# EDGAR Filing Document

**Accession Number:** 0000898745
**File Stem:** 0000898745-25-000654
**Filing Date:** 2025-11
**Character Count:** 414857
**Document Hash:** 83f2f81184a9ea6cd8812e5abccc584d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000898745-25-000654.hdr.sgml**: 20251114

**ACCESSION NUMBER**: 0000898745-25-000654

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20250831

**FILED AS OF DATE**: 20251114

**DATE AS OF CHANGE**: 20251114

**EFFECTIVENESS DATE**: 20251114

**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
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-07572
- **FILM NUMBER:** 251482808

**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           |
| 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           |
| C000082029 | R-3                 | PBOIX           |
| 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           |
| C000082034 | R-5                 | PIIQX           |
| C000082035 | Institutional Class | PIDIX           |
| 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           |
| 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           |

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

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

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

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

## 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, Global Listed Infrastructure Fund (formerly Global Sustainable Listed Infrastructure Fund), International Equity Index Fund, International Small Company Fund, Opportunistic Municipal Fund, Small-MidCap Dividend Income Fund, and Spectrum Preferred and Capital Securities Income Fund (12 of the funds, collectively the "Funds" constituting the Principal Funds, Inc.) (as of and for the year ended August 31, 2025, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds' annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds' internal control over financial reporting and their operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of August 31, 2025. 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 23, 2025

## Exempt

PRINCIPAL FUNDS' CCO ANNUAL CERTIFICATION

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

For the year ended December 31, 2024

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

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

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

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

**Series ID Record:1**
- **Series ID:** S000077513

**Series ID Record:2**
- **Series ID:** S000027179

**Series ID Record:3**
- **Series ID:** S000049582

**Series ID Record:4**
- **Series ID:** S000007170

**Series ID Record:5**
- **Series ID:** S000033960

**Series ID Record:6**
- **Series ID:** S000037378

**Series ID Record:7**
- **Series ID:** S000032942

**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:** S000027178

**Series ID Record:12**
- **Series ID:** S000028139

**Class ID Record:1**
- **Class ID:** C000082034

**Class ID Record:2**
- **Class ID:** C000082032

**Class ID Record:3**
- **Class ID:** C000082035

**Class ID Record:4**
- **Class ID:** C000176329

**Class ID Record:5**
- **Class ID:** C000038790

**Class ID Record:6**
- **Class ID:** C000019597

**Class ID Record:7**
- **Class ID:** C000019595

**Class ID Record:8**
- **Class ID:** C000019591

**Class ID Record:9**
- **Class ID:** C000019596

**Class ID Record:10**
- **Class ID:** C000019592

**Class ID Record:11**
- **Class ID:** C000176328

**Class ID Record:12**
- **Class ID:** C000167694

**Class ID Record:13**
- **Class ID:** C000115413

**Class ID Record:14**
- **Class ID:** C000176331

**Class ID Record:15**
- **Class ID:** C000131724

**Class ID Record:16**
- **Class ID:** C000167696

**Class ID Record:17**
- **Class ID:** C000131723

**Class ID Record:18**
- **Class ID:** C000193661

**Class ID Record:19**
- **Class ID:** C000082029

**Class ID Record:20**
- **Class ID:** C000082031

**Class ID Record:21**
- **Class ID:** C000085837

**Class ID Record:22**
- **Class ID:** C000082026

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

**Item A.1.a - Report for period ending:** 2025-08-31

**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:** 12

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

| Series Name    | Series ID   |
|:---|:---|
| Blue Chip Fund | S000037378  |

- **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:** 254900Y3CIB1KF938C31

- **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 - Global Listed Infrastructure Fund

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

- **a. Full Name of the Fund:** Global 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:** Principal Global Investors, LLC

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $909,341.53

- **g. Provide the net income from securities lending activities:** $6,490.05

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

- **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:** 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: 2**

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

- **ii. LEI, if any:** 21380014SJC1QPK8O356

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 4**

- **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: 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:** STD CHTD BANK, PHILIPPINES BR

