# EDGAR Filing Document

**Accession Number:** 0000012601
**File Stem:** 0001752724-23-051606
**Filing Date:** 2023-3
**Character Count:** 858638
**Document Hash:** e559d7919dc1f644dfc2dc4f76a28fda
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-051606.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001752724-23-051606

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**EFFECTIVENESS DATE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PRINCIPAL VARIABLE CONTRACTS FUNDS INC
- **CENTRAL INDEX KEY:** 0000012601
- **IRS NUMBER:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-01944
- **FILM NUMBER:** 23722074

**BUSINESS ADDRESS:**
- **STREET 1:** 711 HIGH STREET
- **CITY:** DES MOINES
- **STATE:** IA
- **ZIP:** 50392
- **BUSINESS PHONE:** 515-247-5477

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

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCIPAL VARIABLE CONTRACTS FUND INC
- **DATE OF NAME CHANGE:** 19980617

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCIPAL CAPITAL ACCUMULATION FUND INC
- **DATE OF NAME CHANGE:** 19920703

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRINCOR INVESTMENT FUND INC
- **DATE OF NAME CHANGE:** 19880906

## Series and Classes Contracts Data

### Global Emerging Markets Account (formerly, International Emerging Markets Account) (Series ID: S000007656)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020904 | Global Emerging Markets Account Class 1 |  |

### LargeCap S&P 500 Index Account (Series ID: S000007660)

| Class ID   | Class Name                             | Ticker Symbol   |
|:---|:---|:---|
| C000020908 | LargeCap S&P 500 Index Account Class 1 |  |
| C000155998 | LargeCap S&P 500 Index Account Class 2 |  |

### MidCap Account (Series ID: S000007662)

| Class ID   | Class Name             | Ticker Symbol   |
|:---|:---|:---|
| C000020910 | MidCap Account Class 1 |  |
| C000079602 | MidCap Account Class 2 |  |

### Principal LifeTime 2010 Account (Series ID: S000007667)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020915 | Principal LifeTime 2010 Account Class 1 |  |

### Principal LifeTime 2020 Account (Series ID: S000007668)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020916 | Principal LifeTime 2020 Account Class 1 |  |

### Principal LifeTime 2030 Account (Series ID: S000007669)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020917 | Principal LifeTime 2030 Account Class 1 |  |

### Principal LifeTime 2040 Account (Series ID: S000007670)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020918 | Principal LifeTime 2040 Account Class 1 |  |

### Principal LifeTime 2050 Account (Series ID: S000007671)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000020919 | Principal LifeTime 2050 Account Class 1 |  |

### Principal LifeTime Strategic Income Account (Series ID: S000007672)

| Class ID   | Class Name                                          | Ticker Symbol   |
|:---|:---|:---|
| C000020920 | Principal LifeTime Strategic Income Account Class 1 |  |

### Real Estate Securities Account (Series ID: S000007673)

| Class ID   | Class Name                             | Ticker Symbol   |
|:---|:---|:---|
| C000020921 | Real Estate Securities Account Class 1 |  |
| C000038552 | Real Estate Securities Account Class 2 |  |

### SmallCap Account (Series ID: S000007675)

| Class ID   | Class Name               | Ticker Symbol   |
|:---|:---|:---|
| C000020923 | SmallCap Account Class 1 |  |
| C000152597 | SmallCap Account Class 2 |  |

### Core Plus Bond Account (Series ID: S000007677)

| Class ID   | Class Name                     | Ticker Symbol   |
|:---|:---|:---|
| C000020925 | Core Plus Bond Account Class 1 |  |

### Diversified International Account (Series ID: S000007681)

| Class ID   | Class Name                                | Ticker Symbol   |
|:---|:---|:---|
| C000020929 | Diversified International Account Class 1 |  |

### LargeCap Growth Account I (Series ID: S000007682)

| Class ID   | Class Name                        | Ticker Symbol   |
|:---|:---|:---|
| C000020930 | LargeCap Growth Account I Class 1 |  |

