- **CITY:** DES MOINES
- **STATE:** IA
- **ZIP:** 50392
- **BUSINESS PHONE:** 515-235-1209

**MAIL ADDRESS:**
- **STREET 1:** PRINCIPAL FINANCIAL GROUP
- **CITY:** DES MOINES
- **STATE:** IA
- **ZIP:** 50392

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCIPAL FUNDS, INC
- **DATE OF NAME CHANGE:** 20211220

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCIPAL FUNDS INC
- **DATE OF NAME CHANGE:** 20080616

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCIPAL INVESTORS FUND INC
- **DATE OF NAME CHANGE:** 20001012

## Series and Classes Contracts Data

### Core Plus Bond Fund fka Bond & Mortgage Securities Fund (Series ID: S000006952)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000018956 | R-1                 | PBOMX           |
| C000018957 | R-2                 | PBMNX           |
| C000018958 | R-3                 | PBMMX           |
| C000018959 | R-5                 | PBMPX           |
| C000018960 | R-4                 | PBMSX           |
| C000018961 | Institutional Class | PMSIX           |
| C000018962 | J Class             | PBMJX           |
| C000018963 | A Class             | PRBDX           |
| C000018964 | B Class             |  |
| C000038772 | Class C             | PBMCX           |
| C000182281 | Class T             | PCYTX           |

### Diversified International Fund (Series ID: S000006992)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019052 | R-1                 | PDVIX           |
| C000019054 | R-3                 | PINRX           |
| C000019055 | R-5                 | PINPX           |
| C000019056 | R-4                 | PINLX           |
| C000019057 | Institutional Class | PIIIX           |
| C000019058 | Class J             | PIIJX           |
| C000019059 | Class A             | PRWLX           |
| C000038774 | Class C             | PDNCX           |
| C000210673 | Class R-6           | PDIFX           |

### High Income Fund (f/k/a High Yield Fund I) (Series ID: S000006996)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019079 | Institutional Class | PYHIX           |
| C000123728 | Class A             | PYHAX           |

### Inflation Protection Fund (Series ID: S000006997)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019080 | R-2                 | PBSAX           |
| C000019081 | R-3                 | PIFPX           |
| C000019082 | R-5                 | PBPPX           |
| C000019083 | R-4                 | PIFSX           |
| C000019084 | R-1                 | PISPX           |
| C000019085 | Class J             | PIPJX           |
| C000019086 | Institutional Class | PIPIX           |
| C000019087 | Class A             | PITAX           |
| C000038776 | Class C             | PPOCX           |

### Global Emerging Markets Fund (f/k/a International Emerging Markets Fund) (Series ID: S000007013)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019140 | R-3                 | PEAPX           |
| C000019141 | R-4                 | PESSX           |
| C000019142 | R-5                 | PEPSX           |
| C000019143 | R-1                 | PIXEX           |
| C000019144 | Institutional Class | PIEIX           |
| C000019145 | Class J             | PIEJX           |
| C000019146 | Class A             | PRIAX           |
| C000038777 | Class C             | PMKCX           |
| C000175481 | R-6                 | PIIMX           |

### LargeCap S&P 500 Index Fund (Series ID: S000007016)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019167 | R-1                 | PLPIX           |
| C000019168 | R-2                 | PLFNX           |
| C000019169 | R-3                 | PLFMX           |
| C000019170 | R-5                 | PLFPX           |
| C000019171 | R-4                 | PLFSX           |
| C000019172 | Institutional Class | PLFIX           |
| C000019173 | Class J             | PSPJX           |
| C000019174 | Class A             | PLSAX           |
| C000038779 | Class C             | PLICX           |

### MidCap Fund (f/k/a MidCap Blend Fund) (Series ID: S000007075)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019310 | R-1                 | PMSBX           |
| C000019311 | R-2                 | PMBNX           |
| C000019312 | R-3                 | PMBMX           |
| C000019313 | R-5                 | PMBPX           |
| C000019314 | R-4                 | PMBSX           |
| C000019315 | Institutional Class | PCBIX           |
| C000019316 | Class J             | PMBJX           |
| C000019317 | Class A             | PEMGX           |
| C000038781 | Class C             | PMBCX           |
| C000175482 | R-6                 | PMAQX           |

### LargeCap Growth Fund I (Series ID: S000007077)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019326 | R-1                 | PCRSX           |
| C000019327 | R-2                 | PPUNX           |
| C000019328 | R-3                 | PPUMX           |
| C000019329 | R-5                 | PPUPX           |
| C000019330 | R-4                 | PPUSX           |
| C000019331 | Institutional Class | PLGIX           |
| C000019332 | Class J             | PLGJX           |
| C000019333 | Class A             | PLGAX           |
| C000149257 | R-6                 | PLCGX           |

### MidCap Growth Fund (Series ID: S000007078)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019335 | R-2                 | PGPPX           |
| C000019336 | R-3                 | PFPPX           |
| C000019337 | R-5                 | PHPPX           |
| C000019338 | R-4                 | PIPPX           |
| C000019339 | R-1                 | PMSGX           |
| C000019340 | Institutional Class | PGWIX           |
| C000019341 | Class J             | PMGJX           |

### MidCap S&P 400 Index Fund (Series ID: S000007079)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019342 | R-1                 | PMSSX           |
| C000019343 | Institutional Class | MPSIX           |
| C000019344 | R-2                 | PMFNX           |
| C000019345 | R-3                 | PMFMX           |
| C000019346 | R-5                 | PMFPX           |
| C000019347 | R-4                 | PMFSX           |
| C000019348 | Class J             | PMFJX           |
| C000175483 | R-6                 | PMAPX           |

### Money Market Fund (Series ID: S000007081)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000019362 | Class J      | PMJXX           |
| C000019363 | Class A      | PCSXX           |

### International Fund I (Series ID: S000007083)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019371 | R-2                 | PSPPX           |
| C000019372 | R-3                 | PRPPX           |
| C000019373 | R-5                 | PTPPX           |
| C000019374 | R-4                 | PUPPX           |
| C000019375 | R-1                 | PPISX           |
| C000019376 | Institutional Class | PINIX           |
| C000142630 | Class A             | PFAFX           |
| C000175484 | R-6                 | PIIDX           |

### LargeCap Value Fund III (Series ID: S000007122)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019458 | R-1                 | PESAX           |
| C000019459 | R-2                 | PPSNX           |
| C000019460 | R-3                 | PPSFX           |
| C000019461 | R-5                 | PPSRX           |
| C000019462 | R-4                 | PPSSX           |
| C000019463 | Institutional Class | PLVIX           |
| C000019464 | Class J             | PLVJX           |

### MidCap Growth Fund III (Series ID: S000007125)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019479 | R-1                 | PHASX           |
| C000019480 | R-2                 | PPQNX           |
| C000019481 | R-3                 | PPQMX           |
| C000019482 | R-5                 | PPQPX           |
| C000019483 | R-4                 | PPQSX           |
| C000019484 | Institutional Class | PPIMX           |
| C000019485 | Class J             | PPQJX           |

### SmallCap Value Fund II (Series ID: S000007169)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019584 | R-2                 | PKARX           |
| C000019585 | R-3                 | PJARX           |
| C000019586 | R-5                 | PLARX           |
| C000019587 | R-4                 | PSTWX           |
| C000019588 | R-1                 | PCPTX           |
| C000019589 | Institutional Class | PPVIX           |
| C000076717 | Class J             | PSMJX           |
| C000142632 | Class A             | PSVAX           |
| C000149259 | R-6                 | PSMVX           |

### MidCap Value Fund I (Series ID: S000007173)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019613 | R-2                 | PABUX           |
| C000019614 | R-3                 | PMPRX           |
| C000019615 | R-5                 | PABVX           |
| C000019616 | R-4                 | PABWX           |
| C000019617 | R-1                 | PLASX           |
| C000019618 | Institutional Class | PVMIX           |
| C000076718 | Class J             | PVEJX           |
| C000210674 | A                   | PCMVX           |
| C000210675 | Class R-6           | PCMSX           |

### SmallCap Growth Fund I (Series ID: S000007175)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019625 | R-1                 | PNASX           |
| C000019626 | R-2                 | PPNNX           |
| C000019627 | R-3                 | PPNMX           |
| C000019628 | R-5                 | PPNPX           |
| C000019629 | R-4                 | PPNSX           |
| C000019630 | Institutional Class | PGRTX           |
| C000019631 | Class J             | PSIJX           |
| C000149260 | R-6                 | PCSMX           |

### Principal LifeTime 2010 Fund (Series ID: S000007201)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019699 | R-1                 | PVASX           |
| C000019700 | R-2                 | PTANX           |
| C000019701 | R-3                 | PTAMX           |
| C000019702 | R-5                 | PTAPX           |
| C000019703 | R-4                 | PTASX           |
| C000019704 | Institutional Class | PTTIX           |
| C000019705 | Class J             | PTAJX           |
| C000019706 | Class A             | PENAX           |

### SmallCap S&P 600 Index Fund (Series ID: S000007203)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019714 | R-1                 | PSAPX           |
| C000019715 | R-2                 | PSSNX           |
| C000019716 | R-3                 | PSSMX           |
| C000019717 | R-5                 | PSSPX           |
| C000019718 | R-4                 | PSSSX           |
| C000019719 | Institutional Class | PSSIX           |
| C000019720 | Class J             | PSSJX           |
| C000175485 | R-6                 | PSPIX           |

### Principal LifeTime 2020 Fund (Series ID: S000007207)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019740 | R-1                 | PWASX           |
| C000019741 | R-2                 | PTBNX           |
| C000019742 | R-3                 | PTBMX           |
| C000019743 | R-5                 | PTBPX           |
| C000019744 | R-4                 | PTBSX           |
| C000019745 | Institutional Class | PLWIX           |
| C000019746 | Class J             | PLFJX           |
| C000019747 | Class A             | PTBAX           |

### Principal LifeTime 2030 Fund (Series ID: S000007208)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019749 | R-1                 | PXASX           |
| C000019750 | R-2                 | PTCNX           |
| C000019751 | R-3                 | PTCMX           |
| C000019752 | R-5                 | PTCPX           |
| C000019753 | R-4                 | PTCSX           |
| C000019754 | Institutional Class | PMTIX           |
| C000019755 | Class J             | PLTJX           |
| C000019756 | Class A             | PTCAX           |

### Principal LifeTime 2040 Fund (Series ID: S000007209)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019758 | R-1                 | PYASX           |
| C000019759 | R-2                 | PTDNX           |
| C000019760 | R-3                 | PTDMX           |
| C000019761 | R-5                 | PTDPX           |
| C000019762 | R-4                 | PTDSX           |
| C000019763 | Institutional Class | PTDIX           |
| C000019764 | Class J             | PTDJX           |
| C000019765 | Class A             | PTDAX           |

### Principal LifeTime 2050 Fund (Series ID: S000007210)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019767 | R-1                 | PZASX           |
| C000019769 | R-2                 | PTENX           |
| C000019770 | R-3                 | PTERX           |
| C000019771 | R-5                 | PTEFX           |
| C000019772 | R-4                 | PTESX           |
| C000019773 | Institutional Class | PPLIX           |
| C000019774 | Class J             | PFLJX           |
| C000019775 | Class A             | PPEAX           |

### Principal LifeTime Strategic Income Fund (Series ID: S000007211)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019776 | R-1                 | PLAIX           |
| C000019778 | R-2                 | PLSNX           |
| C000019779 | R-3                 | PLSMX           |
| C000019780 | R-5                 | PLSPX           |
| C000019781 | R-4                 | PLSSX           |
| C000019782 | Institutional Class | PLSIX           |
| C000019783 | Class J             | PLSJX           |
| C000019784 | Class A             | PALTX           |

### Real Estate Securities Fund (Series ID: S000007212)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019785 | R-1                 | PRAEX           |
| C000019786 | R-2                 | PRENX           |
| C000019787 | R-3                 | PRERX           |
| C000019788 | R-5                 | PREPX           |
| C000019789 | R-4                 | PRETX           |
| C000019790 | Institutional Class | PIREX           |
| C000019791 | Class J             | PREJX           |
| C000019792 | Class A             | PRRAX           |
| C000038802 | Class C             | PRCEX           |
| C000175486 | R-6                 | PFRSX           |

### SmallCap Fund (fka SmallCap Blend Fund) (Series ID: S000007214)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019802 | R-1                 | PSABX           |
| C000019803 | R-2                 | PSBNX           |
| C000019804 | R-3                 | PSBMX           |
| C000019805 | R-5                 | PSBPX           |
| C000019806 | R-4                 | PSBSX           |
| C000019807 | Institutional Class | PSLIX           |
| C000019808 | Class J             | PSBJX           |
| C000019809 | Class A             | PLLAX           |
| C000038804 | Class C             | PSMCX           |
| C000175487 | R-6                 | PSMLX           |

### California Municipal Fund (Series ID: S000014232)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000038715 | Class A       | SRCMX           |
| C000038717 | Class C       | SRCCX           |
| C000153061 | Institutional | PCMFX           |

### Strategic Asset Management Conservative Balanced Portfolio (Series ID: S000014233)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038718 | Class A             | SAIPX           |
| C000038720 | Class C             | SCIPX           |
| C000038721 | Institutional Class | PCCIX           |
| C000039336 | R-2                 | PCNSX           |
| C000039337 | R-3                 | PCBPX           |
| C000039338 | R-1                 | PCSSX           |
| C000039339 | R-4                 | PCBLX           |
| C000039340 | R-5                 | PCBFX           |
| C000039341 | Class J             | PCBJX           |

### Strategic Asset Management Conservative Growth Portfolio (Series ID: S000014234)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038722 | Class A             | SAGPX           |
| C000038724 | Class C             | SCGPX           |
| C000038725 | Institutional Class | PCWIX           |
| C000039342 | R-4                 | PCWSX           |
| C000039343 | R-5                 | PCWPX           |
| C000039344 | Class J             | PCGJX           |
| C000039345 | R-2                 | PCGVX           |
| C000039346 | R-3                 | PCGPX           |
| C000039347 | R-1                 | PCGGX           |

### Strategic Asset Management Flexible Income Portfolio (Series ID: S000014235)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038726 | Class A             | SAUPX           |
| C000038728 | Class C             | SCUPX           |
| C000038729 | Institutional Class | PIFIX           |
| C000039348 | R-2                 | PFIVX           |
| C000039349 | R-3                 | PFIPX           |
| C000039350 | R-1                 | PFIGX           |
| C000039351 | R-4                 | PFILX           |
| C000039352 | R-5                 | PFIFX           |
| C000039353 | Class J             | PFIJX           |

### Strategic Asset Management Strategic Growth Portfolio (Series ID: S000014236)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038730 | Class A             | SACAX           |
| C000038732 | Class C             | SWHCX           |
| C000038733 | Institutional Class | PSWIX           |
| C000039354 | R-2                 | PSGVX           |
| C000039355 | R-3                 | PSGPX           |
| C000039356 | R-1                 | PSGGX           |
| C000039357 | R-4                 | PSGLX           |
| C000039358 | R-5                 | PSGFX           |
| C000039359 | Class J             | PSWJX           |

### Tax-Exempt Bond Fund formerly Tax-Exempt Bond Fund I (Series ID: S000014237)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038734 | Class A             | PTEAX           |
| C000038736 | Class C             | PTBCX           |
| C000158782 | Institutional Class | PITEX           |

### Principal Capital Appreciation Fund (fka West Coast Equity Fund) (Series ID: S000014238)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038737 | Class A             | CMNWX           |
| C000038739 | Class C             | CMNCX           |
| C000038740 | Institutional Class | PWCIX           |
| C000085758 | R-1                 | PCAMX           |
| C000085759 | R-2                 | PCANX           |
| C000085760 | R-3                 | PCAOX           |
| C000085761 | R-4                 | PCAPX           |
| C000085762 | R-5                 | PCAQX           |