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **i. Full name:** STD CHTD 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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

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

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

- **vii. With 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 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: 23**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** 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: 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:** THE BANK OF NEW YORK MELLON SA/NV 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: 27**

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

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **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: 29**

- **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: 30**

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

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

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

- **i. Full name:** CBM BANCO, S.A., INSTITUCI??N DE BANCA M??LTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

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

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

- **vii. With 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 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: 34**

- **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: 35**

- **i. Full name:** TBANK

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

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

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

- **vii. With 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:** 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: 38**

- **i. Full name:** NORDEA DENMARK

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

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

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

- **vii. With 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:** 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: 40**

- **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: 41**

- **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: 42**

- **i. Full name:** STD CHTD 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: 43**

- **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: 44**

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

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

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

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $6,656.60

**Brokers Record: 2**

- **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:** $3,584.10

**Brokers Record: 3**

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

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

- **iii. CRD number:** 000008174

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,339.16

**Brokers Record: 4**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,433.82

**Brokers Record: 5**

- **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:** $5,787.64

**Brokers Record: 6**

- **i. Full name of broker:** CIBC WORLD MARKETS CORP

- **ii. SEC file number:** 8-18333

- **iii. CRD number:** 000000630

- **iv. LEI, if any:** 549300445CON3DBMU275

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,464.51

**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:** $4,739.35

**Brokers Record: 8**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $8,702.33

**Brokers Record: 9**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,984.86

**Brokers Record: 10**

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

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

- **iii. CRD number:** 000002347

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,810.53

**Aggregate Commission:** $95,899.48

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,385.19

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

- **Item C.19.a - Fund's monthly average net assets:** $46,221,407.82

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

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

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

**Line of Credit details Record: 1**

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

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

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

- **b. Did the Fund engage in interfund lending?** —

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

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

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

### Management Investment Record: 2 - 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?:** 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?:** 2

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000082034                                | PIIQX                        |
|                           2 | R-3                     | C000082032                                | PIIOX                        |
|                           3 | Institutional           | C000082035                                | PIDIX                        |
|                           4 | 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:** $4,527,436.14

- **g. Provide the net income from securities lending activities:** $25,183.26

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

Did the Fund rely on the following rules?

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

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

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

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

- 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:** 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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

- **ii. LEI, if any:** 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: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 3**

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

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** 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: 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))

**Custodians Record: 6**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 7**

- **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: 8**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 10**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

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

- **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: 12**

- **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: 13**

- **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: 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:** 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: 16**

- **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: 17**

- **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: 18**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** NORDEA DENMARK

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

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

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

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

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

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

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

- **vii. With 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:** 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: 22**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 23**

- **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: 24**

- **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: 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:** 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: 27**

- **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)

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

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $18,259.80

**Brokers Record: 2**

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

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

- **iii. CRD number:** 000008174

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,633.82

**Brokers Record: 3**

- **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:** $12,127.10

**Brokers Record: 4**

- **i. Full name of broker:** MACQUARIE GROUP LTD.

- **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:** $19,984.41

**Brokers Record: 5**

- **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:** $29,177.00

**Brokers Record: 6**

- **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:** $43,182.00

**Brokers Record: 7**

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

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

- **iii. CRD number:** 000007059

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,815.99

**Brokers Record: 8**

- **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:** $12,405.30

**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:** $33,525.00

**Brokers Record: 10**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,249.94

**Aggregate Commission:** $264,294.83

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $261,015.44

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

- **Item C.19.a - Fund's monthly average net assets:** $1,048,358,683.21

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

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

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

**Line of Credit details Record: 1**

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

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

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

- **b. Did the Fund engage in interfund lending?** —

- **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 - 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

**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:** $0.00

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

Did the Fund rely on the following rules?

