# EDGAR Filing Document

**Accession Number:** 0000898745
**File Stem:** 0001752724-25-145182
**Filing Date:** 2025-6
**Character Count:** 453023
**Document Hash:** 3abe11577e4019f47bec0e40cdffee8d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-25-145182.hdr.sgml**: 20250617

**ACCESSION NUMBER**: 0001752724-25-145182

**CONFORMED SUBMISSION TYPE**: N-CEN/A

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20240831

**FILED AS OF DATE**: 20250617

**DATE AS OF CHANGE**: 20250616

**EFFECTIVENESS DATE**: 20250617

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRINCIPAL FUNDS, INC.
- **CENTRAL INDEX KEY:** 0000898745

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1031

**FILING VALUES:**
- **FORM TYPE:** N-CEN/A
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-07572
- **FILM NUMBER:** 251051283

**BUSINESS ADDRESS:**
- **STREET 1:** 711 HIGH STREET
- **CITY:** DES MOINES
- **STATE:** IA
- **ZIP:** 50392
- **BUSINESS PHONE:** 515-235-9328

**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

### Spectrum Preferred and Capital Securities Income Fund (f/k/a Preferred Securities) (Series ID: S000007170)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019591 | R-3                 | PNARX           |
| C000019592 | R-5                 | PPARX           |
| C000019593 | R-4                 | PQARX           |
| C000019594 | R-1                 | PUSAX           |
| C000019595 | Institutional Class | PPSIX           |
| C000019596 | Class J             | PPSJX           |
| C000019597 | Class A             | PPSAX           |
| C000038790 | Class C             | PRFCX           |
| C000176328 | R-6                 | PPREX           |

### Bond Market Index Fund (Series ID: S000027178)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000082026 | Institutional Class | PNIIX           |
| C000082027 | R-1                 | PBIMX           |
| C000082029 | R-3                 | PBOIX           |
| C000082030 | R-4                 | PBIPX           |
| C000082031 | R-5                 | PBIQX           |
| C000085837 | Class J             | PBIJX           |

### International Equity Index Fund (Series ID: S000027179)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000082032 | R-3                 | PIIOX           |
| C000082033 | R-4                 | PIIPX           |
| C000082034 | R-5                 | PIIQX           |
| C000082035 | Institutional Class | PIDIX           |
| C000082036 | R-1                 | PILIX           |
| C000176329 | R-6                 | PFIEX           |

### Diversified Real Asset Fund (Series ID: S000028139)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000085834 | Class A             | PRDAX           |
| C000085836 | Institutional Class | PDRDX           |
| C000150253 | R-6                 | PDARX           |
| C000167692 | R-3                 | PGDRX           |

### Small-MidCap Dividend Income Fund (Series ID: S000032942)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000101659 | Class A             | PMDAX           |
| C000101661 | Institutional Class | PMDIX           |
| C000115416 | Class C             | PMDDX           |
| C000176330 | R-6                 | PMDHX           |

### Global Multi-Strategy Fund (Series ID: S000033960)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000104712 | Class A             | PMSAX           |
| C000104714 | Institutional Class | PSMIX           |
| C000190071 | R-6                 | PGLSX           |

### Blue Chip Fund (Series ID: S000037378)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000115413 | Institutional Class | PBCKX           |
| C000131723 | Class A             | PBLAX           |
| C000131724 | Class C             | PBLCX           |
| C000167694 | R-3                 | PGBEX           |
| C000167695 | R-4                 | PGBFX           |
| C000167696 | R-5                 | PGBGX           |
| C000176331 | R-6                 | PGBHX           |
| C000193661 | Class J             | PBCJX           |

### Opportunistic Municipal Fund (Series ID: S000037379)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000115414 | Class A             | PMOAX           |
| C000153266 | Institutional Class | POMFX           |

### Capital Securities Fund (Series ID: S000041598)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000129138 | Class S      | PCSFX           |

### International Small Company Fund (Series ID: S000045671)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000150254 | Institutional | PISMX           |
| C000176332 | R-6           | PFISX           |

### Origin Emerging Markets Fund (Series ID: S000047839)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000150246 | Class A       | POEYX           |
| C000150247 | Institutional | POEIX           |
| C000150248 | R-6           | POEFX           |

### EDGE MidCap Fund (Series ID: S000049582)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000156764 | Institutional | PEDGX           |
| C000176334 | R-6           | PEDMX           |
| C000208088 | Class A       | PEMCX           |

### Global Sustainable Listed Infrastructure Fund (Series ID: S000077513)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000237990 | Institutional Class | PGSLX           |

## Exempt

PRINCIPAL FUNDS' CCO ANNUAL CERTIFICATION

Pursuant to Item G.1.a.v of Form N-CEN

For the year ended December 31, 2023

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 consolidated financial statements of Diversified Real Asset Fund and Global Multi-Strategy Fund, as well as our audits of the financial statements of Blue Chip Fund, Bond Market Index Fund, Capital Securities Fund, Edge MidCap Fund, GlobalSustainable Listed Infrastructure Fund, International Equity Index Fund, International Small Company Fund, Opportunistic Municipal Fund, Origin Emerging Markets Fund, Small-MidCap Dividend Income Fund, and Spectrum Preferred and Capital Securities Income Fund (13 of the funds, collectively the "Funds" constituting the Principal Funds, Inc.) (as of and for the year ended August 31, 2024, 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.N-C 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 August 31, 2024. 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<br>