### Equity Income Fund formerly Equity Income Fund I (Series ID: S000014240)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038744 | Class A             | PQIAX           |
| C000038746 | Class C             | PEUCX           |
| C000038747 | Institutional Class | PEIIX           |
| C000085763 | R-1                 | PIEMX           |
| C000085764 | R-2                 | PEINX           |
| C000085765 | R-3                 | PEIOX           |
| C000085766 | R-4                 | PEIPX           |
| C000085767 | R-5                 | PEIQX           |
| C000204702 | Class J             | PEIJX           |

### High Yield Fund (Series ID: S000014241)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038748 | Class A             | CPHYX           |
| C000038750 | Class C             | CCHIX           |
| C000038751 | Institutional Class | PHYTX           |
| C000175488 | R-6                 | PHYFX           |
| C000182294 | Class T             | PHRTX           |

### Core Fixed Income Fund (f/k/a Income Fund) (Series ID: S000014242)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038752 | Class A             | CMPIX           |
| C000038754 | Class C             | CNMCX           |
| C000038755 | Institutional Class | PIOIX           |
| C000080382 | Class J             | PIOJX           |
| C000085768 | R-5                 | PIOQX           |
| C000085769 | R-1                 | PIOMX           |
| C000085770 | R-2                 | PIONX           |
| C000085771 | R-3                 | PIOOX           |
| C000085772 | R-4                 | PIOPX           |
| C000149261 | R-6                 | PICNX           |

### Government & High Quality Bond Fund (f/k/a Mortgage Securities Fund) (Series ID: S000014244)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038760 | Class A             | CMPGX           |
| C000038762 | Class C             | CCUGX           |
| C000038763 | Institutional Class | PMRIX           |
| C000113840 | R-1                 | PMGRX           |
| C000113842 | R-3                 | PRCMX           |
| C000113843 | R-4                 | PMRDX           |
| C000113844 | R-5                 | PMREX           |
| C000113845 | Class J             | PMRJX           |

### Short-Term Income Fund (Series ID: S000014245)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038764 | Class A             | SRHQX           |
| C000038766 | Class C             | STCCX           |
| C000038767 | Institutional Class | PSHIX           |
| C000090493 | Class J             | PSJIX           |
| C000090494 | R-1                 | PSIMX           |
| C000090495 | R-2                 | PSINX           |
| C000090496 | R-3                 | PSIOX           |
| C000090497 | R-4                 | PSIPX           |
| C000090498 | R-5                 | PSIQX           |
| C000182297 | Class T             | PTDTX           |

### Strategic Asset Management Balanced Portfolio (Series ID: S000014246)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038768 | Class A             | SABPX           |
| C000038770 | Class C             | SCBPX           |
| C000038771 | Institutional Class | PSBIX           |
| C000039360 | R-2                 | PSBVX           |
| C000039361 | R-3                 | PBAPX           |
| C000039362 | R-1                 | PSBGX           |
| C000039363 | R-4                 | PSBLX           |
| C000039364 | R-5                 | PSBFX           |
| C000039365 | Class J             | PSAJX           |

### Global Real Estate Securities Fund (Series ID: S000019119)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000052887 | Class A             | POSAX           |
| C000052888 | Class C             | POSCX           |
| C000052889 | Institutional Class | POSIX           |
| C000149262 | R-6                 | PGRSX           |
| C000167005 | R-3                 | PGRKX           |
| C000167006 | R-4                 | PGRVX           |
| C000167007 | R-5                 | PGRUX           |

### Principal LifeTime 2015 Fund (Series ID: S000022103)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063422 | R-2                 | LTASX           |
| C000063423 | Institutional Class | LTINX           |
| C000063424 | R-3                 | LTAPX           |
| C000063425 | R-1                 | LTSGX           |
| C000063426 | R-5                 | LTPFX           |
| C000063427 | R-4                 | LTSLX           |

### Principal LifeTime 2025 Fund (Series ID: S000022104)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063428 | R-4                 | LTEEX           |
| C000063429 | Institutional Class | LTSTX           |
| C000063430 | R-2                 | LTADX           |
| C000063431 | R-3                 | LTVPX           |
| C000063432 | R-1                 | LTSNX           |
| C000063433 | R-5                 | LTPDX           |

### Principal LifeTime 2035 Fund (Series ID: S000022105)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063434 | R-2                 | LTVIX           |
| C000063435 | R-3                 | LTAOX           |
| C000063436 | R-1                 | LTANX           |
| C000063437 | R-5                 | LTPEX           |
| C000063438 | R-4                 | LTSEX           |
| C000063439 | Institutional Class | LTIUX           |

### Principal LifeTime 2045 Fund (Series ID: S000022106)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063440 | R-2                 | LTRSX           |
| C000063441 | R-3                 | LTRVX           |
| C000063442 | R-1                 | LTRGX           |
| C000063443 | R-5                 | LTRDX           |
| C000063444 | R-4                 | LTRLX           |
| C000063445 | Institutional Class | LTRIX           |

### Principal LifeTime 2055 Fund (Series ID: S000022107)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063446 | R-2                 | LTFSX           |
| C000063447 | R-3                 | LTFDX           |
| C000063448 | R-1                 | LTFGX           |
| C000063449 | R-5                 | LTFPX           |
| C000063450 | R-4                 | LTFLX           |
| C000063451 | Institutional Class | LTFIX           |

### Overseas Fund (f/k/a International Value Fund I) (Series ID: S000023512)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000069149 | Institutional Class | PINZX           |
| C000111519 | R-1 Class           | PINQX           |
| C000111520 | R-2 Class           | PINSX           |
| C000111521 | R-3 Class           | PINTX           |
| C000111522 | R-4 Class           | PINUX           |
| C000111523 | R-5 Class           | PINGX           |

### Diversified Income Fund (f/k/a Global Diversified Income Fund) (Series ID: S000024296)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000071805 | Institutional Class | PGDIX           |
| C000071807 | Class A             | PGBAX           |
| C000071808 | Class C             | PGDCX           |
| C000182300 | Class T             | PGKTX           |
| C000190075 | R-6                 | PGBLX           |

### Principal LifeTime 2060 Fund (Series ID: S000039873)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000123721 | Class J             | PLTAX           |
| C000123722 | R-1                 | PLTRX           |
| C000123723 | R-2                 | PLTBX           |
| C000123724 | R-3                 | PLTCX           |
| C000123725 | R-4                 | PLTMX           |
| C000123726 | R-5                 | PLTOX           |
| C000123727 | Institutional Class | PLTZX           |

### Principal LifeTime Hybrid Income Fund (Series ID: S000046553)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145302 | Institutional Class | PHTFX           |
| C000159884 | R-6                 | PLTYX           |
| C000199315 | Class J             | PHJFX           |
| C000210676 | Class R-3           | PHTEX           |
| C000210677 | Class R-5           | PHTDX           |

### Principal LifeTime Hybrid 2055 Fund (Series ID: S000046554)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145305 | Institutional Class | PLTNX           |
| C000159885 | R-6                 | PLHTX           |
| C000199316 | Class J             | PHJBX           |
| C000210678 | Class R-3           | PLTLX           |
| C000210679 | Class R-5           | PLTKX           |

### Principal LifeTime Hybrid 2060 Fund (Series ID: S000046555)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145308 | Institutional Class | PLTHX           |
| C000159886 | R-6                 | PLKTX           |
| C000199317 | Class J             | PHJGX           |
| C000210680 | Class R-3           | PLTEX           |
| C000210681 | Class R-5           | PLTDX           |

### Principal LifeTime Hybrid 2015 Fund (Series ID: S000046556)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145311 | Institutional Class | PHTMX           |
| C000159887 | R-6                 | PLRRX           |
| C000199318 | Class J             | PHJMX           |
| C000210682 | Class R-5           | PHTRX           |
| C000210683 | Class R-3           | PHTCX           |

### Principal LifeTime Hybrid 2020 Fund (Series ID: S000046557)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145314 | Institutional Class | PHTTX           |
| C000159888 | R-6                 | PLTTX           |
| C000199319 | Class J             | PHJTX           |
| C000210684 | Class R-5           | PHTIX           |
| C000210685 | Class R-3           | PHWIX           |

### Principal LifeTime Hybrid 2025 Fund (Series ID: S000046558)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145317 | Institutional Class | PHTQX           |
| C000159889 | R-6                 | PLFTX           |
| C000199320 | Class J             | PHJQX           |
| C000210686 | Class R-3           | PHTPX           |
| C000210687 | Class R-5           | PHTOX           |

### Principal LifeTime Hybrid 2030 Fund (Series ID: S000046559)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145320 | Institutional Class | PHTNX           |
| C000159890 | R-6                 | PLZTX           |
| C000199321 | Class J             | PHJNX           |
| C000210688 | Class R-3           | PHTLX           |
| C000210689 | Class R-5           | PHTKX           |

### Principal LifeTime Hybrid 2035 Fund (Series ID: S000046560)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145323 | Institutional Class | PHTJX           |
| C000159891 | R-6                 | PLRTX           |
| C000199322 | Class J             | PHJJX           |
| C000210690 | Class R-3           | PHTHX           |
| C000210691 | Class R-5           | PHTGX           |

### Principal LifeTime Hybrid 2040 Fund (Series ID: S000046561)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145326 | Institutional Class | PLTQX           |
| C000159892 | R-6                 | PLMTX           |
| C000199323 | Class J             | PHJEX           |
| C000210692 | Class R-3           | PLHBX           |
| C000210693 | Class R-5           | PHTZX           |

### Principal LifeTime Hybrid 2045 Fund (Series ID: S000046562)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145329 | Institutional Class | PHTYX           |
| C000159893 | R-6                 | PLNTX           |
| C000199324 | Class J             | PHJYX           |
| C000210694 | Class R-3           | PHTWX           |
| C000210695 | Class R-5           | PHTVX           |

### Principal LifeTime Hybrid 2050 Fund (Series ID: S000046563)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145332 | Institutional Class | PHTUX           |
| C000159894 | R-6                 | PLJTX           |
| C000199325 | Class J             | PHJUX           |
| C000210696 | Class R-3           | PHTSX           |
| C000210697 | Class R-5           | PLRJX           |

### Finisterre Emerging Markets Total Return Bond Fund (Series ID: S000054330)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000170734 | Class A             | PFUEX           |
| C000170736 | Institutional Class | PFUMX           |

### Principal LifeTime 2065 (Series ID: S000058847)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000193001 | Institutional Class | PLJIX           |
| C000193002 | R-1                 | PLJAX           |
| C000193003 | R-2                 | PLJBX           |
| C000193004 | R-3                 | PLJCX           |
| C000193005 | R-4                 | PLJDX           |
| C000193006 | R-5                 | PLJEX           |

### Principal LifeTime Hybrid 2065 (Series ID: S000058848)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000193007 | Institutional Class | PLHHX           |
| C000193008 | R-6                 | PLHRX           |
| C000199326 | Class J             | PHJDX           |
| C000210698 | R-5                 | PLHKX           |
| C000210699 | R-3                 | PLTFX           |

### Government Money Market Fund (Series ID: S000060089)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000196721 | Institutional | PGVXX           |
| C000239771 | Class R-6     | PGWXX           |

## Exempt

PRINCIPAL FUNDS' CCO ANNUAL CERTIFICATION Pursuant to Item G. 1. a.v of Form N- CEN For the year ended December 31, 2021

I, as the Chief Compliance Officer for Principal Funds, Inc. and Principal Variable Contracts Funds, Inc. (collectively, the "Funds") certify that the Funds and Principal Global Investors, LLC have established procedures reasonably designed to achieve compliance with the terms and conditions of their application to participate in a joint lending and borrowing facility, which application was granted by order of the Securities and Exchange Commission dated October 25, 2011 (the "Application") . This includes procedures designed to achieve the following objectives: a) that the Interfund Loan Rate will be higher than the Repo Rate, but lower than the Bank Loan Rate; (b) compliance with the collateral requirements as set forth in the Application; (c) compliance with the percentage limitations on interfund borrowing and lending; (d) allocation of interfund borrowing and lending demand in an equitable manner and in

accordance with procedures established by the Board of each Fund; and

(e) that the Interfund Loan Rate does not exceed the interest rate on any third party borrowings of a borrowing Fund at the time of the Interfund Loan.

Capitalized terms that are used but not defined herein have the meanings given them in the Application.

Teri R. Root<br>Chief Compliance Officer – Principal Funds

## Internal

Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of Principal Funds, Inc.

In planning and performing our audits of the financial statements of each of the funds comprising Principal Funds, Inc. funds listed in Exhibit A attached hereto (collectively, the "Funds") as of and for the year ended October 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds' annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds' internal control over financial reporting and their operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2022. This report is intended solely for the information and use of management and the Board of Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ Ernst & Young LLP

Minneapolis, Minnesota

December 22, 2022

**Exhibit A**

California Municipal Fund Core Fixed Income Fund Core Plus Bond Fund Diversified Income Fund (formerly Global Diversified Income Fund) Diversified International Fund Equity Income Fund

Finisterre Emerging Markets Total Return Bond Fund Global Emerging Markets Fund (formerly International Emerging Markets Fund) Global Real Estate Securities Fund Government & High Quality Bond Fund Government Money Market Fund High Income Fund High Yield Fund

Inflation Protection Fund International Fund I LargeCap Growth Fund I LargeCap S&P 500 Index Fund LargeCap Value Fund III MidCap Fund MidCap Growth Fund MidCap Growth Fund III MidCap S&P 400 Index Fund MidCap Value Fund I Money Market Fund

Overseas Fund Principal Capital Appreciation Fund Principal LifeTime 2010 Fund Principal LifeTime 2015 Fund Principal LifeTime 2020 Fund Principal LifeTime 2025 Fund Principal LifeTime 2030 Fund Principal LifeTime 2035 Fund Principal LifeTime 2040 Fund Principal LifeTime 2045 Fund Principal LifeTime 2050 Fund Principal LifeTime 2055 Fund Principal LifeTime 2060 Fund Principal LifeTime 2065 Fund Principal LifeTime Hybrid 2015 Fund Principal LifeTime Hybrid 2020 Fund Principal LifeTime Hybrid 2025 Fund Principal LifeTime Hybrid 2030 Fund Principal LifeTime Hybrid 2035 Fund Principal LifeTime Hybrid 2040 Fund Principal LifeTime Hybrid 2045 Fund Principal LifeTime Hybrid 2050 Fund Principal LifeTime Hybrid 2055 Fund Principal LifeTime Hybrid 2060 Fund Principal LifeTime Hybrid 2065 Fund Principal LifeTime Hybrid Income Fund Principal LifeTime Strategic Income Fund

Real Estate Securities Fund SAM Balanced Portfolio SAM Conservative Balanced Portfolio SAM Conservative Growth Portfolio SAM Flexible Income Portfolio SAM Strategic Growth Portfolio Short-Term Income Fund SmallCap Fund SmallCap Growth Fund I SmallCap S&P 600 Index Fund SmallCap Value Fund II Tax-Exempt Bond Fund