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

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

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

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

- Rule 17a-8 (17 CFR 270.17a-8)

**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:** ICE Data Pricing & Reference Data, LLC

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

- **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:** N/A

- **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:** N/A

- **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:** 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:** $1,313.00

**Brokers Record: 2**

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

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

- **iii. CRD number:** 000008174

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,068.08

**Brokers Record: 3**

- **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:** $1,917.32

**Brokers Record: 4**

- **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:** $953.94

**Brokers Record: 5**

- **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:** $883.87

**Brokers Record: 6**

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

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

- **iii. CRD number:** 000149823

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $701.44

**Brokers Record: 7**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,281.58

**Brokers Record: 8**

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

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

- **iii. CRD number:** 000000793

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,401.05

**Brokers Record: 9**

- **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:** $1,716.45

**Brokers Record: 10**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,366.16

**Aggregate Commission:** $23,322.69

- **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:** $65,899,526.71

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

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

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

**Line of Credit details Record: 1**

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

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

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

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

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

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

### Management Investment Record: 4 - 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?:** 7

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

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038790                                | PRFCX                        |
|                           2 | Class A                 | C000019597                                | PPSAX                        |
|                           3 | Institutional           | C000019595                                | PPSIX                        |
|                           4 | R-3                     | C000019591                                | PNARX                        |
|                           5 | Class J                 | C000019596                                | PPSJX                        |
|                           6 | R-5                     | C000019592                                | PPARX                        |
|                           7 | 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:** Principal Global Investors, LLC

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $124,219,627.78

- **g. Provide the net income from securities lending activities:** $949,429.74

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

Did the Fund rely on the following rules?

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

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

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

- Rule 17e-1 (17 CFR 270.17e-1)

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** 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:** 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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

- **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:** 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: 2**

- **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: 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:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 5**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

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

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

- **vii. With 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:** 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: 7**

- **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: 8**

- **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: 9**

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

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** 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: 11**

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

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

**Broker Dealers Record: 1**

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

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

- **c. CRD number:** 000018217

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

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

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

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $85,231.40

**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:** 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:** $85,231.40

**Brokers Record: 2**

- **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:** $524.00

**Aggregate Commission:** $85,755.40

**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        | $3,260,760,844.71         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,290,557,346.28