### Equity Income Account (Series ID: S000014083)

| Class ID   | Class Name                    | Ticker Symbol   |
|:---|:---|:---|
| C000038528 | Equity Income Account Class 1 |  |
| C000038529 | Equity Income Account Class 2 |  |
| C000223413 | Equity Income Account Class 3 |  |

### Strategic Asset Management Strategic Growth Portfolio (Series ID: S000014084)

| Class ID   | Class Name                                                    | Ticker Symbol   |
|:---|:---|:---|
| C000038530 | Strategic Asset Management Strategic Growth Portfolio Class 1 |  |
| C000038531 | Strategic Asset Management Strategic Growth Portfolio Class 2 |  |

### Principal Capital Appreciation Account (Series ID: S000014085)

| Class ID   | Class Name                                     | Ticker Symbol   |
|:---|:---|:---|
| C000038532 | Principal Capital Appreciation Account Class 1 |  |
| C000038533 | Principal Capital Appreciation Account Class 2 |  |

### Government & High Quality Bond Account f/k/a Mortgage Securities Account (Series ID: S000014088)

| Class ID   | Class Name                                     | Ticker Symbol   |
|:---|:---|:---|
| C000038539 | Government & High Quality Bond Account Class 1 |  |

### Short-Term Income Account (Series ID: S000014089)

| Class ID   | Class Name                        | Ticker Symbol   |
|:---|:---|:---|
| C000038541 | Short-Term Income Account Class 1 |  |

### Strategic Asset Management Balanced Portfolio (Series ID: S000014090)

| Class ID   | Class Name                                            | Ticker Symbol   |
|:---|:---|:---|
| C000038542 | Strategic Asset Management Balanced Portfolio Class 2 |  |
| C000038543 | Strategic Asset Management Balanced Portfolio Class 1 |  |

### Strategic Asset Management Conservative Balanced Portfolio (Series ID: S000014091)

| Class ID   | Class Name                                                         | Ticker Symbol   |
|:---|:---|:---|
| C000038544 | Strategic Asset Management Conservative Balanced Portfolio Class 2 |  |
| C000038545 | Strategic Asset Management Conservative Balanced Portfolio Class 1 |  |

### Strategic Asset Management Conservative Growth Portfolio (Series ID: S000014092)

| Class ID   | Class Name                                                       | Ticker Symbol   |
|:---|:---|:---|
| C000038546 | Strategic Asset Management Conservative Growth Portfolio Class 1 |  |
| C000038547 | Strategic Asset Management Conservative Growth Portfolio Class 2 |  |

### Strategic Asset Management Flexible Income Portfolio (Series ID: S000014093)

| Class ID   | Class Name                                                   | Ticker Symbol   |
|:---|:---|:---|
| C000038548 | Strategic Asset Management Flexible Income Portfolio Class 1 |  |
| C000038549 | Strategic Asset Management Flexible Income Portfolio Class 2 |  |

### Diversified Balanced Account (Series ID: S000027170)

| Class ID   | Class Name                           | Ticker Symbol   |
|:---|:---|:---|
| C000081996 | Diversified Balanced Account Class 2 |  |
| C000186093 | Diversified Balanced Account Class 1 |  |
| C000223414 | Diversified Balanced Account Class 3 |  |

### Diversified Growth Account (Series ID: S000027171)

| Class ID   | Class Name                         | Ticker Symbol   |
|:---|:---|:---|
| C000081997 | Diversified Growth Account Class 2 |  |
| C000223415 | Diversified Growth Account Class 3 |  |

### Bond Market Index Account (Series ID: S000036925)

| Class ID   | Class Name                        | Ticker Symbol   |
|:---|:---|:---|
| C000112990 | Bond Market Index Account Class 1 |  |

### Diversified Income Account (Series ID: S000036926)

| Class ID   | Class Name                         | Ticker Symbol   |
|:---|:---|:---|
| C000112991 | Diversified Income Account Class 2 |  |
| C000223416 | Diversified Income Account Class 3 |  |