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0000898745

## N-CEN: Series/Class (Contract) Information

**Series ID Record:1**
- **Series ID:** S000014235

**Series ID Record:2**
- **Series ID:** S000046555

**Series ID Record:3**
- **Series ID:** S000007016

**Series ID Record:4**
- **Series ID:** S000007075

**Series ID Record:5**
- **Series ID:** S000046562

**Series ID Record:6**
- **Series ID:** S000022106

**Series ID Record:7**
- **Series ID:** S000006997

**Series ID Record:8**
- **Series ID:** S000007210

**Series ID Record:9**
- **Series ID:** S000007209

**Series ID Record:10**
- **Series ID:** S000007081

**Series ID Record:11**
- **Series ID:** S000007169

**Series ID Record:12**
- **Series ID:** S000058848

**Series ID Record:13**
- **Series ID:** S000060089

**Series ID Record:14**
- **Series ID:** S000022104

**Series ID Record:15**
- **Series ID:** S000014233

**Series ID Record:16**
- **Series ID:** S000006952

**Series ID Record:17**
- **Series ID:** S000019119

**Series ID Record:18**
- **Series ID:** S000046563

**Series ID Record:19**
- **Series ID:** S000014244

**Series ID Record:20**
- **Series ID:** S000006992

**Series ID Record:21**
- **Series ID:** S000007079

**Series ID Record:22**
- **Series ID:** S000014241

**Series ID Record:23**
- **Series ID:** S000046556

**Series ID Record:24**
- **Series ID:** S000046558

**Series ID Record:25**
- **Series ID:** S000014238

**Series ID Record:26**
- **Series ID:** S000007083

**Series ID Record:27**
- **Series ID:** S000007125

**Series ID Record:28**
- **Series ID:** S000007122

**Series ID Record:29**
- **Series ID:** S000007077

**Series ID Record:30**
- **Series ID:** S000014242

**Series ID Record:31**
- **Series ID:** S000014232

**Series ID Record:32**
- **Series ID:** S000023512

**Series ID Record:33**
- **Series ID:** S000014237

**Series ID Record:34**
- **Series ID:** S000014245

**Series ID Record:35**
- **Series ID:** S000007013

**Series ID Record:36**
- **Series ID:** S000046553

**Series ID Record:37**
- **Series ID:** S000007173

**Series ID Record:38**
- **Series ID:** S000007175

**Series ID Record:39**
- **Series ID:** S000014246

**Series ID Record:40**
- **Series ID:** S000007208

**Series ID Record:41**
- **Series ID:** S000024296

**Series ID Record:42**
- **Series ID:** S000046561

**Series ID Record:43**
- **Series ID:** S000022105

**Series ID Record:44**
- **Series ID:** S000014240

**Series ID Record:45**
- **Series ID:** S000022107

**Series ID Record:46**
- **Series ID:** S000007203

**Series ID Record:47**
- **Series ID:** S000046560

**Series ID Record:48**
- **Series ID:** S000039873

**Series ID Record:49**
- **Series ID:** S000022103

**Series ID Record:50**
- **Series ID:** S000007212

**Series ID Record:51**
- **Series ID:** S000007078

**Series ID Record:52**
- **Series ID:** S000007211

**Series ID Record:53**
- **Series ID:** S000046557

**Series ID Record:54**
- **Series ID:** S000014236

**Series ID Record:55**
- **Series ID:** S000007207

**Series ID Record:56**
- **Series ID:** S000054330

**Series ID Record:57**
- **Series ID:** S000046554

**Series ID Record:58**
- **Series ID:** S000058847

**Series ID Record:59**
- **Series ID:** S000007214

**Series ID Record:60**
- **Series ID:** S000007201

**Series ID Record:61**
- **Series ID:** S000006996

**Series ID Record:62**
- **Series ID:** S000046559

**Series ID Record:63**
- **Series ID:** S000014234

**Class ID Record:1**
- **Class ID:** C000167006

**Class ID Record:2**
- **Class ID:** C000052889

**Class ID Record:3**
- **Class ID:** C000167005

**Class ID Record:4**
- **Class ID:** C000052887

**Class ID Record:5**
- **Class ID:** C000052888

**Class ID Record:6**
- **Class ID:** C000149262

**Class ID Record:7**
- **Class ID:** C000167007

**Class ID Record:8**
- **Class ID:** C000113845

**Class ID Record:9**
- **Class ID:** C000113842

**Class ID Record:10**
- **Class ID:** C000113844

**Class ID Record:11**
- **Class ID:** C000038762

**Class ID Record:12**
- **Class ID:** C000038763

**Class ID Record:13**
- **Class ID:** C000113843

**Class ID Record:14**
- **Class ID:** C000038760

**Class ID Record:15**
- **Class ID:** C000113840

**Class ID Record:16**
- **Class ID:** C000019052

**Class ID Record:17**
- **Class ID:** C000019057

**Class ID Record:18**
- **Class ID:** C000210673

**Class ID Record:19**
- **Class ID:** C000019054

**Class ID Record:20**
- **Class ID:** C000019055

**Class ID Record:21**
- **Class ID:** C000019058

**Class ID Record:22**
- **Class ID:** C000019059

**Class ID Record:23**
- **Class ID:** C000019056

**Class ID Record:24**
- **Class ID:** C000038774

**Class ID Record:25**
- **Class ID:** C000019145

**Class ID Record:26**
- **Class ID:** C000175481

**Class ID Record:27**
- **Class ID:** C000019140

**Class ID Record:28**
- **Class ID:** C000019141

**Class ID Record:29**
- **Class ID:** C000019144

**Class ID Record:30**
- **Class ID:** C000019142

**Class ID Record:31**
- **Class ID:** C000019143

**Class ID Record:32**
- **Class ID:** C000019146

**Class ID Record:33**
- **Class ID:** C000038777

**Class ID Record:34**
- **Class ID:** C000170734

**Class ID Record:35**
- **Class ID:** C000170736

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2022-10-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** Principal Funds, Inc.

- **Item B.1.b - Investment Company Act file number:** 811-07572

- **Item B.1.c - CIK:** 0000898745

- **Item B.1.d - LEI:** 549300HZGBXSW6DSXF23

- **Item B.2.a - Street 1:** 801 Grand Ave

- **Item B.2.b - City:** Des Moines

- **Item B.2.c - State:** IA

- **Item B.2.e - Zip Code:** 50309

- **Item B.2.f - Telephone:** 515-235-1719

- **Item B.2.g - Public Website:** www.Principalam.com

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** Principal Global Investors, LLC

- **b. Street 1:** 801 Grand Avenue

- **c. City:** Des Moines

- **d. State, if applicable:** IA

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 50309

- **g. Telephone number:** 515-235-1719

- **h. Briefly describe the books and records kept at this location:** Governance, compliance, accounting, administrative and investment oversight records

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

- **Item B.5.a - Is the Registrant part of a family of investment companies?:** Yes

- **Item B.5.a.i - Full name of family of investment companies:** Principal Funds

### Item B.6 - Organization

- [x] a. Open-end management investment company registered under the Act on Form N-1A

- [ ] b. Closed-end management investment company registered under the Act on Form N-2

- [ ] c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3

- [ ] d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4

- [ ] e. Small business investment company registered under the Act on Form N-5

- [ ] f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6

- [ ] g. Unit investment trust registered under the Act on Form N-8B-2

- **Item B.6.i - Total number of Series:** 63

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.8 - Directors

| Name                  | Is Interested Person?   | Other Investment Company File Numbers   |
|:---|:---|:---|
| Padelford L. Lattimer | No                      | 811-01944, 811-23403, 811-23029         |
| Fritz Hirsch          | No                      | 811-01944, 811-23403, 811-23029         |
| Karen McMillan        | No                      | 811-23403, 811-01944, 811-23029         |
| Craig Damos           | No                      | 811-23029, 811-23403, 811-01944         |
| Leroy T. Barnes, Jr   | No                      | 811-23029, 811-01944, 811-23403         |
| Mary M. VanDeWeghe    | No                      | 811-01944, 811-23403, 811-23029         |
| Victor L. Hymes       | No                      | 811-01944, 811-23403, 811-23029         |
| Patrick G. Halter     | Yes                     | 811-23029, 811-01944, 811-23403         |
| Timothy M. Dunbar     | Yes                     | 811-01944, 811-23403, 811-23029         |
| Elizabeth A. Nickels  | No                      | 811-23029, 811-01944, 811-23403         |

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Teri R. Root

- **b. CRD Number, if any:** 004458076

- **c. Street Address 1:** 801 Grand Avenue

- **d. City:** Des Moines

- **e. State, if applicable:** IA

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 50309

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** No

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** No

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.12.a - Were any claims with respect to the Registrant filed under a fidelity bond?:** No

- **Item B.13.a - Are the Registrant's officers or directors covered under any insurance policy?:** Yes

- **Item B.13.a.i - If yes, were any claims filed under the policy during the reporting period?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-29843
  - IC-31244

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** Principal Funds Distributor, Inc.

- **ii. SEC file number:** 8-50200

- **iii. CRD number:** 000043261

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** Yes

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** Ernst & Young LLP

- **b. PCAOB Number:** 42

- **c. LEI, if any:** N/A

- **d. State, if applicable:** MN

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.18 - Did an independent public accountant's report on internal control note any material weaknesses?:** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - SAM Flexible Income Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Flexible Income Portfolio

- **b. Series identification number, if any:** S000014235

- **c. LEI:** 549300ITXDI984NFCS62

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000039350                                | PFIGX                        |
|                           2 | Class C                 | C000038728                                | SCUPX                        |
|                           3 | R-3                     | C000039349                                | PFIPX                        |
|                           4 | R-5                     | C000039352                                | PFIFX                        |
|                           5 | Class A                 | C000038726                                | SAUPX                        |
|                           6 | R-4                     | C000039351                                | PFILX                        |
|                           7 | Class J                 | C000039353                                | PFIJX                        |
|                           8 | Institutional           | C000038729                                | PIFIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $173,757.02

**Brokers Record: 2**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,270.00

**Brokers Record: 3**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $20,010.00

**Aggregate Commission:** $207,037.02

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,718,828,001.17

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,782,206,455.51

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Income Fund                               | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 2 - Principal LifeTime Hybrid 2060 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2060 Fund

- **b. Series identification number, if any:** S000046555

- **c. LEI:** 549300WOGNMY43MZS271

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159886                                | PLKTX                        |
|                           2 | Institutional           | C000145308                                | PLTHX                        |
|                           3 | Class J                 | C000199317                                | PHJGX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $36,529,496.99

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $43,742,318.09

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| International Fund I                                  | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Money Market Fund                                     | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 3 - LargeCap S&P 500 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap S&P 500 Index Fund

- **b. Series identification number, if any:** S000007016

- **c. LEI:** 549300HDJCROTIVIXD92

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038779                                | PLICX                        |
|                           2 | Class A                 | C000019174                                | PLSAX                        |
|                           3 | Class J                 | C000019173                                | PSPJX                        |
|                           4 | R-3                     | C000019169                                | PLFMX                        |
|                           5 | Institutional           | C000019172                                | PLFIX                        |
|                           6 | R-4                     | C000019171                                | PLFSX                        |
|                           7 | R-5                     | C000019170                                | PLFPX                        |
|                           8 | R-1                     | C000019167                                | PLPIX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,144,342.74

- **g. Provide the net income from securities lending activities:** $23,477.95

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** ACADEMY SECURITIES

- **ii. SEC file number:** 8-35173

- **iii. CRD number:** 000017433

- **iv. LEI, if any:** 2549000QX6RLQOZ2XC11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,233.35

**Brokers Record: 2**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $434.50

**Brokers Record: 3**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $91,086.98

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,766.89

**Brokers Record: 5**

- **i. Full name of broker:** NATIONAL ALLIANCE SECURITIES LLC

- **ii. SEC file number:** 8-48723

- **iii. CRD number:** 000039455

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** TX

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,023.27

**Brokers Record: 6**

- **i. Full name of broker:** CASTLEOAK SECURITIES LP

- **ii. SEC file number:** 8-65786

- **iii. CRD number:** 000125334

- **iv. LEI, if any:** 549300MXL7C60HZ59S65

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,292.64

**Brokers Record: 7**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,777.17

**Brokers Record: 8**

- **i. Full name of broker:** CANTOR FITZGERALD & CO.

- **ii. SEC file number:** 8-201

- **iii. CRD number:** 000000134

- **iv. LEI, if any:** 5493004J7H4GCPG6OB62

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $290.26

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $451.70

**Brokers Record: 10**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $103.40

**Aggregate Commission:** $131,460.16

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $93,088,949.49            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $72,254,686.39            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $2,916,426.42             |
| M3 CAPITAL PARTNERS                 | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $5,031,960.88             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $34,990,616.40            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $216,575,658.18

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $5,957,874,593.94

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| International Fund I                                  | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 4 - MidCap Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Fund

- **b. Series identification number, if any:** S000007075

- **c. LEI:** 549300D8KHZ8MDOZYC94

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000175482                                | PMAQX                        |
|                           2 | R-3                     | C000019312                                | PMBMX                        |
|                           3 | R-5                     | C000019313                                | PMBPX                        |
|                           4 | Class C                 | C000038781                                | PMBCX                        |
|                           5 | Institutional           | C000019315                                | PCBIX                        |
|                           6 | Class A                 | C000019317                                | PEMGX                        |
|                           7 | R-1                     | C000019310                                | PMSBX                        |
|                           8 | R-4                     | C000019314                                | PMBSX                        |
|                           9 | Class J                 | C000019316                                | PMBJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $13,713,108.31

- **g. Provide the net income from securities lending activities:** $6,800.86

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** The Bank of New York Mellon SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** CIBC Mellon Trust Company

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** EuroClear Bank, Brussels

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $196,677.44

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $158,241.29

**Brokers Record: 3**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $87,427.01

**Brokers Record: 4**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $226,470.76

**Brokers Record: 5**

- **i. Full name of broker:** BTIG

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $111,036.39

**Brokers Record: 6**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $154,335.58

**Brokers Record: 7**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $79,220.85

**Brokers Record: 8**

- **i. Full name of broker:** TD BANK FINANCIAL GROUP

- **ii. SEC file number:** 8-36747

- **iii. CRD number:** 000018476

- **iv. LEI, if any:** SUVUFHICNZMP2WKHG940

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $254,815.96

**Brokers Record: 9**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $230,108.93

**Brokers Record: 10**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $207,837.32

**Aggregate Commission:** $2,293,609.47

**Item C.17.a. Principal transaction counterparties.**

| Name                          | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| RBC DOMINION SECURITIES CORP. | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $3,073,025.40             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $29,680,625.40

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $20,645,802,079.45

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Equity Income Account                                 | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 5 - Principal LifeTime Hybrid 2045 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2045 Fund

- **b. Series identification number, if any:** S000046562

- **c. LEI:** 5493000UTID5OV7TX842

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159893                                | PLNTX                        |
|                           2 | Class J                 | C000199324                                | PHJYX                        |
|                           3 | Institutional           | C000145329                                | PHTYX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $163,962,436.19

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $251,451,493.82

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| International Fund I                                  | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 6 - Principal LifeTime 2045 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2045 Fund

- **b. Series identification number, if any:** S000022106

- **c. LEI:** 549300MVKLE6XJFKIO43

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000063445                                | LTRIX                        |
|                           2 | R-1                     | C000063442                                | LTRGX                        |
|                           3 | R-3                     | C000063441                                | LTRVX                        |
|                           4 | R-5                     | C000063443                                | LTRDX                        |
|                           5 | R-4                     | C000063444                                | LTRLX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $824,106,915.91

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,249,740,890.66

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Value Fund I                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 7 - Inflation Protection Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Inflation Protection Fund

- **b. Series identification number, if any:** S000006997

- **c. LEI:** 5493006ECFME6VCZ0U45

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019082                                | PBPPX                        |
|                           2 | Class J                 | C000019085                                | PIPJX                        |
|                           3 | R-1                     | C000019084                                | PISPX                        |
|                           4 | R-3                     | C000019081                                | PIFPX                        |
|                           5 | R-4                     | C000019083                                | PIFSX                        |
|                           6 | Institutional           | C000019086                                | PIPIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $2,170,807.29

- **g. Provide the net income from securities lending activities:** $17,298.46

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Blackrock Financial Management, INC

- **ii. SEC file number:** 801-48433

- **iii. CRD number:** 000107105

- **iv. LEI, if any:** 549300LVXYIVJKE13M84

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Bank Polska Kasa Opieki S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** MUFG Bank, Ltd

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** CIBC Mellon Trust Company

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Hongkong and Shanghai Banking Corporation, Hong Kong

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** Euroclear Bank, Brussels

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 10**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** Citibank N.A., Brazilian Branch

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** HSBC Bank Australia Limited

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** Citibanamex, Mexico City

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** Deutsche Bank, Istanbul

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** The Bank of New York Mellon SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** HSBC New Zealand

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** Standard Bank of South Africa, Johannesburg

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 23**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** PRISM FINANCIAL PRODUCTS

- **ii. SEC file number:** 8-70465

- **iii. CRD number:** 000306255

- **iv. LEI, if any:** 549300SNCWUUNHA5EL28

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $512.43

**Brokers Record: 2**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,378.96

**Brokers Record: 3**

- **i. Full name of broker:** MIZUHO SECURITIES USA INC.