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

- **Item C.19.a - Fund's monthly average net assets:** $5,804,209,286.16

**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   |
|:---|:---|
| Principal LifeTime Hybrid 2065 Fund                | 811-07572         |
| SAM Conservative Growth Portfolio                  | 811-07572         |
| Global Listed Infrastructure Fund                  | 811-07572         |
| Global Emerging Markets Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                | 811-07572         |
| Small-MidCap Dividend Income Fund                  | 811-07572         |
| Principal LifeTime 2045 Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                | 811-07572         |
| Principal LifeTime 2035 Fund                       | 811-07572         |
| Principal LifeTime 2050 Fund                       | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund | 811-07572         |
| Diversified Real Asset Fund                        | 811-07572         |
| Equity Income Account                              | 811-01944         |
| Inflation Protection Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                          | 811-07572         |
| Bond Market Index Fund                             | 811-07572         |
| SmallCap Account                                   | 811-01944         |
| International Equity Index Fund                    | 811-07572         |
| SAM Conservative Balanced Portfolio                | 811-01944         |
| Overseas Fund                                      | 811-07572         |
| Blue Chip Account                                  | 811-01944         |
| Principal LifeTime 2050 Account                    | 811-01944         |
| Bond Market Index Account                          | 811-01944         |
| International Small Company Fund                   | 811-07572         |
| Global Multi-Strategy Fund                         | 811-07572         |
| SAM Conservative Balanced Portfolio                | 811-07572         |
| SAM Flexible Income Portfolio                      | 811-07572         |
| Government & High Quality Bond Fund                | 811-07572         |
| Principal LifeTime 2020 Fund                       | 811-07572         |
| Principal LifeTime Strategic Income Fund           | 811-07572         |
| SAM Strategic Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                | 811-07572         |
| Capital Securities Fund                            | 811-07572         |
| Edge MidCap Fund                                   | 811-07572         |
| High Yield Fund                                    | 811-07572         |
| Principal LifeTime 2025 Fund                       | 811-07572         |
| Diversified International Account                  | 811-01944         |
| Diversified Balanced Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                       | 811-07572         |
| SAM Flexible Income Portfolio                      | 811-01944         |
| Money Market Fund                                  | 811-07572         |
| SAM Balanced Portfolio                             | 811-07572         |
| Diversified Income Fund                            | 811-07572         |
| Core Plus Bond Account                             | 811-01944         |
| SmallCap Value Fund II                             | 811-07572         |
| California Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                    | 811-01944         |
| LargeCap S&P 500 Index Account                     | 811-01944         |
| SAM Conservative Growth Portfolio                  | 811-01944         |
| LargeCap S&P 500 Index Fund                        | 811-07572         |
| Principal LifeTime 2020 Account                    | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                | 811-07572         |
| Opportunistic Municipal Fund                       | 811-07572         |
| Principal LifeTime Hybrid Income Fund              | 811-07572         |
| U.S. LargeCap Buffer July Account                  | 811-01944         |
| Principal LifeTime 2060 Fund                       | 811-07572         |
| Global Emerging Markets Account                    | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                | 811-07572         |
| MidCap Growth Fund III                             | 811-07572         |
| Government & High Quality Bond Account             | 811-01944         |
| Diversified Balanced Adaptive Allocation Account   | 811-01944         |
| Principal LifeTime 2015 Fund                       | 811-07572         |
| Real Estate Securities Account                     | 811-01944         |
| Tax-Exempt Bond Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                | 811-07572         |
| International Equity Fund                          | 811-07572         |
| MidCap Account                                     | 811-01944         |
| Diversified Growth Account                         | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                | 811-07572         |
| LargeCap Growth Fund I                             | 811-07572         |
| Principal LifeTime 2040 Fund                       | 811-07572         |
| Core Plus Bond Fund                                | 811-07572         |
| LargeCap Value Fund III                            | 811-07572         |
| Diversified Growth Adaptive Allocation Account     | 811-01944         |
| Diversified Income Account                         | 811-01944         |
| Principal Capital Appreciation Fund                | 811-07572         |
| MidCap Growth Fund                                 | 811-07572         |
| LargeCap Growth Account I                          | 811-01944         |
| Principal LifeTime 2070 Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                | 811-07572         |
| Short-Term Income Account                          | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                | 811-07572         |
| Global Real Estate Securities Fund                 | 811-07572         |
| SAM Balanced Portfolio                             | 811-01944         |
| Core Fixed Income Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                | 811-07572         |
| Equity Income Fund                                 | 811-07572         |
| Diversified International Fund                     | 811-07572         |
| Principal Capital Appreciation Account             | 811-01944         |
| Diversified Growth Strategic Allocation Account    | 811-01944         |
| Principal LifeTime 2030 Fund                       | 811-07572         |
| Short-Term Income Fund                             | 811-07572         |
| Blue Chip Fund                                     | 811-07572         |
| MidCap Fund                                        | 811-07572         |
| Principal LifeTime 2030 Account                    | 811-01944         |
| SmallCap Fund                                      | 811-07572         |
| SmallCap S&P 600 Index Fund                        | 811-07572         |
| Principal LifeTime 2040 Account                    | 811-01944         |
| U.S. LargeCap Buffer October Account               | 811-01944         |
| Principal LifeTime Strategic Income Account        | 811-01944         |
| MidCap Value Fund I                                | 811-07572         |
| Diversified Balanced Strategic Allocation Account  | 811-01944         |
| Principal LifeTime 2065 Fund                       | 811-07572         |
| Government Money Market Fund                       | 811-07572         |
| SAM Strategic Growth Portfolio                     | 811-01944         |
| U.S. LargeCap Buffer April Account                 | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account  | 811-01944         |
| Real Estate Securities Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                | 811-07572         |
| SmallCap Growth Fund I                             | 811-07572         |
| U.S. LargeCap Buffer January 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 - 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 | Institutional           | C000104714                                | PSMIX                        |
|                           2 | R-6                     | C000190071                                | PGLSX                        |
|                           3 | Class A                 | C000104712                                | PMSAX                        |