October 24, 2024

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

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

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

**Series ID Record:1**
- **Series ID:** S000007170

**Series ID Record:2**
- **Series ID:** S000027178

**Series ID Record:3**
- **Series ID:** S000027179

**Series ID Record:4**
- **Series ID:** S000028139

**Series ID Record:5**
- **Series ID:** S000032942

**Series ID Record:6**
- **Series ID:** S000033960

**Series ID Record:7**
- **Series ID:** S000037378

**Series ID Record:8**
- **Series ID:** S000037379

**Series ID Record:9**
- **Series ID:** S000041598

**Series ID Record:10**
- **Series ID:** S000045671

**Series ID Record:11**
- **Series ID:** S000047839

**Series ID Record:12**
- **Series ID:** S000049582

**Series ID Record:13**
- **Series ID:** S000077513

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

**Item A.1.a - Report for period ending:** 2024-08-31

**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:** 13

- **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   |
|:---|:---|:---|
| Craig Damos           | No                      | 811-01944, 811-23029                    |
| Elizabeth A. Nickels  | No                      | 811-01944, 811-23029                    |
| Frances P. Grieb      | No                      | 811-01944, 811-23029                    |
| Kamal Bhatia          | Yes                     | 811-01944, 811-23029                    |
| Karen McMillan        | No                      | 811-01944, 811-23029                    |
| Katharin S. Dyer      | No                      | 811-01944, 811-23029                    |
| Ken McCullum          | Yes                     | 811-01944, 811-23029                    |
| Padelford L. Lattimer | No                      | 811-01944, 811-23029                    |
| Thomas A. Swank       | No                      | 811-01944, 811-23029                    |
| Victor L. Hymes       | No                      | 811-01944, 811-23029                    |

### 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

- **Item B.22.a - Were any payments made to shareholders as a result of an error in calculating NAV?:** No

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - Blue Chip Fund

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

- **a. Full Name of the Fund:** Blue Chip Fund

- **b. Series identification number, if any:** S000037378

- **c. LEI:** 549300DIGKZKBG8KG876

- **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                 | C000131723                                | PBLAX                        |
|                           2 | Class C                 | C000131724                                | PBLCX                        |
|                           3 | Class J                 | C000193661                                | PBCJX                        |
|                           4 | Institutional           | C000115413                                | PBCKX                        |
|                           5 | R-3                     | C000167694                                | PGBEX                        |
|                           6 | R-4                     | C000167695                                | PGBFX                        |
|                           7 | R-5                     | C000167696                                | PGBGX                        |
|                           8 | R-6                     | C000176331                                | PGBHX                        |

**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:** $5,678,754.01

- **g. Provide the net income from securities lending activities:** $6,504.89

**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 (17 CFR 270.18f-4)

- 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)

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** CIBC Mellon

- **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:** 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:** 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: 5**

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

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $42,909.48

**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:** $33,448.58

**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:** $56,918.03

**Brokers Record: 4**

- **i. Full name of broker:** CANACCORD ADAMS INC.

- **ii. SEC file number:** 8-3271

- **iii. CRD number:** 000001020

- **iv. LEI, if any:** WTX5X269IUOQ9YMI7R44

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $151,591.46

**Brokers Record: 5**

- **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:** $35,667.15

**Brokers Record: 6**

- **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:** $49,284.93

**Brokers Record: 7**

- **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:** $41,958.37

**Brokers Record: 8**

- **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:** $38,236.35

**Brokers Record: 9**

- **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:** $49,927.05

**Brokers Record: 10**

- **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:** $38,707.60

**Aggregate Commission:** $750,505.94

- **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:** $10,533,186,649.79

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 2 - Bond Market Index Fund

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

- **a. Full Name of the Fund:** Bond Market Index Fund

- **b. Series identification number, if any:** S000027178

- **c. LEI:** VNIC77YUXCT48GBDSU43

- **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                 | C000085837                                | PBIJX                        |
|                           2 | Institutional           | C000082026                                | PNIIX                        |
|                           3 | R-1                     | C000082027                                | PBIMX                        |
|                           4 | R-3                     | C000082029                                | PBOIX                        |
|                           5 | R-4                     | C000082030                                | PBIPX                        |
|                           6 | R-5                     | C000082031                                | PBIQX                        |

**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:** $11,676,389.62

- **g. Provide the net income from securities lending activities:** $118,144.72

**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 (17 CFR 270.18f-4)

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

- 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))

**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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 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 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?** 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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** $450.00

**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:** $403.00

**Brokers Record: 3**

- **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:** $1,753.00

**Brokers Record: 4**

- **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:** $2,300.00

**Aggregate Commission:** $4,906.00

**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        | $352,627,383.22           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $136,517,352.98           |
| NOMURA SECURITIES INT'L INC.        | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $117,226,922.79           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $230,535,456.61           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $100,857,137.86           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $226,306,632.46           |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $150,523,991.84           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $187,849,298.17           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $617,917,844.10           |
| VIRTU FINANCIAL LLC                 | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $106,934,891.64           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,591,220,066.02

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

- **Item C.19.a - Fund's monthly average net assets:** $2,134,425,119.60

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 3 - Capital Securities Fund

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

- **a. Full Name of the Fund:** Capital Securities Fund

- **b. Series identification number, if any:** S000041598

- **c. LEI:** 549300LDBWOXFENXBB36

- **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 | Class S                 | C000129138                                | PCSFX                        |

**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:** $24,721,209.55

- **g. Provide the net income from securities lending activities:** $331,764.78

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

Did the Fund rely on the following rules?