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 5493004GRDTUI7EMIZ82

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,667.44

**Brokers Record: 4**

- **i. Full name of broker:** R.J. O'BRIEN AND ASSOCIATES

- **ii. SEC file number:** 8-67587

- **iii. CRD number:** 000143624

- **iv. LEI, if any:** WOPZ3KWZW5JSJMG3U094

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,372.23

**Aggregate Commission:** $24,931.06

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $637,691,227.06           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $438,045,210.87           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $444,240,943.74           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $239,004,326.03           |
| CITADEL TRADING GROUP               | 8-41207           |    000024514 | N/A                  | IL      | US        | $160,448,875.07           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $230,955,467.31           |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $190,700,674.90           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $452,143,691.11           |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $175,840,688.99           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $314,852,720.83           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,683,986,246.08

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,509,227,199.71

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Fund                                         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| International Fund I                                  | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 8 - Principal LifeTime 2050 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2050 Fund

- **b. Series identification number, if any:** S000007210

- **c. LEI:** 549300TYBTEX1TS6WI79

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019771                                | PTEFX                        |
|                           2 | R-4                     | C000019772                                | PTESX                        |
|                           3 | R-3                     | C000019770                                | PTERX                        |
|                           4 | Class J                 | C000019774                                | PFLJX                        |
|                           5 | R-1                     | C000019767                                | PZASX                        |
|                           6 | Institutional           | C000019773                                | PPLIX                        |
|                           7 | Class A                 | C000019775                                | PPEAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,778,302,530.75

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,737,313,965.18

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Real Asset Fund                           | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 9 - Principal LifeTime 2040 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2040 Fund

- **b. Series identification number, if any:** S000007209

- **c. LEI:** 549300D7K5PXZ3QLDU23

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000019762                                | PTDSX                        |
|                           2 | Institutional           | C000019763                                | PTDIX                        |
|                           3 | R-3                     | C000019760                                | PTDMX                        |
|                           4 | R-1                     | C000019758                                | PYASX                        |
|                           5 | R-5                     | C000019761                                | PTDPX                        |
|                           6 | Class J                 | C000019764                                | PTDJX                        |
|                           7 | Class A                 | C000019765                                | PTDAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,317,222,758.81

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $4,244,333,949.65

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| International Fund I                                  | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 10 - Money Market Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Money Market Fund

- **b. Series identification number, if any:** S000007081

- **c. LEI:** 5493004TMQBCYWU5QO91

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 2

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019362                                | PMJXX                        |
|                           2 | Class A                 | C000019363                                | PCSXX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [x] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                           | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CITIGROUP GLOBAL MARKETS       | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $8,462,439,717.92         |
| GOLDMAN SACHS CO.              | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $2,694,780,396.05         |
| BANCAMERICA SECURITIES INC.    | 8-35968           |    000017977 | N/A                  | CA      | US        | $7,635,129,545.07         |
| RBC DOMINION SECURITIES CORP.  | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $1,127,471,339.05         |
| WELLS FARGO ADVISOR            | 8-28721           |    000011025 | N/A                  | MO      | US        | $665,403,529.15           |
| MIZUHO SECURITIES USA INC.     | 8-37710           |    000019647 | 5493004GRDTUI7EMIZ82 | NY      | US        | $505,327,762.73           |
| CREDIT SUISSE GROUP            | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $332,987,164.34           |
| MITSUBISHI SECURITIES CO. LTD. | 8-43026           |    000019685 | N/A                  | NY      | US        | $697,855,765.42           |
| BARCLAYS CAPITAL INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $6,957,696,210.74         |
| J.P. MORGAN SECURITIES LLC     | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $1,688,869,512.85         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $31,722,550,344.94

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.b - Money market fund's daily average net assets:** $822,539,701.40

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| International Small Company Fund                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

### Management Investment Record: 11 - SmallCap Value Fund II

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Value Fund II

- **b. Series identification number, if any:** S000007169

- **c. LEI:** 549300VWU1POPCB8T381

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000019587                                | PSTWX                        |
|                           2 | R-5                     | C000019586                                | PLARX                        |
|                           3 | R-3                     | C000019585                                | PJARX                        |
|                           4 | R-1                     | C000019588                                | PCPTX                        |
|                           5 | Institutional           | C000019589                                | PPVIX                        |
|                           6 | Class J                 | C000076717                                | PSMJX                        |
|                           7 | R-6                     | C000149259                                | PSMVX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $10,114,715.69

- **g. Provide the net income from securities lending activities:** $193,367.23

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Vaughan Nelson Investment Management, L.P.

- **ii. SEC file number:** 801-51795

- **iii. CRD number:** 000106975

- **iv. LEI, if any:** 549300FRU9FLMWI67N43

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Hotchkis & Wiley Capital Management

- **ii. SEC file number:** 801-60512

- **iii. CRD number:** 000114649

- **iv. LEI, if any:** M35WBEXQYIYXS60OGD30

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $113,850.49

**Brokers Record: 2**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $140,303.79

**Brokers Record: 3**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $152,079.09

**Brokers Record: 4**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $80,697.62

**Brokers Record: 5**

- **i. Full name of broker:** BROADCORT CAP CORP./SUB OF MLPF & S

- **ii. SEC file number:** 8-29204

- **iii. CRD number:** 000013456

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,450.23

**Brokers Record: 6**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,505.71

**Brokers Record: 7**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,429.42

**Brokers Record: 8**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $47,610.45

**Brokers Record: 9**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $162,340.05

**Brokers Record: 10**

- **i. Full name of broker:** ABEL/NOSER CORP.

- **ii. SEC file number:** 8-69809

- **iii. CRD number:** 000284714

- **iv. LEI, if any:** 5493001TUUB0GB6K8B25

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $214,795.26

**Aggregate Commission:** $1,169,210.08

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $5,739.60                 |
| M3 CAPITAL PARTNERS                 | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $19,587.26                |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $2,221,464.23             |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $2,174.04                 |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $319,925.40               |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $82,305.28                |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $3,801.41                 |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $9,528,630.59

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,233,581,410.05

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| International Fund I                                  | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 12 - Principal LifeTime Hybrid 2065 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2065 Fund

- **b. Series identification number, if any:** S000058848

- **c. LEI:** 5493007HTNDW2Q2WPY67

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000199326                                | PHJDX                        |
|                           2 | Institutional           | C000193007                                | PLHHX                        |
|                           3 | R-6                     | C000193008                                | PLHRX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $13,029,576.22

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $11,544,910.90

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 13 - Government Money Market Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Government Money Market Fund

- **b. Series identification number, if any:** S000060089

- **c. LEI:** 549300WWK3YB7DNN4U34

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 1

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000196721                                | PGVXX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [x] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                            | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BNY MELLON CAPITAL MARKETS, LLC | 8-35255           |    000017454 | VJW2DOOHGDT6PR0ZRO63 | NY      | US        | $45,124,992,750.00        |
| HSBC SECURITIES, INC.           | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $21,160,000,000.00        |
| BNP PARIBAS SECURITIES CORP     | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $22,510,000,000.00        |
| GOLDMAN SACHS CO.               | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $53,685,079,130.55        |
| BARCLAYS CAPITAL, INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $30,450,035,091.67        |
| BANCAMERICA SECURITIES, INC.    | 8-35968           |    000017977 | N/A                  | CA      | US        | $25,479,901,726.38        |
| INVESCO                         | 8-19412           |    000006939 | N/A                  | TX      | US        | $2,186,700,000.00         |
| RBC DOMINION SECURITIES CORP.   | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $2,400,000,000.00         |
| J.P. MORGAN SECURITIES LLC      | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $9,933,367,793.22         |
| MIZUHO SECURITIES USA, INC.     | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $19,608,314,371.03        |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $334,103,458,428.16

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.b - Money market fund's daily average net assets:** $3,999,753,791.74

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Capital Securities Fund                               | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| International Fund I                                  | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

### Management Investment Record: 14 - Principal LifeTime 2025 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2025 Fund

- **b. Series identification number, if any:** S000022104

- **c. LEI:** 5493005U15HJLR8XTL49

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000063431                                | LTVPX                        |
|                           2 | R-1                     | C000063432                                | LTSNX                        |
|                           3 | Institutional           | C000063429                                | LTSTX                        |
|                           4 | R-4                     | C000063428                                | LTEEX                        |
|                           5 | R-5                     | C000063433                                | LTPDX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,001,233,351.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,675,943,976.80

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| International Fund I                                  | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 15 - SAM Conservative Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Balanced Portfolio

- **b. Series identification number, if any:** S000014233

- **c. LEI:** 54930060DQIB252U8M18

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000039338                                | PCSSX                        |
|                           2 | Class A                 | C000038718                                | SAIPX                        |
|                           3 | R-5                     | C000039340                                | PCBFX                        |
|                           4 | Class J                 | C000039341                                | PCBJX                        |
|                           5 | Institutional           | C000038721                                | PCCIX                        |
|                           6 | R-4                     | C000039339                                | PCBLX                        |
|                           7 | R-3                     | C000039337                                | PCBPX                        |
|                           8 | Class C                 | C000038720                                | SCIPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-4 (17 CFR 270.12d1-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,800.00

**Brokers Record: 2**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $290.10

**Brokers Record: 3**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $17,940.00

**Brokers Record: 4**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $578.16

**Brokers Record: 5**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $580.20

**Brokers Record: 6**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,310.00

**Brokers Record: 7**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $290.10

**Brokers Record: 8**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,410.00

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $290.10

**Brokers Record: 10**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $580.20

**Aggregate Commission:** $60,358.96

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,756,651,699.67

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,787,978,160.51

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Account                                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 16 - Core Plus Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Core Plus Bond Fund

- **b. Series identification number, if any:** S000006952

- **c. LEI:** KIJ3S7K8DD1O6JZ8TF70

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000018956                                | PBOMX                        |
|                           2 | R-3                     | C000018958                                | PBMMX                        |
|                           3 | Class A                 | C000018963                                | PRBDX                        |
|                           4 | R-4                     | C000018960                                | PBMSX                        |
|                           5 | Institutional           | C000018961                                | PMSIX                        |
|                           6 | R-5                     | C000018959                                | PBMPX                        |
|                           7 | Class J                 | C000018962                                | PBMJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,631,676.40

- **g. Provide the net income from securities lending activities:** $65,933.98

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 9**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,943.00

**Brokers Record: 2**

- **i. Full name of broker:** FLOW TRADERS

- **ii. SEC file number:** 8-68300

- **iii. CRD number:** 000150780

- **iv. LEI, if any:** 549300K64LZQW7R9ST34

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,330.00

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,850.00

**Brokers Record: 4**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $925.00

**Aggregate Commission:** $9,048.00

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $129,156,238.02           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $889,910,469.04           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $65,495,868.88            |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $19,772,544.60            |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $84,517,936.89            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $138,111,831.84           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $346,706,272.89           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $244,658,567.15           |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $43,131,581.54            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $136,512,366.80           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,251,370,087.42

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $652,837,435.32

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Real Estate Securities Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| High Income Fund                                      | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 17 - Global Real Estate Securities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Global Real Estate Securities Fund

- **b. Series identification number, if any:** S000019119

- **c. LEI:** 549300RURQIM2C42MH06

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000167006                                | PGRVX                        |
|                           2 | Institutional           | C000052889                                | POSIX                        |
|                           3 | R-3                     | C000167005                                | PGRKX                        |
|                           4 | Class A                 | C000052887                                | POSAX                        |
|                           5 | R-6                     | C000149262                                | PGRSX                        |
|                           6 | R-5                     | C000167007                                | PGRUX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $7,510,006.40

- **g. Provide the net income from securities lending activities:** $43,787.77

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** HSBC SHENZHEN

- **ii. LEI, if any:** 213800H3TEBTFHD5JR69

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 19**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** HSBC SHANGHAI

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $143,897.48

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $40,576.70

**Brokers Record: 3**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $61,917.09

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $72,602.29

**Brokers Record: 5**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $103,031.43

**Brokers Record: 6**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $55,641.61

**Brokers Record: 7**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $52,010.18

**Brokers Record: 8**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $127,691.65

**Brokers Record: 9**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $56,218.76

**Brokers Record: 10**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $105,338.69

**Aggregate Commission:** $1,289,510.20

**Item C.17.a. Principal transaction counterparties.**

| Name                            | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| KEMPEN ANO COMPANY NV AMSTERDAM | 8-48389           |    000038760 | N/A                  | NY      | US        | $3,567,642.45             |
| NOMURA SECURITIES INT'L INC.    | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $2,137,703.51             |
| MITSUBISHI SECURITIES CO. LTD.  | 8-43026           |    000019685 | N/A                  | NY      | US        | $0.00                     |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $26,542,415.96

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,893,911,674.22

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal Capital Appreciation Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| High Income Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 18 - Principal LifeTime Hybrid 2050 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2050 Fund

- **b. Series identification number, if any:** S000046563

- **c. LEI:** 549300W0MFWJ1HJTRN48

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159894                                | PLJTX                        |
|                           2 | Institutional           | C000145332                                | PHTUX                        |
|                           3 | Class J                 | C000199325                                | PHJUX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $145,786,698.49

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $209,864,332.00

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Fund                                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 19 - Government & High Quality Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Government & High Quality Bond Fund

- **b. Series identification number, if any:** S000014244

- **c. LEI:** XQSA5XKJBXF2IV4K6K06

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000113845                                | PMRJX                        |
|                           2 | R-3                     | C000113842                                | PRCMX                        |
|                           3 | R-5                     | C000113844                                | PMREX                        |
|                           4 | Institutional           | C000038763                                | PMRIX                        |
|                           5 | R-4                     | C000113843                                | PMRDX                        |
|                           6 | Class A                 | C000038760                                | CMPGX                        |
|                           7 | R-1                     | C000113840                                | PMGRX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,983,904.47

- **g. Provide the net income from securities lending activities:** $9,475.11

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                   | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                      | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $479,519,646.43           |
| MERRILL LYNCH PIERCE FENNER & SMITH    | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $1,846,942,468.48         |
| MORGAN STANLEY & CO. LLC.              | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $2,053,392,232.72         |
| CITIGROUP GLOBAL MARKETS               | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $422,541,593.77           |
| NOMURA SECURITIES INT'L INC.           | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $262,410,637.46           |
| J.P. MORGAN SECURITIES LLC             | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $1,726,877,439.49         |
| BARCLAYS CAPITAL INC.                  | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $81,827,372.94            |
| BNP PARIBAS SECURITIES CORP            | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $50,521,467.35            |
| AMHERST PIERPONT SECURITIES GROUP L.P. | 8-68282           |    000150696 | 549300LGG2RLWD21SU97 | NY      | US        | $76,749,066.34            |
| WELLS FARGO SECURITIES LLC             | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $2,907,365,997.98         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $10,076,173,710.98

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,197,307,594.82

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 20 - Diversified International Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified International Fund

- **b. Series identification number, if any:** S000006992

- **c. LEI:** 549300WI2K0C68CW5R08

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000019052                                | PDVIX                        |
|                           2 | Institutional           | C000019057                                | PIIIX                        |
|                           3 | R-6                     | C000210673                                | PDIFX                        |
|                           4 | R-3                     | C000019054                                | PINRX                        |
|                           5 | R-5                     | C000019055                                | PINPX                        |
|                           6 | Class J                 | C000019058                                | PIIJX                        |
|                           7 | Class A                 | C000019059                                | PRWLX                        |
|                           8 | R-4                     | C000019056                                | PINLX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $51,275,941.21

- **g. Provide the net income from securities lending activities:** $294,952.87

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 2138009S6SHV5GLS7987

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** UNION INTERNATIONALE DE BANQUES

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** HSBC SHANGHAI-HONG KONG STOCK CONNECT SPSA

- **ii. LEI, if any:** 213800H3TEBTFHD5JR69

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** LANDSBANKINN HF.