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

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

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

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

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

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

- Rule 18f-4 (17 CFR 270.18f-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:** 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: 3**

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

- **ii. SEC file number:** 801-110141

- **iii. CRD number:** 000167332

- **iv. LEI, if any:** 549300TBH6LTL3UKU026

- **v. Is the sub-adviser an affiliated person?:** 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:** Record Currency Management Limited

- **ii. SEC file number:** 801-46575

- **iii. CRD number:** 000110893

- **iv. LEI, if any:** BMDZF480JZJBBPMJOE66

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

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

**Sub-adviser Record: 6**

- **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

**Sub-adviser Record: 7**

- **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: 8**

- **i. Full name:** Los Angeles Capital Management LLC

- **ii. SEC file number:** 801-60934

- **iii. CRD number:** 000119033

- **iv. LEI, if any:** 549300DZCL1LRBNVU327

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

- **i. Full name:** 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: 2**

- **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: 3**

- **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: 4**

- **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: 5**

- **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: 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:** 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: 8**

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

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

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

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

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

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

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

**Custodians Record: 9**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **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: 11**

- **i. Full name:** STD CHTD 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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **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: 17**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 18**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 19**

- **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: 20**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

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

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

- **vii. With 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 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: 22**

- **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: 23**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DOHA

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** 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: 25**

- **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: 26**

- **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: 27**

- **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: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **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: 32**

- **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: 33**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **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: 39**

- **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: 40**

- **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: 41**

- **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: 42**

- **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: 43**

- **i. Full name:** STD CHTD 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: 44**

- **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: 45**

- **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: 46**

- **i. Full name:** UNICREDIT BANK SERBIA JSC

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** JSC TBANK

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** CITIBANK 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: 49**

- **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: 50**

- **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: 51**

- **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: 52**

- **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: 53**

- **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: 54**

- **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: 55**

- **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: 56**

- **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: 57**

- **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: 58**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 59**

- **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: 60**

- **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: 61**

- **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: 62**

- **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: 63**

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

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

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 64**

- **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: 65**

- **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: 66**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 67**

- **i. Full name:** NORDEA DENMARK

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

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

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

- **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:** N/A

- **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:** N/A

- **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:** $8,283.60

**Brokers Record: 2**

- **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:** $13,807.61

**Brokers Record: 3**

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

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

- **iii. CRD number:** 000039455

- **iv. LEI, if any:** 549300Q8AVM3P2CCKI12

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $36,495.76

**Brokers Record: 4**

- **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:** $5,487.98

**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:** $5,181.96

**Brokers Record: 6**

- **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:** $13,354.38

**Brokers Record: 7**

- **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:** $8,289.50

**Brokers Record: 8**

- **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:** $8,657.22

**Brokers Record: 9**

- **i. Full name of broker:** UNITED FIRST PARTNERS

- **ii. SEC file number:** 8-68718

- **iii. CRD number:** 000155456

- **iv. LEI, if any:** 254900WD45SOCZ7IKM52

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,912.77

**Brokers Record: 10**

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

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

- **iii. CRD number:** 000002347

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $12,436.48

**Aggregate Commission:** $178,253.88

**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        | $45,433,244.26            |
| J.P. MORGAN SECURITIES LLC    | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $74,509,131.90            |
| BARCLAYS CAPITAL INC.         | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $18,550,517.11            |
| BMO CAPITAL MARKETS           | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $25,054,944.00            |
| BANK OF MONTREAL              | 8-67064           |    000137115 | 549300TQFI3ST5RO3P37 | IL      | US        | $29,010,182.11            |
| CITIGROUP GLOBAL MARKETS      | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $39,965,901.85            |
| RBC DOMINION SECURITIES CORP. | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $73,113,711.25            |
| TD BANK FINANCIAL GROUP       | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $72,472,327.13            |
| GOLDMAN SACHS CO.             | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $57,281,984.77            |
| HSBC SECURITIES INC.          | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $22,409,615.35            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $630,135,034.34