- 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.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **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

**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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 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:** 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:** 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:** 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?** 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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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 ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| SAMI BROKERAGE LLC | 8-36472           |    000018217 | WARIMFOO2Y13MJ7LNX31 | CT      | US        | $398,046,028.57           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $405,504,688.57

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

- **Item C.19.a - Fund's monthly average net assets:** $1,111,956,496.85

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 4 - Diversified Real Asset Fund

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

- **a. Full Name of the Fund:** Diversified Real Asset Fund

- **b. Series identification number, if any:** S000028139

- **c. LEI:** 549300FY1HF8KNDK4G58

- **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 A                 | C000085834                                | PRDAX                        |
|                           2 | Institutional           | C000085836                                | PDRDX                        |
|                           3 | R-3                     | C000167692                                | PGDRX                        |
|                           4 | R-6                     | C000150253                                | PDARX                        |

**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?** —

**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:** $16,147,024.54

- **g. Provide the net income from securities lending activities:** $233,044.65

**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 (17 CFR 270.18f-4)

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

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

- 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))

**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:** Delaware Investments Fund Advisers

- **ii. SEC file number:** 801-32108

- **iii. CRD number:** 000105390

- **iv. LEI, if any:** 549300FX8BEYC3JUAR23

- **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:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **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:** 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

**Sub-adviser Record: 4**

- **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: 5**

- **i. Full name:** Newton Investment Management

- **ii. SEC file number:** 801-42114

- **iii. CRD number:** 000111208

- **iv. LEI, if any:** VMMM74BJK67DIRDE9J26

- **v. Is the sub-adviser an affiliated person?:** No

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

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

**Sub-adviser Record: 6**

- **i. Full name:** CoreCommodity Management, LLC

- **ii. SEC file number:** 801-65436

- **iii. CRD number:** 000135810

- **iv. LEI, if any:** 2ZO0J727TSVMDJUET355

- **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:** Pictet Asset Management SA

- **ii. SEC file number:** 801-66760

- **iii. CRD number:** 000140074

- **iv. LEI, if any:** 549300Z3V8FWSENAH224

- **v. Is the sub-adviser an affiliated person?:** No

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

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

**Sub-adviser Record: 8**

- **i. Full name:** Impax Asset Management Limited

- **ii. SEC file number:** 801-67631

- **iii. CRD number:** 000143247

- **iv. LEI, if any:** 213800K6QQFMK4B6K577

- **v. Is the sub-adviser an affiliated person?:** No

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

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

**Sub-adviser Record: 9**

- **i. Full name:** ClearBridge Investments (North America) PTY Limited

- **ii. SEC file number:** 801-70506

- **iii. CRD number:** 000151223

- **iv. LEI, if any:** 549300JIEINNUZB0YC91

- **v. Is the sub-adviser an affiliated person?:** No

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

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

**Sub-adviser Record: 10**

- **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

- **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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **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: 3**

- **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: 4**

- **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: 5**

- **i. Full name:** BANK OF JORDAN

- **ii. LEI, if any:** 254900XI5ZZJOK7NC049

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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 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: 7**

- **i. Full name:** CIBC MELLON

- **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: 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:** 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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 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:** 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: 25**

- **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: 26**

- **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: 27**

- **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: 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:** 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: 30**

- **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: 31**

- **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: 32**

- **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: 33**

- **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: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **i. Full name:** HSBC SHENZHEN

- **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:** 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: 40**

- **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: 41**

- **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: 42**

- **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: 43**

- **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: 44**

- **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: 45**

- **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: 46**

- **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: 47**

- **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: 48**

- **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: 49**

- **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: 50**

- **i. Full name:** STANDARD CHARTERED BANK INDONESIA 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: 51**

- **i. Full name:** STANDARD CHARTERED BANK KOREA 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: 52**

- **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: 53**

- **i. Full name:** STANDARD CHARTERED 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: 54**

- **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: 55**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 2138005U6PFAG1EGQ670

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 57**

- **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: 58**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 213800PY5I5D4T5NED50

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 2138001Y512RXGN3R994

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** 213800YAFR3TXTCJHM14

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 62**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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.**

**Broker Dealers Record: 1**

- **a. Full name:** Macquarie Securities (Australia) Limited

- **b. SEC file number:** N/A

- **c. CRD number:** N/A

- **d. LEI, if any:** 549300BIAWNNPUVFP581

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $1,791.40

**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:** 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:** $143,201.64