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** DEUTSCHE BANK AG KARACHI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** STANDARD CHARTERED BANK, JORDAN BRANCH

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** CITIBANK MAGHREB

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 22**

- **i. Full name:** CCB A SHARE MARKET

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 24**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITIBANK EUROPE PLC, BULGARIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** HONGKONG AND SHANGAI BANKING CORPORATION, EBENE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DUBAI

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** ATUEL7OJR5057F2PV266

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** HSBC SAUDI ARABIA LIMITED

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** DEUTSCHE BANK AG (LDN)

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** HSBC BANK BERMUDA LIMITED, HAMILTON

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** 0W1U67PTV5WY3WYWKD79

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** BANCO ITAU URUGUAY S.A.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 54**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 55**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 56**

- **i. Full name:** CITIBANK EUROPE PLC, ROMANIA BRANCH

- **ii. LEI, if any:** 5493003FVWLMBFTISI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 57**

- **i. Full name:** HSBC SHANGHAI

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 58**

- **i. Full name:** HSBC BANGLADESH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 59**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 60**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 61**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 62**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 63**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 64**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 65**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 66**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $361,636.89

**Brokers Record: 2**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $372,193.67

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $474,602.58

**Brokers Record: 4**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $306,513.43

**Brokers Record: 5**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $316,495.54

**Brokers Record: 6**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $331,168.88

**Brokers Record: 7**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $165,766.56

**Brokers Record: 8**

- **i. Full name of broker:** M3 CAPITAL PARTNERS

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $135,915.52

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $300,963.57

**Brokers Record: 10**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $369,991.80

**Aggregate Commission:** $4,146,318.37

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,210,333.26

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $4,826,787,436.12

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 21 - MidCap S&P 400 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap S&P 400 Index Fund

- **b. Series identification number, if any:** S000007079

- **c. LEI:** 549300BESRSJ6JCTJH84

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019343                                | MPSIX                        |
|                           2 | R-1                     | C000019342                                | PMSSX                        |
|                           3 | R-4                     | C000019347                                | PMFSX                        |
|                           4 | R-5                     | C000019346                                | PMFPX                        |
|                           5 | R-3                     | C000019345                                | PMFMX                        |
|                           6 | Class J                 | C000019348                                | PMFJX                        |
|                           7 | R-6                     | C000175483                                | PMAPX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,773,042.60

- **g. Provide the net income from securities lending activities:** $380,316.30

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** TELSEY ADVISORY GROUP

- **ii. SEC file number:** 8-67988

- **iii. CRD number:** 000148234

- **iv. LEI, if any:** 54930080BFVVEZCZGF48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,718.52

**Brokers Record: 2**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,551.76

**Brokers Record: 3**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,016.52

**Brokers Record: 4**

- **i. Full name of broker:** JONES TRADING INSTITUTIONAL SERVICES LLC

- **ii. SEC file number:** 8-26089

- **iii. CRD number:** 000006888

- **iv. LEI, if any:** 2138008JJ5PA8H5UIL69

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $782.80

**Brokers Record: 5**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,910.88

**Brokers Record: 6**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,219.91

**Brokers Record: 7**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,103.20

**Brokers Record: 8**

- **i. Full name of broker:** WILLIAMS CAPITAL GROUP LP

- **ii. SEC file number:** 8-46623

- **iii. CRD number:** 000035149

- **iv. LEI, if any:** 254900QGK3PNRGR9BD85

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,436.63

**Brokers Record: 9**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,059.10

**Brokers Record: 10**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,818.05

**Aggregate Commission:** $77,050.31

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $185,583,097.76           |
| BARCLAYS CAPITAL INC.      | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $26,939,508.79            |
| M3 CAPITAL PARTNERS        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $4,587,204.64             |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $45,027,211.35            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $287,195,842.73

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,292,306,157.56

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| International Fund I                                  | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 22 - High Yield Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** High Yield Fund

- **b. Series identification number, if any:** S000014241

- **c. LEI:** 2U04QLKKFWRJC7CSOX80

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000038751                                | PHYTX                        |
|                           2 | R-6                     | C000175488                                | PHYFX                        |
|                           3 | Class A                 | C000038748                                | CPHYX                        |
|                           4 | Class C                 | C000038750                                | CCHIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $11,485,420.08

- **g. Provide the net income from securities lending activities:** $186,884.35

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** LANDSBANKINN HF.

- **ii. LEI, if any:** 549300TLZPT6JELDWM92

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 8**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 9**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $243,569,094.29           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $233,134,297.73           |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $62,224,078.15            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $254,120,857.08           |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $91,765,981.03            |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $92,319,778.94            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $134,904,601.47           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $283,803,299.25           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $73,630,917.00            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $62,713,395.49            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,786,124,213.52

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,491,401,844.12

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 23 - Principal LifeTime Hybrid 2015 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2015 Fund

- **b. Series identification number, if any:** S000046556

- **c. LEI:** 54930088C6V7OPBVZ350

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145311                                | PHTMX                        |
|                           2 | R-6                     | C000159887                                | PLRRX                        |
|                           3 | Class J                 | C000199318                                | PHJMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $111,507,657.45

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $151,255,694.46

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Growth Account                            | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| MidCap Account                                        | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 24 - Principal LifeTime Hybrid 2025 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2025 Fund

- **b. Series identification number, if any:** S000046558

- **c. LEI:** 549300OOALE400Z3J597

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159889                                | PLFTX                        |
|                           2 | Institutional           | C000145317                                | PHTQX                        |
|                           3 | Class J                 | C000199320                                | PHJQX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $290,408,093.96

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $508,756,747.65

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| High Yield Fund                                       | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 25 - Principal Capital Appreciation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal Capital Appreciation Fund

- **b. Series identification number, if any:** S000014238

- **c. LEI:** 549300488LDV833BXR20

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000085758                                | PCAMX                        |
|                           2 | Class A                 | C000038737                                | CMNWX                        |
|                           3 | R-5                     | C000085762                                | PCAQX                        |
|                           4 | R-3                     | C000085760                                | PCAOX                        |
|                           5 | Class C                 | C000038739                                | CMNCX                        |
|                           6 | R-4                     | C000085761                                | PCAPX                        |
|                           7 | Institutional           | C000038740                                | PWCIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,057,611.87

- **g. Provide the net income from securities lending activities:** $21,527.54

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $83,052.26

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $166,951.93

**Brokers Record: 3**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,285.62

**Brokers Record: 4**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $43,666.48

**Brokers Record: 5**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $125,763.78

**Brokers Record: 6**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $93,848.32

**Brokers Record: 7**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $35,372.41

**Brokers Record: 8**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $31,512.21

**Brokers Record: 9**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $43,667.48

**Brokers Record: 10**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $38,197.56

**Aggregate Commission:** $1,257,461.29

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $0.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,077,964,214.21

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 26 - International Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** International Fund I

- **b. Series identification number, if any:** S000007083

- **c. LEI:** 549300O1DA1JNC6UVF17

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000019375                                | PPISX                        |
|                           2 | Institutional           | C000019376                                | PINIX                        |
|                           3 | R-5                     | C000019373                                | PTPPX                        |
|                           4 | R-4                     | C000019374                                | PUPPX                        |
|                           5 | R-3                     | C000019372                                | PRPPX                        |
|                           6 | R-6                     | C000175484                                | PIIDX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,074,995.07

- **g. Provide the net income from securities lending activities:** $37,287.18

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Origin Asset Management LLP

- **ii. SEC file number:** 801-67539

- **iii. CRD number:** 000139897

- **iv. LEI, if any:** GN8B7725DRX9FQ8TBR27

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vi. Foreign country, if applicable:** GB

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 8**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** HSBC SAUDI ARABIA LIMITED

- **ii. LEI, if any:** 2138009S6SHV5GLS7987

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DOHA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** HSBC HK SC MODEL SPSA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DUBAI

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 37**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** ZAO CITIBANK, MOSCOW

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** CITIBANK MAGHREB

- **ii. LEI, if any:** 5493003FVWLMBFTISI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $49,854.74

**Brokers Record: 2**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $88,818.45

**Aggregate Commission:** $138,673.19

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $243,768.35

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $307,848,984.43

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 27 - MidCap Growth Fund III

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Growth Fund III

- **b. Series identification number, if any:** S000007125

- **c. LEI:** 549300GHS4DWMKDWYG64

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019482                                | PPQPX                        |
|                           2 | Institutional           | C000019484                                | PPIMX                        |
|                           3 | Class J                 | C000019485                                | PPQJX                        |
|                           4 | R-4                     | C000019483                                | PPQSX                        |
|                           5 | R-3                     | C000019481                                | PPQMX                        |
|                           6 | R-1                     | C000019479                                | PHASX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,777,882.51

- **g. Provide the net income from securities lending activities:** $52,662.17

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 17e-1 (17 CFR 270.17e-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Robert W. Baird & Co. Incorporated

- **ii. SEC file number:** 801-7571

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Eagle Asset Management Inc

- **ii. SEC file number:** 801-21343

- **iii. CRD number:** 000110653

- **iv. LEI, if any:** 254900014X4G6Q0SPF80

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** RAYMOND JAMES & ASSOCIATES

- **b. SEC file number:** 8-10999

- **c. CRD number:** 000000705

- **d. LEI, if any:** U4ONQX15J3RO8XCKE979

- **e. State, if applicable:** FL

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $8,249.60

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BLAIR WILLIAM AND COMPANY

- **ii. SEC file number:** 8-2698

- **iii. CRD number:** 000001252

- **iv. LEI, if any:** 549300J0P7XYE8BMZ775

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $18,255.98

**Brokers Record: 2**

- **i. Full name of broker:** EVERCORE PARTNERS

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $15,192.39

**Brokers Record: 3**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,046.18

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $21,310.41

**Brokers Record: 5**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,880.80

**Brokers Record: 6**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,077.87

**Brokers Record: 7**

- **i. Full name of broker:** STEPHENS INC.

- **ii. SEC file number:** 8-1927

- **iii. CRD number:** 000003496

- **iv. LEI, if any:** 213800LH6T9XDYZCA534

- **v. State, if applicable:** AR

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,120.20

**Brokers Record: 8**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,985.52

**Brokers Record: 9**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $12,180.69

**Brokers Record: 10**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,513.44

**Aggregate Commission:** $276,555.44

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| M3 CAPITAL PARTNERS        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $121,688.52               |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $226,650.61               |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $7,122,329.15             |
| BARCLAYS CAPITAL INC.      | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $3,216,602.00             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $15,289,123.37

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,120,326,545.11

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 28 - LargeCap Value Fund III

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap Value Fund III

- **b. Series identification number, if any:** S000007122

- **c. LEI:** 549300P5E4OK1XZWQO33

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019463                                | PLVIX                        |
|                           2 | R-4                     | C000019462                                | PPSSX                        |
|                           3 | Class J                 | C000019464                                | PLVJX                        |
|                           4 | R-3                     | C000019460                                | PPSFX                        |
|                           5 | R-5                     | C000019461                                | PPSRX                        |
|                           6 | R-1                     | C000019458                                | PESAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,206,444.09

- **g. Provide the net income from securities lending activities:** $35,726.82

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Westwood Management Corp

- **ii. SEC file number:** 801-18727

- **iii. CRD number:** 000110269

- **iv. LEI, if any:** 5493007KT04ZMBGVOW11

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Barrow, Hanley, Mewhinney & Strauss, LLC

- **ii. SEC file number:** 801-31237

- **iii. CRD number:** 000105519

- **iv. LEI, if any:** 213800XRVTFKWDGW6Y09

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $96,280.35

**Brokers Record: 2**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,826.74

**Brokers Record: 3**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $86,289.73

**Brokers Record: 4**

- **i. Full name of broker:** WOLFE TRAHAN & CO

- **ii. SEC file number:** 8-68406

- **iii. CRD number:** 000151850

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $54,418.56

**Brokers Record: 5**

- **i. Full name of broker:** NORTHERN TRUST SECURITIES

- **ii. SEC file number:** 8-23689

- **iii. CRD number:** 000007927

- **iv. LEI, if any:** 3CHSO99JSPHD9HGNYJ46

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $517,887.10

**Brokers Record: 6**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $78,807.51

**Brokers Record: 7**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $23,458.77

**Brokers Record: 8**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $15,189.41

**Brokers Record: 9**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,137.60

**Brokers Record: 10**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $22,291.29

**Aggregate Commission:** $993,906.76

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| M3 CAPITAL PARTNERS        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $69,436.77                |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $4,070,619.17             |
| J.P. MORGAN SECURITIES LLC | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $4,165,200.00             |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $374,030.06               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $9,780,459.68

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,235,893,948.05

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Emerging Markets Account                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 29 - LargeCap Growth Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap Growth Fund I

- **b. Series identification number, if any:** S000007077

- **c. LEI:** 5493005TWCHTR0PO8C36

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000019333                                | PLGAX                        |
|                           2 | R-1                     | C000019326                                | PCRSX                        |
|                           3 | Class J                 | C000019332                                | PLGJX                        |
|                           4 | R-4                     | C000019330                                | PPUSX                        |
|                           5 | R-5                     | C000019329                                | PPUPX                        |
|                           6 | Institutional           | C000019331                                | PLGIX                        |
|                           7 | R-6                     | C000149257                                | PLCGX                        |
|                           8 | R-3                     | C000019328                                | PPUMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $37,801,793.98

- **g. Provide the net income from securities lending activities:** $339,995.66

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** T. Rowe Price Associates, Inc.