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

- **Item C.19.a - Fund's monthly average net assets:** $423,877,247.17

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

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

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

**Line of Credit details Record: 1**

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

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

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

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

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

### Management Investment Record: 6 - 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?:** 7

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

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000167694                                | PGBEX                        |
|                           2 | Institutional           | C000115413                                | PBCKX                        |
|                           3 | R-6                     | C000176331                                | PGBHX                        |
|                           4 | Class C                 | C000131724                                | PBLCX                        |
|                           5 | R-5                     | C000167696                                | PGBGX                        |
|                           6 | Class A                 | C000131723                                | PBLAX                        |
|                           7 | Class J                 | C000193661                                | PBCJX                        |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

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

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

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

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

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

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

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

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

**Securities Lending Record: 1**

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

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

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

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

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

  **Idemnity Providers Record: 1**

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

  - **2. LEI, if any:** —

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

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

**Collateral Managers Record: 1**

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

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $7,188,247.61

- **g. Provide the net income from securities lending activities:** $13,363.54

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

Did the Fund rely on the following rules?

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

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

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

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

- 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:** S&P Global Inc.

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

- **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:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

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

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

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

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

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

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

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

**Custodians Record: 4**

- **i. Full name:** 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: 5**

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

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

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

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $60,280.08

**Brokers Record: 2**

- **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:** $68,285.32

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $168,735.10

**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:** $136,095.42

**Brokers Record: 5**

- **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:** $57,748.25

**Brokers Record: 6**

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

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

- **iii. CRD number:** 000149823

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $74,057.19

**Brokers Record: 7**

- **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:** $113,341.60

**Brokers Record: 8**

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

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

- **iii. CRD number:** 000000665

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $69,562.14

**Brokers Record: 9**

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

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

- **iii. CRD number:** 000000793

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $81,135.29

**Brokers Record: 10**

- **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:** $58,030.28

**Aggregate Commission:** $1,263,529.67

**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        | $33,456,080.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $33,456,080.00

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

- **Item C.19.a - Fund's monthly average net assets:** $11,328,136,830.73

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

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

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

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

### Management Investment Record: 7 - 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 | Institutional           | C000101661                                | PMDIX                        |
|                           2 | Class C                 | C000115416                                | PMDDX                        |
|                           3 | Class A                 | C000101659                                | PMDAX                        |
|                           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:** Principal Global Investors, LLC

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $28,115.89

- **g. Provide the net income from securities lending activities:** $1,754.45

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

Did the Fund rely on the following rules?

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

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

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

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

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

- Rule 18f-4 (17 CFR 270.18f-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:** S&P Global Inc.

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

- **i. Full name:** 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:** HPFHU0OQ28E4N0NFVK49

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

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

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

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

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

**Custodians Record: 4**

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

- **ii. LEI, if any:** 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:** SS&C GIDS, Inc.

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $38,742.19

**Brokers Record: 2**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $17,907.40

**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:** $134,682.97

**Brokers Record: 4**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $68,366.53

**Brokers Record: 5**

- **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:** $15,703.92

**Brokers Record: 6**

- **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:** $29,500.97

**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:** $44,141.29

**Brokers Record: 8**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $31,893.42

**Brokers Record: 9**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $36,041.29

**Brokers Record: 10**

- **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:** $26,809.12

**Aggregate Commission:** $572,248.20

- **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:** $1,648,749,067.67

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

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

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

**Line of Credit details Record: 1**

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

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

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

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

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

### Management Investment Record: 8 - 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(c)(4) (17CFR 270.18f-4(c)(4))