**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:** $108,582.66

**Brokers Record: 3**

- **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:** $107,078.55

**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:** $69,213.42

**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:** $124,193.75

**Brokers Record: 6**

- **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:** $85,278.73

**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:** $190,276.34

**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:** $59,959.61

**Brokers Record: 9**

- **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:** $127,161.16

**Brokers Record: 10**

- **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:** $529,961.75

**Aggregate Commission:** $2,212,960.59

**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        | $344,841,957.47           |
| GOLDMAN SACHS CO.              | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $340,925,405.27           |
| NOMURA SECURITIES INT'L INC.   | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $362,842,928.65           |
| SOCIETY GENERELE SECURITIES    | 8-22522           |    000007616 | 549300WR155U7DVMIW58 | NY      | US        | $206,716,343.37           |
| MORGAN STANLEY & CO. LLC.      | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $384,766,996.40           |
| BNP PARIBAS SECURITIES CORP    | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $408,865,574.24           |
| BMO CAPITAL MARKETS            | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $452,181,348.71           |
| BNY MELLON CAPITAL MARKETS LLC | 8-35255           |    000017454 | VJW2DOOHGDT6PR0ZRO63 | NY      | US        | $535,138,558.74           |
| CITADEL TRADING GROUP          | 8-41207           |    000024514 | N/A                  | IL      | US        | $429,120,816.05           |
| BANK OF AMERICA                | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NC      | US        | $202,104,954.08           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $4,516,380,568.12

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,292,541,874.33

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 5 - Edge MidCap Fund

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

- **a. Full Name of the Fund:** Edge MidCap Fund

- **b. Series identification number, if any:** S000049582

- **c. LEI:** 549300U98DHSQPJQOF11

- **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 A                 | C000208088                                | PEMCX                        |
|                           2 | Institutional           | C000156764                                | PEDGX                        |
|                           3 | R-6                     | C000176334                                | PEDMX                        |

**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:** $0.00

- **g. Provide the net income from securities lending activities:** $19.53

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

Did the Fund rely on the following rules?

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

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 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))

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** $830.09

**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:** $604.23

**Brokers Record: 3**

- **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:** $3,444.67

**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:** $2,867.58

**Brokers Record: 5**

- **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:** $865.13

**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:** $338.72

**Brokers Record: 7**

- **i. Full name of broker:** MKM PARTNERS

- **ii. SEC file number:** 8-53436

- **iii. CRD number:** 000114666

- **iv. LEI, if any:** 54930015ODYESNP2QX15

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $449.40

**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:** $624.59

**Brokers Record: 9**

- **i. Full name of broker:** KEPLER EQUITIES

- **ii. SEC file number:** 8-67194

- **iii. CRD number:** 000139148

- **iv. LEI, if any:** 254900VCHS9DMDUVZN16

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $407.49

**Brokers Record: 10**

- **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:** $597.15

**Aggregate Commission:** $12,760.89

- **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:** $75,481,569.62

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 6 - Global Multi-Strategy Fund

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

- **a. Full Name of the Fund:** Global Multi-Strategy Fund

- **b. Series identification number, if any:** S000033960

- **c. LEI:** 8NGI32D81QECIPVVIM53

- **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 A                 | C000104712                                | PMSAX                        |
|                           2 | Institutional           | C000104714                                | PSMIX                        |
|                           3 | R-6                     | C000190071                                | PGLSX                        |

**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?** —

**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 10f-3 (17 CFR 270.10f-3)

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

- Rule 17a-7 (17 CFR 270.17a-7)

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

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

- 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:** Loomis, Sayles & Company, L.P.

- **ii. SEC file number:** 801-170

- **iii. CRD number:** 000105377

- **iv. LEI, if any:** JIZPN2RX3UMNOYIDI313

- **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:** Wellington Management Company LLP

- **ii. SEC file number:** 801-15908

- **iii. CRD number:** 000106595

- **iv. LEI, if any:** 549300YHP12TEZNLCX41

- **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:** 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

**Sub-adviser Record: 4**

- **i. Full name:** Gotham Asset Management LLC

- **ii. SEC file number:** 801-69960

- **iii. CRD number:** 000149335

- **iv. LEI, if any:** 254900XHDLRFQ6IMXO05

- **v. Is the sub-adviser an affiliated person?:** No

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

**Sub-adviser Record: 5**

- **i. Full name:** Westchester Capital Management, LLC

- **ii. SEC file number:** 801-72002

- **iii. CRD number:** 000155686

- **iv. LEI, if any:** 549300JVYLER1U5NDK13

- **v. Is the sub-adviser an affiliated person?:** No

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

**Sub-adviser Record: 6**

- **i. Full name:** Sound Point Capital Management, LP

- **ii. SEC file number:** 801-72515

- **iii. CRD number:** 000157479

- **iv. LEI, if any:** 549300FZ417XL0BBLZ51

- **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:** Graham Capital Management, L.P.