- **ii. SEC file number:** 801-856

- **iii. CRD number:** 000105496

- **iv. LEI, if any:** 7HTL8AEQSEDX602FBU63

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Brown Advisory, LLC

- **ii. SEC file number:** 801-38826

- **iii. CRD number:** 000110181

- **iv. LEI, if any:** 549300KMFGGW36I79D06

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,093.09

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $90,354.59

**Brokers Record: 3**

- **i. Full name of broker:** EVERCORE PARTNERS

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $40,051.82

**Brokers Record: 4**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. State, if applicable:** WI

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $64,402.56

**Brokers Record: 5**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $90,129.24

**Brokers Record: 6**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $87,842.89

**Brokers Record: 7**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,543.94

**Brokers Record: 8**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $89,720.98

**Brokers Record: 9**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $104,212.08

**Brokers Record: 10**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $36,915.01

**Aggregate Commission:** $969,004.72

**Item C.17.a. Principal transaction counterparties.**

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| M3 CAPITAL PARTNERS                   | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $195,189.32               |
| STATE STREET FINANCIAL GLOBAL MARKETS | 8-69862           |    000285852 | 549300FDEDF5ORXCMQ56 | MA      | US        | $9,662,818.20             |
| GOLDMAN SACHS CO.                     | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $11,236,525.77            |
| MORGAN STANLEY & CO. LLC.             | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $54,779,240.65            |
| VIRTU FINANCIAL LLC                   | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $436,016.21               |
| J.P. MORGAN SECURITIES LLC            | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $20,396,471.92            |
| WELLS FARGO SECURITIES LLC            | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $372,006.55               |
| CREDIT SUISSE GROUP                   | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $7,514,974.37             |
| C L KING & ASSOC.                     | 8-17025           |    000006183 | 549300LY7AXPXQMUO474 | NY      | US        | $7,656,132.83             |
| CITIGROUP GLOBAL MARKETS              | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $3,067,200.00             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $116,949,893.58

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $11,504,733,533.21

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 30 - Core Fixed Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Core Fixed Income Fund

- **b. Series identification number, if any:** S000014242

- **c. LEI:** 2K6IF9KYA1Q08XNZVZ48

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000038755                                | PIOIX                        |
|                           2 | R-6                     | C000149261                                | PICNX                        |
|                           3 | R-5                     | C000085768                                | PIOQX                        |
|                           4 | Class A                 | C000038752                                | CMPIX                        |
|                           5 | Class J                 | C000080382                                | PIOJX                        |
|                           6 | R-1                     | C000085769                                | PIOMX                        |
|                           7 | Class C                 | C000038754                                | CNMCX                        |
|                           8 | R-4                     | C000085772                                | PIOPX                        |
|                           9 | R-3                     | C000085771                                | PIOOX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $12,899,264.86

- **g. Provide the net income from securities lending activities:** $68,536.18

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 4**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $169.45

**Brokers Record: 2**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $335.44

**Brokers Record: 3**

- **i. Full name of broker:** GUZMAN & COMPANY

- **ii. SEC file number:** 8-38646

- **iii. CRD number:** 000021013

- **iv. LEI, if any:** 549300E7R8O8EHE8SN83

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16.16

**Brokers Record: 4**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $20.77

**Brokers Record: 5**

- **i. Full name of broker:** STATE STREET FINANCIAL GLOBAL MARKETS

- **ii. SEC file number:** 8-69862

- **iii. CRD number:** 000285852

- **iv. LEI, if any:** 549300FDEDF5ORXCMQ56

- **v. State, if applicable:** MA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $974.34

**Aggregate Commission:** $1,516.16

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $90,071,487.04            |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $243,455,928.80           |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $90,461,850.00            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $136,489,318.96           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $241,446,877.99           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $333,412,229.58           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $289,327,367.04           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $126,570,704.29           |
| HSBC SECURITIES INC.                | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $231,991,406.26           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $174,129,687.50           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,447,948,152.92

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $9,944,790,438.72

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 31 - California Municipal Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** California Municipal Fund

- **b. Series identification number, if any:** S000014232

- **c. LEI:** 549300TB8YHKFT7I8G29

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038717                                | SRCCX                        |
|                           2 | Institutional           | C000153061                                | PCMFX                        |
|                           3 | Class A                 | C000038715                                | SRCMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,587.10

**Aggregate Commission:** $1,587.10

**Item C.17.a. Principal transaction counterparties.**

| Name                          | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| WELLS FARGO SECURITIES LLC    | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $53,028,000.00            |
| BARCLAYS CAPITAL INC.         | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $78,977,093.00            |
| J.P. MORGAN SECURITIES LLC    | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $86,736,133.05            |
| INCAPITAL LLC                 | 8-52081           |    000101420 | 254900XF92VANF1UCI97 | IL      | US        | $43,579,554.75            |
| RBC DOMINION SECURITIES CORP. | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $20,501,296.50            |
| MORGAN STANLEY & CO. LLC.     | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $42,516,673.15            |
| ROBERT W. BAIRD  & CO.        | 8-497             |    000008158 | 549300772UJAHRD6LO53 | WI      | US        | $28,316,208.35            |
| SAMUEL A. RAMIREZ & CO. INC.  | 8-19014           |    000006963 | 254900CBKVW7O2ENQA21 | NY      | US        | $19,919,537.50            |
| JANNEY MONTGOMERY SCOTT INC.  | 8-462             |    000000463 | 549300QQRY1JCFQHYS08 | PA      | US        | $37,005,354.55            |
| CITIGROUP GLOBAL MARKETS      | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $44,779,916.50            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $559,680,555.10

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $632,774,956.13

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 32 - Overseas Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Overseas Fund

- **b. Series identification number, if any:** S000023512

- **c. LEI:** M8LPS0WBNG35BUE1BV52

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000111522                                | PINUX                        |
|                           2 | R-3                     | C000111521                                | PINTX                        |
|                           3 | R-1                     | C000111519                                | PINQX                        |
|                           4 | Institutional           | C000069149                                | PINZX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $35,089,683.08

- **g. Provide the net income from securities lending activities:** $400,467.62

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Causeway Capital Management LLC

- **ii. SEC file number:** 801-60343

- **iii. CRD number:** 000113308

- **iv. LEI, if any:** 5493008B4M4EF3B5X872

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Barrow, Hanley, Mewhinney & Strauss, LLC

- **ii. SEC file number:** 801-31237

- **iii. CRD number:** 000105519

- **iv. LEI, if any:** 213800XRVTFKWDGW6Y09

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** HSBC HK SC MODEL SPSA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** HSBC SHENZHEN

- **ii. LEI, if any:** 213800H3TEBTFHD5JR69

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** CITIBANK MAGHREB

- **ii. LEI, if any:** 5493003FVWLMBFTISI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 44**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** HSBC SHANGHAI

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 53**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $166,110.07

**Brokers Record: 2**

- **i. Full name of broker:** BERENBERG BANK

- **ii. SEC file number:** 8-68821

- **iii. CRD number:** 000156757

- **iv. LEI, if any:** 5493007EG0CYRKKG9L11

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $144,428.00

**Brokers Record: 3**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $264,564.15

**Brokers Record: 4**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $72,592.26

**Brokers Record: 5**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $155,494.23

**Brokers Record: 6**

- **i. Full name of broker:** CLSA SECURITIES

- **ii. SEC file number:** 8-69166

- **iii. CRD number:** 000165533

- **iv. LEI, if any:** 213800EN6XZANR1AFE93

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $100,352.90

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $254,157.37

**Brokers Record: 8**

- **i. Full name of broker:** HSBC SECURITIES INC.

- **ii. SEC file number:** 8-41562

- **iii. CRD number:** 000019585

- **iv. LEI, if any:** CYYGQCGNHMHPSMRL3R97

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $118,140.39

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $170,366.46

**Brokers Record: 10**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $123,815.99

**Aggregate Commission:** $2,161,059.21

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $5,299,146.37             |
| HSBC SECURITIES INC.       | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $0.00                     |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $517,295.69               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $6,664,693.09

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,186,573,340.75

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 33 - Tax-Exempt Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Tax-Exempt Bond Fund

- **b. Series identification number, if any:** S000014237

- **c. LEI:** 6BYFT28JGHOUTUDNKO44

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038736                                | PTBCX                        |
|                           2 | Class A                 | C000038734                                | PTEAX                        |
|                           3 | Institutional           | C000158782                                | PITEX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,664.37

**Aggregate Commission:** $8,664.37

**Item C.17.a. Principal transaction counterparties.**

| Name                            | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CITIGROUP GLOBAL MARKETS        | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $55,799,175.23            |
| JEFFERIES & COMPANY             | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $48,369,534.40            |
| ROBERT W. BAIRD  & CO.          | 8-497             |    000008158 | 549300772UJAHRD6LO53 | WI      | US        | $29,624,226.70            |
| J.P. MORGAN SECURITIES LLC      | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $93,694,203.75            |
| WELLS FARGO SECURITIES LLC      | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $80,257,433.10            |
| RBC DOMINION SECURITIES CORP.   | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $31,377,694.15            |
| PNC (PITTSBURGH NATIONAL CORP.) | 8-66195           |    000129052 | CFGNEKW0P8842LEUIA51 | PA      | US        | $39,470,824.50            |
| BARCLAYS CAPITAL INC.           | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $54,636,289.47            |
| JANNEY MONTGOMERY SCOTT INC.    | 8-462             |    000000463 | 549300QQRY1JCFQHYS08 | PA      | US        | $222,944,518.15           |
| FIFTH THIRD SECURITIES INC.     | 8-2428            |    000000628 | 5493003IMO3TYX51WE43 | OH      | US        | $35,235,000.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $859,902,990.57

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $734,903,395.32

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| International Fund I                                  | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 34 - Short-Term Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Short-Term Income Fund

- **b. Series identification number, if any:** S000014245

- **c. LEI:** IJOCWVJG326LDFE5SJ51

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000090498                                | PSIQX                        |
|                           2 | R-3                     | C000090496                                | PSIOX                        |
|                           3 | Institutional           | C000038767                                | PSHIX                        |
|                           4 | R-4                     | C000090497                                | PSIPX                        |
|                           5 | R-1                     | C000090494                                | PSIMX                        |
|                           6 | Class J                 | C000090493                                | PSJIX                        |
|                           7 | Class C                 | C000038766                                | STCCX                        |
|                           8 | Class A                 | C000038764                                | SRHQX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $2,395,143.02

- **g. Provide the net income from securities lending activities:** $6,950.55

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $219,045,401.21           |
| TD BANK FINANCIAL GROUP             | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $145,912,242.18           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $228,445,783.16           |
| DEUTSCHE BANK SECURITIES CORP.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $109,941,946.16           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $190,842,803.15           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $167,615,353.47           |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $149,935,790.16           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $344,656,517.26           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $102,735,523.45           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $197,230,110.22           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,260,556,134.70

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,674,201,984.83

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Core Plus Bond Fund                                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 35 - Global Emerging Markets Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Global Emerging Markets Fund

- **b. Series identification number, if any:** S000007013

- **c. LEI:** 5493005LRWTRDOOFXF24

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019145                                | PIEJX                        |
|                           2 | R-6                     | C000175481                                | PIIMX                        |
|                           3 | R-3                     | C000019140                                | PEAPX                        |
|                           4 | R-4                     | C000019141                                | PESSX                        |
|                           5 | Institutional           | C000019144                                | PIEIX                        |
|                           6 | R-5                     | C000019142                                | PEPSX                        |
|                           7 | R-1                     | C000019143                                | PIXEX                        |
|                           8 | Class A                 | C000019146                                | PRIAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $853,014.08

- **g. Provide the net income from securities lending activities:** $11,718.72

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** HSBC BANK MIDDLE EAST, KUWAIT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 8**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** DEUTSCHE BANK AG (LDN)

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** UNION INTERNATIONALE DE BANQUES

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** HSBC BANK BERMUDA LIMITED, HAMILTON

- **ii. LEI, if any:** 0W1U67PTV5WY3WYWKD79

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** CCB A SHARE MARKET

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 18**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DUBAI

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** PRIVREDNA BANKA ZAGREB D.D., ZAGREB

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** BANCO ITAU URUGUAY S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** DEUTSCHE BANK AG KARACHI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** HSBC SAUDI ARABIA LIMITED

- **ii. LEI, if any:** 2138009S6SHV5GLS7987

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** HSBC SHENZHEN

- **ii. LEI, if any:** 213800H3TEBTFHD5JR69

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** STANDARD CHARTERED BANK, JORDAN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** CITIBANK MAGHREB

- **ii. LEI, if any:** 5493003FVWLMBFTISI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** HSBC SHANGHAI

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** HSBC SHANGHAI-HONG KONG STOCK CONNECT SPSA

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 54**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 55**

- **i. Full name:** CITIBANK EUROPE PLC, ROMANIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 56**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 57**

- **i. Full name:** CITIBANK EUROPE PLC, BULGARIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 58**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DOHA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 59**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 60**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 61**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 62**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 63**

- **i. Full name:** HONGKONG AND SHANGAI BANKING CORPORATION, VIETNAM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 64**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 65**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $12,935.89

**Brokers Record: 2**

- **i. Full name of broker:** M3 CAPITAL PARTNERS

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,761.57

**Brokers Record: 3**

- **i. Full name of broker:** HSBC SECURITIES INC.

- **ii. SEC file number:** 8-41562

- **iii. CRD number:** 000019585

- **iv. LEI, if any:** CYYGQCGNHMHPSMRL3R97

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,744.49

**Brokers Record: 4**

- **i. Full name of broker:** BTG PACTUAL

- **ii. SEC file number:** 8-68148

- **iii. CRD number:** 000149486

- **iv. LEI, if any:** ZXLTQRYIK6IJH3R0IK66

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,632.64

**Brokers Record: 5**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,896.65

**Brokers Record: 6**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $15,847.83

**Brokers Record: 7**

- **i. Full name of broker:** CLSA AMERICAS LLC

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 969500TJ5KRTCJQWXH05

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,176.37

**Brokers Record: 8**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,922.46

**Brokers Record: 9**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,720.36

**Brokers Record: 10**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,457.00

**Aggregate Commission:** $160,352.66

**Item C.17.a. Principal transaction counterparties.**

| Name              | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO. | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $521,355.00               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $600,985.79

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $247,103,470.89

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 36 - Principal LifeTime Hybrid Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid Income Fund

- **b. Series identification number, if any:** S000046553

- **c. LEI:** 5493000CIRETGKIW5645

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000199315                                | PHJFX                        |
|                           2 | R-6                     | C000159884                                | PLTYX                        |
|                           3 | Institutional           | C000145302                                | PHTFX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $76,497,264.78

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $88,571,565.14

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| International Fund I                                  | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 37 - MidCap Value Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Value Fund I

- **b. Series identification number, if any:** S000007173

- **c. LEI:** 549300O90I046TGIJV51

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019615                                | PABVX                        |
|                           2 | R-3                     | C000019614                                | PMPRX                        |
|                           3 | Class A                 | C000210674                                | PCMVX                        |
|                           4 | Class J                 | C000076718                                | PVEJX                        |
|                           5 | Institutional           | C000019618                                | PVMIX                        |
|                           6 | R-6                     | C000210675                                | PCMSX                        |
|                           7 | R-4                     | C000019616                                | PABWX                        |
|                           8 | R-1                     | C000019617                                | PLASX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $2,875,590.28

- **g. Provide the net income from securities lending activities:** $97,685.24

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Victory Capital Management Inc.

- **ii. SEC file number:** 801-46878

- **iii. CRD number:** 000106189

- **iv. LEI, if any:** 549300YNO08S1SH3I683

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Los Angeles Capital Management LLC

- **ii. SEC file number:** 801-60934

- **iii. CRD number:** 000119033

- **iv. LEI, if any:** 549300DZCL1LRBNVU327

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $40,968.44

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $44,076.49

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $44,034.45

**Brokers Record: 4**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $82,834.33

**Brokers Record: 5**

- **i. Full name of broker:** KEYBANC CAPITAL MARKETS

- **ii. SEC file number:** 8-30177

- **iii. CRD number:** 000000566

- **iv. LEI, if any:** 2EQWV0180Z211YVAD813

- **v. State, if applicable:** OH

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $111,027.24

**Brokers Record: 6**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $51,981.85

**Brokers Record: 7**

- **i. Full name of broker:** ACCESS SECURITIES INC.