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

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

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

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

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

**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:** S&P Global Inc.

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $300.00

**Aggregate Commission:** $300.00

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

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| PIPER SANDLER COS                   | 8-15204           |    000000665 | 549300GRQCWQ3XGH0H10 | MN      | US        | $12,569,353.00            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $56,491,650.71            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $21,589,445.03            |
| FMS BONDS/FIRST MIAMI SECURITIES    | 8-23280           |    000000793 | 549300TUTBK58NSF2517 | FL      | US        | $11,762,599.15            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $30,232,124.35            |
| TD BANK FINANCIAL GROUP             | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $12,295,000.00            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $52,670,000.00            |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $23,556,227.85            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $16,786,090.35            |
| ZIEGLER SECURITIES                  | 8-94              |    000000061 | 549300NLEOFP92P38Q71 | IL      | US        | $12,975,660.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $319,294,648.36

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

- **Item C.19.a - Fund's monthly average net assets:** $164,514,252.06

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

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

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

**Line of Credit details Record: 1**

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

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

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $31,701,395.35

- **g. Provide the net income from securities lending activities:** $241,973.46

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

Did the Fund rely on the following rules?

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

**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:** 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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

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

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

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** 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:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

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

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

- **vii. With 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

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

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

- **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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

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

| Name               | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| SAMI BROKERAGE LLC | 8-36472           |    000018217 | WARIMFOO2Y13MJ7LNX31 | CT      | US        | $486,215,113.76           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $494,525,296.78

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

- **Item C.19.a - Fund's monthly average net assets:** $1,162,428,272.93

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

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

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

**Line of Credit details Record: 1**

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

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

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

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

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

### Management Investment Record: 10 - 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 | R-6                     | C000176332                                | PFISX                        |
|                           2 | Institutional           | C000150254                                | PISMX                        |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [x] N/A

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

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

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

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

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

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

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

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

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

**Securities Lending Record: 1**

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

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

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

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

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

  **Idemnity Providers Record: 1**

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

  - **2. LEI, if any:** —

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

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

**Collateral Managers Record: 1**

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

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $7,625,468.76

- **g. Provide the net income from securities lending activities:** $43,574.47

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

Did the Fund rely on the following rules?

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

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

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

- Rule 18f-4 (17 CFR 270.18f-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:** S&P Global Inc.

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **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:** THE BANK OF NEW YORK MELLON SA/NV 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: 3**

- **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: 4**

- **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: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 6**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 8**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** 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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, 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: 23**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** 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: 27**

- **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: 28**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **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

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $53,340.19

**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:** $56,655.90

**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:** $65,606.27

**Brokers Record: 4**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $33,473.26

**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:** $45,026.24

**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:** $71,517.45

**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:** $30,256.80

**Brokers Record: 8**

- **i. Full name of broker:** MACQUARIE GROUP LTD.

- **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:** $50,398.09

**Brokers Record: 9**

- **i. Full name of broker:** CLSA AMERICAS LLC

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 969500TJ5KRTCJQWXH05

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,497.11

**Brokers Record: 10**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $62,255.54

**Aggregate Commission:** $693,239.83

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| LIQUIDNET                           | 8-52461           |    000103987 | 213800HSKBBO1GCVRG79 | NY      | US        | $819,948.79               |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $190,766.53               |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $603,735.98               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,614,451.30

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $536,454,143.89

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $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   |
|:---|:---|
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Global Listed Infrastructure Fund                     | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**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 - 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?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000082029                                | PBOIX                        |
|                           2 | R-5                     | C000082031                                | PBIQX                        |
|                           3 | Class J                 | C000085837                                | PBIJX                        |
|                           4 | Institutional           | C000082026                                | PNIIX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $17,349,586.14

- **g. Provide the net income from securities lending activities:** $129,959.43

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** 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:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** 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 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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **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

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,250.00

**Brokers Record: 2**

- **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:** $50.00

**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:** $800.00

**Brokers Record: 4**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $150.00

**Aggregate Commission:** $2,250.00

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $72,573,696.22            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $127,032,665.77           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $121,551,723.40           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $138,865,761.78           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $59,673,057.98            |
| NOMURA SECURITIES INT'L INC.        | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $117,402,477.65           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $339,159,855.99           |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $135,461,213.59           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $901,960,322.29           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $191,415,965.69           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,545,905,665.91