- **ii. SEC file number:** 801-73422

- **iii. CRD number:** 000160925

- **iv. LEI, if any:** DMEG9G4MHH34U2LK2N42

- **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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **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: 3**

- **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: 4**

- **i. Full name:** BANK OF JORDAN

- **ii. LEI, if any:** 254900XI5ZZJOK7NC049

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 6**

- **i. Full name:** CIBC MELLON

- **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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **i. Full name:** CITIBANK EUROPE PLC, POBOCKA ZACHRANICNEJ BANKY,

- **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:** 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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **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: 26**

- **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: 27**

- **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: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **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: 32**

- **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: 33**

- **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: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **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: 39**

- **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: 40**

- **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: 41**

- **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: 42**

- **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: 43**

- **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: 44**

- **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: 45**

- **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: 46**

- **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: 47**

- **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: 48**

- **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: 49**

- **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: 50**

- **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: 51**

- **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: 52**

- **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: 53**

- **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: 54**

- **i. Full name:** STANDARD CHARTERED BANK INDONESIA 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: 55**

- **i. Full name:** STANDARD CHARTERED BANK KOREA 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: 56**

- **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: 57**

- **i. Full name:** STANDARD CHARTERED 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: 58**

- **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: 59**

- **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: 60**

- **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: 61**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 2138005U6PFAG1EGQ670

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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 SA/NV

- **ii. LEI, if any:** 2138001Y512RXGN3R994

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 213800PY5I5D4T5NED50

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 213800YAFR3TXTCJHM14

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 66**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $18,512.86

**Brokers Record: 2**

- **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:** $6,774.62

**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:** $6,840.50

**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:** $8,709.29

**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:** $6,067.59

**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:** $10,571.27

**Brokers Record: 7**

- **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:** $9,511.57

**Brokers Record: 8**

- **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:** $23,178.91

**Brokers Record: 9**

- **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:** $24,212.11

**Brokers Record: 10**

- **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:** $14,217.00

**Aggregate Commission:** $210,688.59

**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        | $90,823,531.46            |
| GOLDMAN SACHS CO.                        | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $112,040,712.06           |
| JEFFERIES & COMPANY                      | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $17,556,334.63            |
| CITIGROUP GLOBAL MARKETS                 | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $41,986,818.26            |
| MERRILL LYNCH PIERCE FENNER & SMITH      | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $16,558,714.03            |
| MORGAN STANLEY & CO. LLC.                | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $69,507,677.56            |
| HSBC SECURITIES INC.                     | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $33,075,181.68            |
| BARCLAYS CAPITAL INC.                    | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $20,723,687.41            |
| BBVA S.A.                                | 8-42857           |    000027060 | N/A                  | NY      | US        | $13,090,095.03            |
| SANTANDER CENTRAL HISPANO INVESTMENT  SE | 8-47664           |    000037216 | 549300FT36TF8GQFTL08 | NY      | US        | $13,750,651.23            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $555,792,998.49

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $422,365,239.47

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 7 - Global Sustainable Listed Infrastructure Fund

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

- **a. Full Name of the Fund:** Global Sustainable Listed Infrastructure Fund

- **b. Series identification number, if any:** S000077513

- **c. LEI:** 549300UO9IFEWQKUAV03

- **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           | C000237990                                | PGSLX                        |

**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:** $209,427.73

- **g. Provide the net income from securities lending activities:** $2,043.66

**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 (17 CFR 270.18f-4)

- 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.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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **i. Full name:** CACEIS BANK SPAIN S.A.U.

- **ii. LEI, if any:** 95980020140005970915

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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

- **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:** 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: 5**

- **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: 6**

- **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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 11**

- **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: 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:** 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 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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 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:** 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: 22**

- **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: 23**

- **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: 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:** 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: 26**

- **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: 27**

- **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: 28**

- **i. Full name:** STANDARD CHARTERED BANK INDONESIA 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: 29**

- **i. Full name:** STANDARD CHARTERED BANK KOREA 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: 30**

- **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: 31**

- **i. Full name:** STANDARD CHARTERED 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: 32**

- **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: 33**

- **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: 34**

- **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: 35**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 213800PY5I5D4T5NED50

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 2138001Y512RXGN3R994

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** 213800YAFR3TXTCJHM14

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** UBS SWITZERLAND AG

- **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:** 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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $1,004.84

**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:** $646.27

**Brokers Record: 3**

- **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:** $734.86

**Brokers Record: 4**

- **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:** $1,363.20

**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:** $477.48

**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:** $1,245.24

**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:** $1,413.47

**Brokers Record: 8**

- **i. Full name of broker:** ROTH CAPITAL PARTNERS

- **ii. SEC file number:** 8-32129

- **iii. CRD number:** 000015407

- **iv. LEI, if any:** 549300FMF3TPT1HFRF48

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $647.10

**Brokers Record: 9**

- **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:** $683.75

**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:** $505.08

**Aggregate Commission:** $12,596.48

**Item C.17.a. Principal transaction counterparties.**

| Name                      | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| MORGAN STANLEY & CO. LLC. | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $78,696.93                |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $85,135.44

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $17,203,560.98

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 8 - International Equity Index Fund

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

- **a. Full Name of the Fund:** International Equity Index Fund

- **b. Series identification number, if any:** S000027179

- **c. LEI:** 5493006KEEH2X763W530

- **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           | C000082035                                | PIDIX                        |
|                           2 | R-1                     | C000082036                                | PILIX                        |
|                           3 | R-3                     | C000082032                                | PIIOX                        |
|                           4 | R-4                     | C000082033                                | PIIPX                        |
|                           5 | R-5                     | C000082034                                | PIIQX                        |
|                           6 | R-6                     | C000176329                                | PFIEX                        |

**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:** $8,231,553.79

- **g. Provide the net income from securities lending activities:** $66,953.20

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

Did the Fund rely on the following rules?