- **ii. SEC file number:** 8-39729

- **iii. CRD number:** 000022455

- **iv. LEI, if any:** 2549007UD4DGNW84BE02

- **v. State, if applicable:** CT

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $144,200.68

**Brokers Record: 8**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $262,290.37

**Brokers Record: 9**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. State, if applicable:** WI

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $77,026.40

**Brokers Record: 10**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $98,871.66

**Aggregate Commission:** $1,398,096.30

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| M3 CAPITAL PARTNERS        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $175,217.54               |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $10,078,334.91            |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $722,805.53               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $78,093,363.60

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,457,638,295.67

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| International Fund I                                  | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 38 - SmallCap Growth Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Growth Fund I

- **b. Series identification number, if any:** S000007175

- **c. LEI:** 5493004U8OWJ0X12E116

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019630                                | PGRTX                        |
|                           2 | R-1                     | C000019625                                | PNASX                        |
|                           3 | R-3                     | C000019627                                | PPNMX                        |
|                           4 | Class J                 | C000019631                                | PSIJX                        |
|                           5 | R-5                     | C000019628                                | PPNPX                        |
|                           6 | R-6                     | C000149260                                | PCSMX                        |
|                           7 | R-4                     | C000019629                                | PPNSX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $37,770,591.74

- **g. Provide the net income from securities lending activities:** $896,713.19

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Brown Advisory LLC

- **ii. SEC file number:** 801-38826

- **iii. CRD number:** 000110181

- **iv. LEI, if any:** 549300KMFGGW36I79D06

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Emerald Advisors Inc

- **ii. SEC file number:** 801-40263

- **iii. CRD number:** 000107496

- **iv. LEI, if any:** N/A

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 3**

- **i. Full name:** AllianceBernstein L.P.

- **ii. SEC file number:** 801-32361

- **iii. CRD number:** 000106998

- **iv. LEI, if any:** 0JK55UGWSWNF3X7KLQ85

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** RBC DOMINION SECURITIES CORP.

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $95,200.52

**Brokers Record: 2**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $150,291.04

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $81,216.97

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $224,322.85

**Brokers Record: 5**

- **i. Full name of broker:** BLOOMBERG TRADEBOOK

- **ii. SEC file number:** 8-49219

- **iii. CRD number:** 000040881

- **iv. LEI, if any:** 549300P0PVQNO43T7K36

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $66,755.43

**Brokers Record: 6**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $81,529.12

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $67,956.03

**Brokers Record: 8**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $108,884.14

**Brokers Record: 9**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $65,484.14

**Brokers Record: 10**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $66,431.77

**Aggregate Commission:** $1,488,069.65

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $244,383.22               |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $5,885,229.56             |
| KEEFE BRUYETTE & WOODS              | 8-10888           |    000000481 | 549300OM47DQV01G4854 | NY      | US        | $190,551.90               |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $3,720,006.00             |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $18,639,806.05            |
| GUGGENHEIM PARTNERS LLC             | 8-49107           |    000040638 | 549300GOPVLTY8C8IN16 | NY      | US        | $1,066,650.00             |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $3,265,656.00             |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $3,739,616.25             |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $6,047.01                 |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $10,322,358.61            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $85,427,407.39

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,509,592,577.80

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 39 - SAM Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Balanced Portfolio

- **b. Series identification number, if any:** S000014246

- **c. LEI:** 549300S8O6Z9WO7ZQ889

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000039363                                | PSBLX                        |
|                           2 | Class J                 | C000039365                                | PSAJX                        |
|                           3 | Institutional           | C000038771                                | PSBIX                        |
|                           4 | R-1                     | C000039362                                | PSBGX                        |
|                           5 | R-5                     | C000039364                                | PSBFX                        |
|                           6 | R-3                     | C000039361                                | PBAPX                        |
|                           7 | Class A                 | C000038768                                | SABPX                        |
|                           8 | Class C                 | C000038770                                | SCBPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,172.18

**Brokers Record: 2**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $33,830.00

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,086.09

**Brokers Record: 4**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $96,780.00

**Brokers Record: 5**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,086.09

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,172.18

**Brokers Record: 7**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,169.75

**Brokers Record: 8**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,660.00

**Brokers Record: 9**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,790.00

**Brokers Record: 10**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,086.09

**Aggregate Commission:** $181,918.47

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,675,968,216.17

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $4,507,406,562.58

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Income Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 40 - Principal LifeTime 2030 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2030 Fund

- **b. Series identification number, if any:** S000007208

- **c. LEI:** 549300PUV02156LIOH84

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000019749                                | PXASX                        |
|                           2 | Institutional           | C000019754                                | PMTIX                        |
|                           3 | R-5                     | C000019752                                | PTCPX                        |
|                           4 | Class J                 | C000019755                                | PLTJX                        |
|                           5 | Class A                 | C000019756                                | PTCAX                        |
|                           6 | R-4                     | C000019753                                | PTCSX                        |
|                           7 | R-3                     | C000019751                                | PTCMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,587,375,999.77

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $5,665,885,017.87

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 41 - Principal LifeTime Hybrid 2040 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2040 Fund

- **b. Series identification number, if any:** S000046561

- **c. LEI:** 549300HVNMFXPLESEP22

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145326                                | PLTQX                        |
|                           2 | R-6                     | C000159892                                | PLMTX                        |
|                           3 | Class J                 | C000199323                                | PHJEX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $223,195,864.83

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $382,747,799.80

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Fund                                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 42 - Principal LifeTime 2035 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2035 Fund

- **b. Series identification number, if any:** S000022105

- **c. LEI:** 549300OUTLHKNTUQEQ44

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000063439                                | LTIUX                        |
|                           2 | R-3                     | C000063435                                | LTAOX                        |
|                           3 | R-4                     | C000063438                                | LTSEX                        |
|                           4 | R-5                     | C000063437                                | LTPEX                        |
|                           5 | R-1                     | C000063436                                | LTANX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $900,418,265.73

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,632,712,466.53

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Capital Securities Fund                               | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| International Fund I                                  | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 43 - Equity Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Equity Income Fund

- **b. Series identification number, if any:** S000014240

- **c. LEI:** 549300LK1BTIDFAOW136

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000085767                                | PEIQX                        |
|                           2 | Class J                 | C000204702                                | PEIJX                        |
|                           3 | Institutional           | C000038747                                | PEIIX                        |
|                           4 | Class A                 | C000038744                                | PQIAX                        |
|                           5 | R-1                     | C000085763                                | PIEMX                        |
|                           6 | R-4                     | C000085766                                | PEIPX                        |
|                           7 | R-3                     | C000085765                                | PEIOX                        |
|                           8 | Class C                 | C000038746                                | PEUCX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $27,160,824.96

- **g. Provide the net income from securities lending activities:** $604,264.47

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 4**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $69,870.63

**Brokers Record: 2**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $127,743.75

**Brokers Record: 3**

- **i. Full name of broker:** STONEX GROUP

- **ii. SEC file number:** 8-51269

- **iii. CRD number:** 000045993

- **iv. LEI, if any:** 549300LNKU6K5TJCRG93

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $64,604.26

**Brokers Record: 4**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $152,238.35

**Brokers Record: 5**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $106,768.84

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $66,235.07

**Brokers Record: 7**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $238,108.75

**Brokers Record: 8**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $158,453.07

**Brokers Record: 9**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $161,721.05

**Brokers Record: 10**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $139,221.63

**Aggregate Commission:** $1,806,331.43

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $0.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $9,900,652,005.93

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 44 - Principal LifeTime 2055 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2055 Fund

- **b. Series identification number, if any:** S000022107

- **c. LEI:** 549300PUZ2TR10G3XL72

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000063449                                | LTFPX                        |
|                           2 | R-1                     | C000063448                                | LTFGX                        |
|                           3 | R-3                     | C000063447                                | LTFDX                        |
|                           4 | R-4                     | C000063450                                | LTFLX                        |
|                           5 | Institutional           | C000063451                                | LTFIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $508,168,451.74

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $737,219,740.84

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 45 - SmallCap S&P 600 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap S&P 600 Index Fund

- **b. Series identification number, if any:** S000007203

- **c. LEI:** 549300B1ZF0B4X7VPP69

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019719                                | PSSIX                        |
|                           2 | R-3                     | C000019716                                | PSSMX                        |
|                           3 | R-5                     | C000019717                                | PSSPX                        |
|                           4 | Class J                 | C000019720                                | PSSJX                        |
|                           5 | R-1                     | C000019714                                | PSAPX                        |
|                           6 | R-4                     | C000019718                                | PSSSX                        |
|                           7 | R-6                     | C000175485                                | PSPIX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $5,376,918.78

- **g. Provide the net income from securities lending activities:** $94,581.36

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,519.18

**Brokers Record: 2**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,594.86

**Brokers Record: 3**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,659.11

**Brokers Record: 4**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,663.28

**Brokers Record: 5**

- **i. Full name of broker:** OPPENHEIMER & CO.

- **ii. SEC file number:** 8-4077

- **iii. CRD number:** 000000249

- **iv. LEI, if any:** 254900VH02JQR2L8XD64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,018.68

**Brokers Record: 6**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,991.88

**Brokers Record: 7**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $18,412.84

**Brokers Record: 8**

- **i. Full name of broker:** WELLS FARGO SECURITIES LLC

- **ii. SEC file number:** 8-65876

- **iii. CRD number:** 000126292

- **iv. LEI, if any:** VYVVCKR63DVZZN70PB21

- **v. State, if applicable:** NC

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,380.72

**Brokers Record: 9**

- **i. Full name of broker:** TELSEY ADVISORY GROUP

- **ii. SEC file number:** 8-67988

- **iii. CRD number:** 000148234

- **iv. LEI, if any:** 54930080BFVVEZCZGF48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,787.58

**Brokers Record: 10**

- **i. Full name of broker:** CABRERA CAPITAL MARKETS

- **ii. SEC file number:** 8-26406

- **iii. CRD number:** 000010081

- **iv. LEI, if any:** 254900BIRJU76JRBK985

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,400.93

**Aggregate Commission:** $81,993.93

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $74,022,750.72            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $9,920,770.98             |
| M3 CAPITAL PARTNERS                 | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $34,702,216.67            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $14,658,993.77            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $43,372,803.76            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $117,471,939.02           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $336,293,573.70

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,251,090,386.61

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 46 - Diversified Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Income Fund

- **b. Series identification number, if any:** S000024296

- **c. LEI:** Z3JN35WE26MM2N5JM972

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000071808                                | PGDCX                        |
|                           2 | Class A                 | C000071807                                | PGBAX                        |
|                           3 | Institutional           | C000071805                                | PGDIX                        |
|                           4 | R-6                     | C000190075                                | PGBLX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $33,581,910.76

- **g. Provide the net income from securities lending activities:** $442,448.33

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 17e-1 (17 CFR 270.17e-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 17a-7 (17 CFR 270.17a-7)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Post Advisory Group, LLC

- **ii. SEC file number:** 801-57939

- **iii. CRD number:** 000108860

- **iv. LEI, if any:** T3HHYF0JECXJONZVPI19

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Nuveen Asset Management, LLC

- **ii. SEC file number:** 801-71957

- **iii. CRD number:** 000155584

- **iv. LEI, if any:** 549300W218VXB0L5EY14

- **v. Is the sub-adviser an affiliated person?:** No

**Sub-adviser Record: 3**

- **i. Full name:** PineBridge Investments, LLC

- **ii. SEC file number:** 801-18759

- **iii. CRD number:** 000105926

- **iv. LEI, if any:** CLDVY8VY4GNT81Q4VM57

- **v. Is the sub-adviser an affiliated person?:** No

**Sub-adviser Record: 4**

- **i. Full name:** Spectrum Asset Management, Inc.

- **ii. SEC file number:** 801-30405

- **iii. CRD number:** 000018217

- **iv. LEI, if any:** WARIMFOO2Y13MJ7LNX31

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 5**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 6**

- **i. Full name:** Polen Capital Credit, LLC

- **ii. SEC file number:** 801-55001

- **iii. CRD number:** 000108468

- **iv. LEI, if any:** 549300ZLX14T3RGX6L55

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 7**

- **i. Full name:** MetLife Investment Management, LLC

- **ii. SEC file number:** 801-67314

- **iii. CRD number:** 000142463

- **iv. LEI, if any:** EAUO72Q8FCR1S0XGYJ21

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** HSBC HK BOND CONNECT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** CITIBANK EUROPE PLC, ROMANIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 14**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** BANCO DE CHILE

- **ii. LEI, if any:** 8B4EZFY8IHJC44TT2K84

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** UNICREDIT BANK SERBIA JSC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** HSBC BANK BERMUDA LIMITED, HAMILTON

- **ii. LEI, if any:** 0W1U67PTV5WY3WYWKD79

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** CFC STANBIC BANK LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** STANBIC BANK GHANA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 41**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** ZAO CITIBANK, MOSCOW

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** BANCO ITAU URUGUAY S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** STANBIC IBTC BANK PLC, LAGOS

- **ii. LEI, if any:** 549300NIVXF92ZIOVW61

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** STANBIC BANK ZAMBIA LTD.

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 54**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 55**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 56**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 57**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** SAMI BROKERAGE LLC

- **b. SEC file number:** 8-36472

- **c. CRD number:** 000018217

- **d. LEI, if any:** N/A

- **e. State, if applicable:** CT

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $10,719.42

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,121.09

**Brokers Record: 2**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $35,697.30

**Brokers Record: 3**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $14,430.71

**Brokers Record: 4**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $22,802.65

**Brokers Record: 5**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $36,559.27

**Brokers Record: 6**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $72,522.06

**Brokers Record: 7**

- **i. Full name of broker:** KNIGHT CAPITAL GROUP INC.

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $20,093.94

**Brokers Record: 8**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $29,839.60

**Brokers Record: 9**

- **i. Full name of broker:** CLSA AMERICAS LLC

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 969500TJ5KRTCJQWXH05

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $29,467.40

**Brokers Record: 10**

- **i. Full name of broker:** M3 CAPITAL PARTNERS

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $30,668.59

**Aggregate Commission:** $547,346.37

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $194,342,008.01           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $358,440,387.28           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $296,975,982.27           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $249,679,276.23           |
| BANCAMERICA SECURITIES INC.         | 8-35968           |    000017977 | N/A                  | CA      | US        | $124,505,773.24           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $384,784,698.52           |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $208,749,401.04           |
| DEUTSCHE BANK SECURITIES CORP.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $149,165,092.43           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $334,331,230.00           |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $135,119,214.42           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $4,091,503,002.70

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,871,522,016.06

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 47 - Principal LifeTime Hybrid 2035 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2035 Fund

- **b. Series identification number, if any:** S000046560

- **c. LEI:** 549300HTTM409VP2B571

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159891                                | PLRTX                        |
|                           2 | Institutional           | C000145323                                | PHTJX                        |
|                           3 | Class J                 | C000199322                                | PHJJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $209,626,688.76

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $401,708,064.99

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Overseas Fund                                         | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| International Fund I                                  | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Fund                                           | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 48 - Principal LifeTime 2060 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2060 Fund

- **b. Series identification number, if any:** S000039873

- **c. LEI:** 549300HB2Z0M4WWLPT85

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000123721                                | PLTAX                        |
|                           2 | R-5                     | C000123726                                | PLTOX                        |
|                           3 | Institutional           | C000123727                                | PLTZX                        |
|                           4 | R-3                     | C000123724                                | PLTCX                        |
|                           5 | R-4                     | C000123725                                | PLTMX                        |
|                           6 | R-1                     | C000123722                                | PLTRX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $469,491,120.08

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $675,634,321.50

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 49 - Principal LifeTime 2015 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2015 Fund

- **b. Series identification number, if any:** S000022103

- **c. LEI:** 549300XAYIJ4V261EO69

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000063427                                | LTSLX                        |
|                           2 | R-5                     | C000063426                                | LTPFX                        |
|                           3 | R-3                     | C000063424                                | LTAPX                        |
|                           4 | Institutional           | C000063423                                | LTINX                        |
|                           5 | R-1                     | C000063425                                | LTSGX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $219,768,745.37

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $319,424,397.14

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified International Account                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Capital Securities Fund                               | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 50 - Real Estate Securities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Real Estate Securities Fund

- **b. Series identification number, if any:** S000007212

- **c. LEI:** 5493007VCVKAGWPVUY18

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000019789                                | PRETX                        |
|                           2 | R-3                     | C000019787                                | PRERX                        |
|                           3 | R-6                     | C000175486                                | PFRSX                        |
|                           4 | R-5                     | C000019788                                | PREPX                        |
|                           5 | Class A                 | C000019792                                | PRRAX                        |
|                           6 | Institutional           | C000019790                                | PIREX                        |
|                           7 | Class J                 | C000019791                                | PREJX                        |
|                           8 | Class C                 | C000038802                                | PRCEX                        |
|                           9 | R-1                     | C000019785                                | PRAEX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $166,463.52

**Brokers Record: 2**

- **i. Full name of broker:** EVERCORE PARTNERS

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $70,953.75

**Brokers Record: 3**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $69,929.27

**Brokers Record: 4**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $113,675.05

**Brokers Record: 5**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $163,586.60

**Brokers Record: 6**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $91,606.34

**Brokers Record: 7**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $181,970.75

**Brokers Record: 8**

- **i. Full name of broker:** KEYBANC CAPITAL MARKETS

- **ii. SEC file number:** 8-30177

- **iii. CRD number:** 000000566

- **iv. LEI, if any:** 2EQWV0180Z211YVAD813

- **v. State, if applicable:** OH

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $69,099.90

**Brokers Record: 9**

- **i. Full name of broker:** STEPHENS INC.