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,523,529,006.09

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $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   |
|:---|:---|
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Global Listed Infrastructure Fund                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 12 - 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 | R-6                     | C000150253                                | PDARX                        |
|                           2 | Class A                 | C000085834                                | PRDAX                        |
|                           3 | Institutional           | C000085836                                | PDRDX                        |
|                           4 | R-3                     | C000167692                                | PGDRX                        |

**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:** $17,913,224.76

- **g. Provide the net income from securities lending activities:** $297,806.55

**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 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 17e-1 (17 CFR 270.17e-1)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Blackrock Financial Management, INC

- **ii. SEC file number:** 801-48433

- **iii. CRD number:** 000107105

- **iv. LEI, if any:** 549300LVXYIVJKE13M84

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **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: 3**

- **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: 4**

- **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: 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:** 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: 7**

- **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: 8**

- **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

**Sub-adviser Record: 9**

- **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:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** HSBC 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: 2**

- **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: 3**

- **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: 4**

- **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: 5**

- **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: 6**

- **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: 7**

- **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: 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:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO BM BANCITIBANAMEX (C

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **i. Full name:** STD CHTD 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: 17**

- **i. Full name:** UNION INTERNATIONALE DE BANQUES

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 19**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** 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: 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:** 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: 24**

- **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: 25**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 26**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** 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: 29**

- **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: 30**

- **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: 31**

- **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: 32**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** BNP PARIBAS PARIS, ZURICH 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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **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: 39**

- **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: 40**

- **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: 41**

- **i. Full name:** STD CHTD 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: 42**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 45**

- **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: 46**

- **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: 47**

- **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: 48**

- **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: 49**

- **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: 50**

- **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: 51**

- **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: 52**

- **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: 53**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 54**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With 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:** 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: 56**

- **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: 57**

- **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: 58**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 59**

- **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: 60**

- **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: 61**

- **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: 62**

- **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: 63**

- **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: 64**

- **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)

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **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

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** Macquarie Securities (NZ) Limited

- **b. SEC file number:** N/A

- **c. CRD number:** N/A

- **d. LEI, if any:** 5493004AU6K20VKPDF17

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $738.07

**Broker Dealers Record: 2**

- **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::** $550.59

**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:** $144,787.52

**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:** $95,754.63

**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:** $91,265.20

**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:** $91,433.30

**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:** $61,535.28

**Brokers Record: 6**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $132,774.64

**Brokers Record: 7**

- **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:** $242,677.00

**Brokers Record: 8**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $127,915.60

**Brokers Record: 9**

- **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:** $136,600.76

**Brokers Record: 10**

- **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:** $161,356.99

**Aggregate Commission:** $1,879,608.45

**Item C.17.a. Principal transaction counterparties.**

| Name                           | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BNY MELLON CAPITAL MARKETS LLC | 8-35255           |    000017454 | VJW2DOOHGDT6PR0ZRO63 | NY      | US        | $309,707,450.07           |
| GOLDMAN SACHS CO.              | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $249,205,712.67           |
| NOMURA SECURITIES INT'L INC.   | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $83,300,829.57            |
| CITADEL TRADING GROUP          | 8-41207           |    000024514 | N/A                  | IL      | US        | $442,211,689.03           |
| MORGAN STANLEY & CO. LLC.      | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $351,217,822.45           |
| MIZUHO SECURITIES USA INC.     | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $160,552,441.75           |
| BNP PARIBAS SECURITIES CORP    | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $265,234,829.10           |
| BARCLAYS CAPITAL INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $285,879,965.46           |
| BMO CAPITAL MARKETS            | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $271,314,069.82           |
| J.P. MORGAN SECURITIES LLC     | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $252,632,939.38           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,966,090,016.04

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,601,306,567.03

**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   |
|:---|:---|
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Global Listed Infrastructure Fund                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

## 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:** 2025-11-14

**Signature:** /s/ Megan Hoffmann

**Title:** Vice President and Treasurer