- Rule 12d1-4 (17 CFR 270.12d1-4)

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

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **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: 3**

- **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: 4**

- **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: 5**

- **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: 6**

- **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: 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:** 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: 9**

- **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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 2138005U6PFAG1EGQ670

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 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 SA/NV

- **ii. LEI, if any:** 2138001Y512RXGN3R994

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 213800PY5I5D4T5NED50

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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 SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** 213800YAFR3TXTCJHM14

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $24,426.86

**Brokers Record: 2**

- **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:** $24,672.52

**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:** $10,420.18

**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:** $14,219.67

**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:** $34,945.13

**Brokers Record: 6**

- **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:** $16,452.72

**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:** $26,415.21

**Brokers Record: 8**

- **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:** $38,546.10

**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:** $39,202.00

**Brokers Record: 10**

- **i. Full name of broker:** BESTEX RESEARCH

- **ii. SEC file number:** 8-70584

- **iii. CRD number:** 000309569

- **iv. LEI, if any:** 549300OLXY43BEFLIK60

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $26,764.00

**Aggregate Commission:** $299,112.47

**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        | $127,915.69               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $435,592.84

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,165,615,617.80

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 9 - International Small Company Fund

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

- **a. Full Name of the Fund:** International Small Company Fund

- **b. Series identification number, if any:** S000045671

- **c. LEI:** 5493005DM6DKJRUY3N14

- **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 | Institutional           | C000150254                                | PISMX                        |
|                           2 | R-6                     | C000176332                                | PFISX                        |

**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:** $10,874,805.83

- **g. Provide the net income from securities lending activities:** $116,749.88

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

Did the Fund rely on the following rules?

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

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **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: 3**

- **i. Full name:** CIBC MELLON

- **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:** 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:** 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: 6**

- **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: 7**

- **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: 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:** 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: 10**

- **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: 11**

- **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: 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:** 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: 14**

- **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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 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:** 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:** 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: 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:** 2138005U6PFAG1EGQ670

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** 2138001Y512RXGN3R994

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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 SA/NV

- **ii. LEI, if any:** 213800PY5I5D4T5NED50

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** 213800YAFR3TXTCJHM14

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

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $31,736.85

**Brokers Record: 2**

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

- **ii. SEC file number:** 8-12242

- **iii. CRD number:** 000001576

- **iv. LEI, if any:** M67H5PRC0NQKM73ZAS82

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,111.32

**Brokers Record: 3**

- **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:** $79,523.65

**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:** $48,238.50

**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:** $40,723.89

**Brokers Record: 6**

- **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:** $106,198.09

**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:** $21,869.04

**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:** $49,963.04

**Brokers Record: 9**

- **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:** $24,815.60

**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:** $22,021.17

**Aggregate Commission:** $663,844.18

**Item C.17.a. Principal transaction counterparties.**

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BMO CAPITAL MARKETS | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $510,304.75               |
| M3 CAPITAL PARTNERS | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $354,076.01               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $864,380.76

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $699,245,679.86

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 10 - Opportunistic Municipal Fund

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

- **a. Full Name of the Fund:** Opportunistic Municipal Fund

- **b. Series identification number, if any:** S000037379

- **c. LEI:** 5493003HKOWWH1F8PO14

- **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 A                 | C000115414                                | PMOAX                        |
|                           2 | Institutional           | C000153266                                | POMFX                        |

**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 (17 CFR 270.18f-4)

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

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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 ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $105,897,109.50           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $6,944,613.00             |
| KEYBANC CAPITAL MARKETS             | 8-30177           |    000000566 | 2EQWV0180Z211YVAD813 | OH      | US        | $5,958,750.00             |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $7,091,792.50             |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $12,614,747.62            |
| FMS BONDS/FIRST MIAMI SECURITIES    | 8-23280           |    000007793 | 549300TUTBK58NSF2517 | FL      | US        | $8,702,926.75             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $10,801,690.00            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $17,279,223.40            |
| INCAPITAL LLC                       | 8-52081           |    000101420 | 254900XF92VANF1UCI97 | IL      | US        | $7,930,898.00             |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $24,848,981.20            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $265,060,199.05

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

- **Item C.19.a - Fund's monthly average net assets:** $144,802,358.16

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 11 - Origin Emerging Markets Fund

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

- **a. Full Name of the Fund:** Origin Emerging Markets Fund

- **b. Series identification number, if any:** S000047839

- **c. LEI:** 549300PYEJ7SMX1YOB34

- **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 A                 | C000150246                                | POEYX                        |
|                           2 | Institutional           | C000150247                                | POEIX                        |
|                           3 | R-6                     | C000150248                                | POEFX                        |

**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:** $1,574,674.64

- **g. Provide the net income from securities lending activities:** $72,461.48

**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 (17 CFR 270.18f-4)

- 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)

- 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:** 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:** 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 2**

- **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: 3**

- **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: 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:** 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: 6**

- **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: 7**

- **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: 8**

- **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: 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:** 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: 11**