- **ii. SEC file number:** 8-1927

- **iii. CRD number:** 000003496

- **iv. LEI, if any:** 213800LH6T9XDYZCA534

- **v. State, if applicable:** AR

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $70,317.22

**Brokers Record: 10**

- **i. Full name of broker:** SUNTRUST

- **ii. SEC file number:** 8-35355

- **iii. CRD number:** 000017499

- **iv. LEI, if any:** 549300V8M85QISCSJ683

- **v. State, if applicable:** GA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $128,808.73

**Aggregate Commission:** $1,950,816.26

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $23,482,747.75            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $9,078,869.80             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $124,234,317.05

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $6,640,527,284.17

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 51 - MidCap Growth Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Growth Fund

- **b. Series identification number, if any:** S000007078

- **c. LEI:** 5493005XW9NLIS1WUD74

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019341                                | PMGJX                        |
|                           2 | R-4                     | C000019338                                | PIPPX                        |
|                           3 | R-5                     | C000019337                                | PHPPX                        |
|                           4 | Institutional           | C000019340                                | PGWIX                        |
|                           5 | R-1                     | C000019339                                | PMSGX                        |
|                           6 | R-3                     | C000019336                                | PFPPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,538,018.76

- **g. Provide the net income from securities lending activities:** $7,960.49

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** EuroClear Bank, Brussels

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 2**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,243.12

**Brokers Record: 2**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $22,309.61

**Brokers Record: 3**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $21,221.03

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,856.43

**Brokers Record: 5**

- **i. Full name of broker:** MIZUHO SECURITIES USA INC.

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 5493004GRDTUI7EMIZ82

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $26,526.89

**Brokers Record: 6**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,668.37

**Brokers Record: 7**

- **i. Full name of broker:** OPPENHEIMER & CO.

- **ii. SEC file number:** 8-4077

- **iii. CRD number:** 000000249

- **iv. LEI, if any:** 254900VH02JQR2L8XD64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,088.51

**Brokers Record: 8**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $27,521.56

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,227.75

**Brokers Record: 10**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $31,459.12

**Aggregate Commission:** $474,067.84

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $0.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $268,722,861.39

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| International Fund I                                  | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 52 - Principal LifeTime Strategic Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Strategic Income Fund

- **b. Series identification number, if any:** S000007211

- **c. LEI:** 5493001UTDWI6JEST966

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000019776                                | PLAIX                        |
|                           2 | R-3                     | C000019779                                | PLSMX                        |
|                           3 | Class J                 | C000019783                                | PLSJX                        |
|                           4 | Class A                 | C000019784                                | PALTX                        |
|                           5 | R-5                     | C000019780                                | PLSPX                        |
|                           6 | R-4                     | C000019781                                | PLSSX                        |
|                           7 | Institutional           | C000019782                                | PLSIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $305,009,485.13

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $390,623,159.32

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 53 - Principal LifeTime Hybrid 2020 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2020 Fund

- **b. Series identification number, if any:** S000046557

- **c. LEI:** 549300EIPFTYIBBWRT04

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159888                                | PLTTX                        |
|                           2 | Class J                 | C000199319                                | PHJTX                        |
|                           3 | Institutional           | C000145314                                | PHTTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $255,658,501.94

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $460,986,612.88

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 54 - SAM Strategic Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Strategic Growth Portfolio

- **b. Series identification number, if any:** S000014236

- **c. LEI:** 549300C8SIHTBE7RE726

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-4                     | C000039357                                | PSGLX                        |
|                           2 | Class C                 | C000038732                                | SWHCX                        |
|                           3 | R-3                     | C000039355                                | PSGPX                        |
|                           4 | R-5                     | C000039358                                | PSGFX                        |
|                           5 | Class J                 | C000039359                                | PSWJX                        |
|                           6 | Institutional           | C000038733                                | PSWIX                        |
|                           7 | Class A                 | C000038730                                | SACAX                        |
|                           8 | R-1                     | C000039356                                | PSGGX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $46,890.00

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,380.38

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $690.19

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,380.38

**Brokers Record: 5**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $690.19

**Brokers Record: 6**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $690.19

**Brokers Record: 7**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,220.00

**Brokers Record: 8**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,010.00

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $690.19

**Brokers Record: 10**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,377.72

**Aggregate Commission:** $79,019.24

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,584,830,122.43

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,002,293,313.91

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 55 - Principal LifeTime 2020 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2020 Fund

- **b. Series identification number, if any:** S000007207

- **c. LEI:** 549300N5YM1UZN95SQ38

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019746                                | PLFJX                        |
|                           2 | R-3                     | C000019742                                | PTBMX                        |
|                           3 | R-1                     | C000019740                                | PWASX                        |
|                           4 | R-5                     | C000019743                                | PTBPX                        |
|                           5 | Class A                 | C000019747                                | PTBAX                        |
|                           6 | R-4                     | C000019744                                | PTBSX                        |
|                           7 | Institutional           | C000019745                                | PLWIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,976,468,204.49

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,111,913,035.09

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Capital Securities Fund                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| High Income Fund                                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 56 - Finisterre Emerging Markets Total Return Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Finisterre Emerging Markets Total Return Bond Fund

- **b. Series identification number, if any:** S000054330

- **c. LEI:** 549300MNS2JZWUXHD778

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 1

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000170736                                | PFUMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $94,359.47

- **g. Provide the net income from securities lending activities:** $1,591.83

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** STANBIC IBTC BANK PLC, LAGOS

- **ii. LEI, if any:** 549300NIVXF92ZIOVW61

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** JOINT STOCK COMPANY CITIBANK KAZAKHSTAN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** STANDARD CHARTERED BANK (SINGAPORE) LIMITED

- **ii. LEI, if any:** 549300MDYVVHJ8D1DW28

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** HSBC HK BOND CONNECT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** CITIBANK EUROPE PLC, ROMANIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 22**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** CITIBANK EUROPE PLC, HUNGARIAN BRANCH OFFICE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 27**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** MUFG BANK, LTD

- **ii. LEI, if any:** 549300OB5SQ53A8BTO30

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| BARCLAYS CAPITAL INC.               | 8-41342           | 000019714    | G5GSEF7VJP5I7OUK5573 | NY      | US        | $71,175,720.18            |
| GOLDMAN SACHS CO.                   | 8-129             | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $162,845,963.94           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           | 000008209    | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $135,491,540.71           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            | 000007691    | DWW559HN8WVTCCS4VJ94 | NY      | US        | $76,359,539.41            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            | 000007059    | MBNUM2BPBDO7JBLYG310 | NY      | US        | $193,427,941.76           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           | 000000079    | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $146,018,494.28           |
| STANDARD BANK PLC                   | N/A               | N/A          | 254900QSNQ05XHAZ7R36 |  |  | $99,471,744.27            |
| JEFFERIES & COMPANY                 | 8-15074           | 000002347    | 58PU97L1C0WSRCWADL48 | NY      | US        | $88,703,316.81            |
| HSBC SECURITIES INC.                | 8-41562           | 000019585    | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $153,749,888.74           |
| BBVA S.A.                           | 8-42857           | 000027060    | N/A                  | NY      | US        | $89,748,763.04            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,384,998,472.17

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $593,080,483.04

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 57 - Principal LifeTime Hybrid 2055 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2055 Fund

- **b. Series identification number, if any:** S000046554

- **c. LEI:** 549300ZIDHV5G7EDU738

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145305                                | PLTNX                        |
|                           2 | Class J                 | C000199316                                | PHJBX                        |
|                           3 | R-6                     | C000159885                                | PLHTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $71,773,865.84

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $104,498,702.61

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Growth Volatility Control Account         | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| International Fund I                                  | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 58 - Principal LifeTime 2065 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2065 Fund

- **b. Series identification number, if any:** S000058847

- **c. LEI:** 549300LRM8HZ22GBEX65

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000193004                                | PLJCX                        |
|                           2 | R-1                     | C000193002                                | PLJAX                        |
|                           3 | R-4                     | C000193005                                | PLJDX                        |
|                           4 | R-5                     | C000193006                                | PLJEX                        |
|                           5 | Institutional           | C000193001                                | PLJIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $91,179,111.59

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $89,814,724.02

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| High Income Fund                                      | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| International Fund I                                  | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 59 - SmallCap Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Fund

- **b. Series identification number, if any:** S000007214

- **c. LEI:** 5493008AXRXQLEL0TR95

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 9

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-1                     | C000019802                                | PSABX                        |
|                           2 | Class C                 | C000038804                                | PSMCX                        |
|                           3 | R-6                     | C000175487                                | PSMLX                        |
|                           4 | Class J                 | C000019808                                | PSBJX                        |
|                           5 | Institutional           | C000019807                                | PSLIX                        |
|                           6 | R-5                     | C000019805                                | PSBPX                        |
|                           7 | R-4                     | C000019806                                | PSBSX                        |
|                           8 | Class A                 | C000019809                                | PLLAX                        |
|                           9 | R-3                     | C000019804                                | PSBMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $30,045,055.05

- **g. Provide the net income from securities lending activities:** $543,395.73

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MIZUHO SECURITIES USA INC.

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 5493004GRDTUI7EMIZ82

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $18,690.00

**Brokers Record: 2**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,273.64

**Brokers Record: 3**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $53,494.26

**Brokers Record: 4**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $35,257.88

**Brokers Record: 5**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $54,239.55

**Brokers Record: 6**

- **i. Full name of broker:** BTIG

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,189.28

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,472.20

**Brokers Record: 8**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $27,958.80

**Brokers Record: 9**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $29,951.19

**Brokers Record: 10**

- **i. Full name of broker:** WELLS FARGO SECURITIES LLC

- **ii. SEC file number:** 8-65876

- **iii. CRD number:** 000126292

- **iv. LEI, if any:** VYVVCKR63DVZZN70PB21

- **v. State, if applicable:** NC

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,675.83

**Aggregate Commission:** $522,310.84

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $3,874,980.23             |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $8,554,220.00             |
| MORGAN STANLEY & CO. LLC.  | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $4,840,017.00             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $33,180,417.23

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,290,130,025.11

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Tax-Exempt Bond Fund                                  | 811-07572         |
| MidCap Account                                        | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 60 - Principal LifeTime 2010 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2010 Fund

- **b. Series identification number, if any:** S000007201

- **c. LEI:** 549300TQTCP24FML1791

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000019706                                | PENAX                        |
|                           2 | R-1                     | C000019699                                | PVASX                        |
|                           3 | R-3                     | C000019701                                | PTAMX                        |
|                           4 | R-5                     | C000019702                                | PTAPX                        |
|                           5 | Institutional           | C000019704                                | PTTIX                        |
|                           6 | Class J                 | C000019705                                | PTAJX                        |
|                           7 | R-4                     | C000019703                                | PTASX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $388,733,321.52

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $603,057,780.92

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Fund I                                  | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| International Emerging Markets Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 61 - High Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** High Income Fund

- **b. Series identification number, if any:** S000006996

- **c. LEI:** 549300587LXZ3RWC6G81

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 1

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019079                                | PYHIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** Yes

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $25,031,450.98

- **g. Provide the net income from securities lending activities:** $441,128.17

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Insight North America LLC

- **ii. SEC file number:** 801-69964

- **iii. CRD number:** 000145995

- **iv. LEI, if any:** 213800YYX7MQCCEN9439

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Polen Capital Credit

- **ii. SEC file number:** 801-55001

- **iii. CRD number:** 000108468

- **iv. LEI, if any:** 549300ZLX14T3RGX6L55

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 3**

- **i. Full name:** Post Advisory Group, LLC

- **ii. SEC file number:** 801-57939

- **iii. CRD number:** 000108860

- **iv. LEI, if any:** T3HHYF0JECXJONZVPI19

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 5**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 9**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                           | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.              | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $337,188,255.10           |
| MORGAN STANLEY & CO. LLC.      | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $255,295,321.46           |
| J.P. MORGAN SECURITIES LLC     | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $318,984,165.61           |
| DEUTSCHE BANK SECURITIES CORP. | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $129,180,660.14           |
| CITIGROUP GLOBAL MARKETS       | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $172,865,106.96           |
| BANCAMERICA SECURITIES INC.    | 8-35968           |    000017977 | N/A                  | CA      | US        | $233,775,751.04           |
| FLOW TRADERS                   | 8-68300           |    000150780 | 549300K64LZQW7R9ST34 | NY      | US        | $177,557,972.31           |
| JEFFERIES & COMPANY            | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $394,424,231.87           |
| BARCLAYS CAPITAL INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $165,305,824.38           |
| CREDIT SUISSE GROUP            | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $145,638,140.33           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,012,303,753.18

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,300,297,969.54

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 62 - Principal LifeTime Hybrid 2030 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2030 Fund

- **b. Series identification number, if any:** S000046559

- **c. LEI:** 549300AXGFIB10CD1056

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145320                                | PHTNX                        |
|                           2 | Class J                 | C000199321                                | PHJNX                        |
|                           3 | R-6                     | C000159890                                | PLZTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $305,620,871.59

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $529,338,246.02

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| High Income Fund                                      | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| International Fund I                                  | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 63 - SAM Conservative Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Growth Portfolio

- **b. Series identification number, if any:** S000014234

- **c. LEI:** 549300W8DHI9NJT79L41

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 8

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000039343                                | PCWPX                        |
|                           2 | R-3                     | C000039346                                | PCGPX                        |
|                           3 | R-4                     | C000039342                                | PCWSX                        |
|                           4 | Institutional           | C000038725                                | PCWIX                        |
|                           5 | Class J                 | C000039344                                | PCGJX                        |
|                           6 | R-1                     | C000039347                                | PCGGX                        |
|                           7 | Class C                 | C000038724                                | SCGPX                        |
|                           8 | Class A                 | C000038722                                | SAGPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,070.34

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,072.36

**Brokers Record: 3**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $85,510.00

**Brokers Record: 4**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,036.18

**Brokers Record: 5**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,080.00

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,072.36

**Brokers Record: 7**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,640.00

**Brokers Record: 8**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,036.18

**Brokers Record: 9**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $27,850.00

**Brokers Record: 10**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,036.18

**Aggregate Commission:** $150,439.78

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,457,609,556.14

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,072,347,501.81

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| International Emerging Markets Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| High Income Fund                                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Fund I                                  | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| EDGE MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [x] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** Principal Funds, Inc.

**Date:** 2023-01-12

**Signature:** /s/ Megan Hoffmann

**Title:** Vice President and Controller