- **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: 12**

- **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: 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:** 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: 15**

- **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: 16**

- **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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **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: 26**

- **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: 27**

- **i. Full name:** STANDARD CHARTERED BANK INDONESIA 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: 28**

- **i. Full name:** STANDARD CHARTERED BANK KOREA 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: 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:** STANDARD CHARTERED 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: 31**

- **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: 32**

- **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: 33**

- **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: 34**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $403,298.93

**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:** $821,636.26

**Aggregate Commission:** $1,224,935.19

- **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:** $2,596,067,146.94

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 12 - Small-MidCap Dividend Income Fund

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

- **a. Full Name of the Fund:** Small-MidCap Dividend Income Fund

- **b. Series identification number, if any:** S000032942

- **c. LEI:** 54930000PG64KHHYCN32

- **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 A                 | C000101659                                | PMDAX                        |
|                           2 | Class C                 | C000115416                                | PMDDX                        |
|                           3 | Institutional           | C000101661                                | PMDIX                        |
|                           4 | R-6                     | C000176330                                | PMDHX                        |

**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:** $13,732.15

- **g. Provide the net income from securities lending activities:** $365.83

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

Did the Fund rely on the following rules?

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

- 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)

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** CIBC MELLON

- **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:** 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:** 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:** 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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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:** 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:** $19,880.27

**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:** $14,713.43

**Brokers Record: 3**

- **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:** $103,879.54

**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:** $128,617.31

**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:** $26,279.39

**Brokers Record: 6**

- **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:** $15,891.11

**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:** $30,671.84

**Brokers Record: 8**

- **i. Full name of broker:** RILEY (B.) & COMPANY INC.

- **ii. SEC file number:** 8-49016

- **iii. CRD number:** 000040355

- **iv. LEI, if any:** 549300AEVMODVBY3QS51

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,863.31

**Brokers Record: 9**

- **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:** $16,374.35

**Brokers Record: 10**

- **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:** $37,095.49

**Aggregate Commission:** $552,168.81

- **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:** $1,236,072,568.78

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer October 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: 13 - Spectrum Preferred and Capital Securities Income Fund

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

- **a. Full Name of the Fund:** Spectrum Preferred and Capital Securities Income Fund

- **b. Series identification number, if any:** S000007170

- **c. LEI:** 549300C5BAH7DRKDHO25

- **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 | Class A                 | C000019597                                | PPSAX                        |
|                           2 | Class C                 | C000038790                                | PRFCX                        |
|                           3 | Class J                 | C000019596                                | PPSJX                        |
|                           4 | Institutional           | C000019595                                | PPSIX                        |
|                           5 | R-1                     | C000019594                                | PUSAX                        |
|                           6 | R-3                     | C000019591                                | PNARX                        |
|                           7 | R-4                     | C000019593                                | PQARX                        |
|                           8 | R-5                     | C000019592                                | PPARX                        |
|                           9 | R-6                     | C000176328                                | PPREX                        |

**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:** $133,775,494.14

- **g. Provide the net income from securities lending activities:** $1,339,612.26

**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 17a-7 (17 CFR 270.17a-7)

- Rule 17e-1 (17 CFR 270.17e-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:** 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

**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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

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

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

- **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:** 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:** 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:** 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: 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:** 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: 4**

- **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: 5**

- **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: 6**

- **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: 7**

- **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: 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:** 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: 10**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** 084-00448

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

- **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.**

**Broker Dealers Record: 1**

- **a. Full name:** SAMI BROKERAGE LLC

- **b. SEC file number:** 8-36472

- **c. CRD number:** 000018217

- **d. LEI, if any:** 549300HUULJL06T66Q45

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

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

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $129,772.83

**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:** $14,955.00

**Brokers Record: 2**

- **i. Full name of broker:** SAMI BROKERAGE LLC

- **ii. SEC file number:** 8-36472

- **iii. CRD number:** 000018217

- **iv. LEI, if any:** WARIMFOO2Y13MJ7LNX31

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $129,772.83

**Aggregate Commission:** $144,727.83

**Item C.17.a. Principal transaction counterparties.**

| Name               | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| SAMI BROKERAGE LLC | 8-36472           |    000018217 | WARIMFOO2Y13MJ7LNX31 | CT      | US        | $2,020,722,714.38         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,039,881,194.38

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

- **Item C.19.a - Fund's monthly average net assets:** $5,927,049,299.04

**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?** $300,000,000.00

- **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   |
|:---|:---|
| Blue Chip Account                                  | 811-01944         |
| Blue Chip Fund                                     | 811-07572         |
| Bond Market Index Account                          | 811-01944         |
| Bond Market Index Fund                             | 811-07572         |
| California Municipal Fund                          | 811-07572         |
| Capital Securities Fund                            | 811-07572         |
| Core Fixed Income Fund                             | 811-07572         |
| Core Plus Bond Account                             | 811-01944         |
| Core Plus Bond Fund                                | 811-07572         |
| Diversified Balanced Account                       | 811-01944         |
| Diversified Balanced Adaptive Allocation Account   | 811-01944         |
| Diversified Balanced Strategic Allocation Account  | 811-01944         |
| Diversified Growth Account                         | 811-01944         |
| Diversified Growth Adaptive Allocation Account     | 811-01944         |
| Diversified Growth Strategic Allocation Account    | 811-01944         |
| Diversified Income Account                         | 811-01944         |
| Diversified Income Fund                            | 811-07572         |
| Diversified International Account                  | 811-01944         |
| Diversified International Fund                     | 811-07572         |
| Diversified Real Asset Fund                        | 811-07572         |
| Edge MidCap Fund                                   | 811-07572         |
| Equity Income Account                              | 811-01944         |
| Equity Income Fund                                 | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund | 811-07572         |
| Global Emerging Markets Account                    | 811-01944         |
| Global Emerging Markets Fund                       | 811-07572         |
| Global Multi-Strategy Fund                         | 811-07572         |
| Global Real Estate Securities Fund                 | 811-07572         |
| Global Sustainable Listed Infrastructure Fund      | 811-07572         |
| Government & High Quality Bond Account             | 811-01944         |
| Government & High Quality Bond Fund                | 811-07572         |
| Government Money Market Fund                       | 811-07572         |
| High Income Fund                                   | 811-07572         |
| High Yield Fund                                    | 811-07572         |
| Inflation Protection Fund                          | 811-07572         |
| International Equity Fund                          | 811-07572         |
| International Equity Index Fund                    | 811-07572         |
| International Small Company Fund                   | 811-07572         |
| LargeCap Growth Account I                          | 811-01944         |
| LargeCap Growth Fund I                             | 811-07572         |
| LargeCap S&P 500 Index Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account  | 811-01944         |
| LargeCap Value Fund III                            | 811-07572         |
| MidCap Account                                     | 811-01944         |
| MidCap Fund                                        | 811-07572         |
| MidCap Growth Fund                                 | 811-07572         |
| MidCap Growth Fund III                             | 811-07572         |
| MidCap S&P 400 Index Fund                          | 811-07572         |
| MidCap Value Fund I                                | 811-07572         |
| Money Market Fund                                  | 811-07572         |
| Opportunistic Municipal Fund                       | 811-07572         |
| Origin Emerging Markets Fund                       | 811-07572         |
| Overseas Fund                                      | 811-07572         |
| Principal Capital Appreciation Account             | 811-01944         |
| Principal Capital Appreciation Fund                | 811-07572         |
| Principal LifeTime 2015 Fund                       | 811-07572         |
| Principal LifeTime 2020 Account                    | 811-01944         |
| Principal LifeTime 2020 Fund                       | 811-07572         |
| Principal LifeTime 2025 Fund                       | 811-07572         |
| Principal LifeTime 2030 Account                    | 811-01944         |
| Principal LifeTime 2030 Fund                       | 811-07572         |
| Principal LifeTime 2035 Fund                       | 811-07572         |
| Principal LifeTime 2040 Account                    | 811-01944         |
| Principal LifeTime 2040 Fund                       | 811-07572         |
| Principal LifeTime 2045 Fund                       | 811-07572         |
| Principal LifeTime 2050 Account                    | 811-01944         |
| Principal LifeTime 2050 Fund                       | 811-07572         |
| Principal LifeTime 2055 Fund                       | 811-07572         |
| Principal LifeTime 2060 Account                    | 811-01944         |
| Principal LifeTime 2060 Fund                       | 811-07572         |
| Principal LifeTime 2065 Fund                       | 811-07572         |
| Principal LifeTime 2070 Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                | 811-07572         |
| Principal LifeTime Hybrid Income Fund              | 811-07572         |
| Principal LifeTime Strategic Income Account        | 811-01944         |
| Principal LifeTime Strategic Income Fund           | 811-07572         |
| Real Estate Securities Account                     | 811-01944         |
| Real Estate Securities Fund                        | 811-07572         |
| SAM Balanced Portfolio                             | 811-07572         |
| SAM Balanced Portfolio                             | 811-01944         |
| SAM Conservative Balanced Portfolio                | 811-01944         |
| SAM Conservative Balanced Portfolio                | 811-07572         |
| SAM Conservative Growth Portfolio                  | 811-07572         |
| SAM Conservative Growth Portfolio                  | 811-01944         |
| SAM Flexible Income Portfolio                      | 811-01944         |
| SAM Flexible Income Portfolio                      | 811-07572         |
| SAM Strategic Growth Portfolio                     | 811-01944         |
| SAM Strategic Growth Portfolio                     | 811-07572         |
| Short-Term Income Account                          | 811-01944         |
| Short-Term Income Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                  | 811-07572         |
| SmallCap Account                                   | 811-01944         |
| SmallCap Fund                                      | 811-07572         |
| SmallCap Growth Fund I                             | 811-07572         |
| SmallCap S&P 600 Index Fund                        | 811-07572         |
| SmallCap Value Fund II                             | 811-07572         |
| Tax-Exempt Bond Fund                               | 811-07572         |
| U.S. LargeCap Buffer April Account                 | 811-01944         |
| U.S. LargeCap Buffer January Account               | 811-01944         |
| U.S. LargeCap Buffer July Account                  | 811-01944         |
| U.S. LargeCap Buffer October 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

## 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:** 2025-06-16

**Signature:** /s/ Megan Hoffmann

**Title:** Vice President and Controller