### Principal LifeTime 2060 Account (Series ID: S000040678)

| Class ID   | Class Name                              | Ticker Symbol   |
|:---|:---|:---|
| C000126088 | Principal LifeTime 2060 Account Class 1 |  |

### LargeCap S&P 500 Managed Volatility Index Account (Series ID: S000042784)

| Class ID   | Class Name                                                | Ticker Symbol   |
|:---|:---|:---|
| C000132327 | LargeCap S&P 500 Managed Volatility Index Account Class 1 |  |

### Diversified Balanced Managed Volatility Account (Series ID: S000042785)

| Class ID   | Class Name                                              | Ticker Symbol   |
|:---|:---|:---|
| C000132328 | Diversified Balanced Managed Volatility Account Class 2 |  |
| C000223417 | Diversified Balanced Managed Volatility Account Class 3 |  |

### Diversified Growth Managed Volatility Account (Series ID: S000042786)

| Class ID   | Class Name                                            | Ticker Symbol   |
|:---|:---|:---|
| C000132329 | Diversified Growth Managed Volatility Account Class 2 |  |
| C000223418 | Diversified Growth Managed Volatility Account Class 3 |  |

### Diversified Balanced Volatility Control Account (Series ID: S000056528)

| Class ID   | Class Name                                              | Ticker Symbol   |
|:---|:---|:---|
| C000178859 | Diversified Balanced Volatility Control Account Class 2 |  |
| C000223419 | Diversified Balanced Volatility Control Account Class 3 |  |

### Diversified Growth Volatility Control Account (Series ID: S000056529)

| Class ID   | Class Name                                            | Ticker Symbol   |
|:---|:---|:---|
| C000178860 | Diversified Growth Volatility Control Account Class 2 |  |
| C000223420 | Diversified Growth Volatility Control Account Class 3 |  |

### Blue Chip Account (Series ID: S000070249)

| Class ID   | Class Name                | Ticker Symbol   |
|:---|:---|:---|
| C000223412 | Blue Chip Account Class 3 |  |

### U.S. LargeCap Buffer July Account (Series ID: S000076127)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000235586 | Class 2      |  |

### U.S. LargeCap Buffer October Account (Series ID: S000077914)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000238594 | Class 2      |  |

### U.S. LargeCap Buffer January Account (Series ID: S000077916)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000238596 | Class 2      |  |

## Internal

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

In planning and performing our audits of the financial statements of Principal Variable Contracts Funds, Inc., (the "Fund") (comprising the funds listed individually in Exhibit A attached hereto), as of and for the year ended December 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's 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 Fund's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Fund 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 Fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's 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 Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of December 31, 2022. This report is intended solely for the information and use of management and the Board of Directors of the Principal Variable Contracts Funds, Inc. 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

February 21, 2023

**Exhibit A**

Blue Chip Account Bond Market Index Account Core Plus Bond Account Diversified Balanced Account Diversified Balanced Managed Volatility Account Diversified Balanced Volatility Control Account Diversified Growth Account Diversified Growth Managed Volatility Account Diversified Growth Volatility Control Account Diversified Income Account Diversified International Account

Equity Income Account Global Emerging Markets Account (formerly International Emerging Markets Account) Government & High Quality Bond Account LargeCap Growth Account I LargeCap S&P 500 Index Account LargeCap S&P 500 Managed Volatility Index Account MidCap Account Principal Capital Appreciation Account Principal LifeTime 2010 Account Principal LifeTime 2020 Account Principal LifeTime 2030 Account Principal LifeTime 2040 Account Principal LifeTime 2050 Account Principal LifeTime 2060 Account Principal LifeTime Strategic Income Account

Real Estate Securities Account SAM Balanced Portfolio SAM Conservative Balanced Portfolio SAM Conservative Growth Portfolio SAM Flexible Income Portfolio SAM Strategic Growth Portfolio Short-Term Income Account SmallCap Account U.S. LargeCap Buffer January Account U.S. LargeCap Buffer July Account U.S. LargeCap Buffer October Account

## Exempt

PRINCIPAL FUNDS' CCO ANNUAL CERTIFICATION

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

For the year ended December 31, 2022

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:** 0000012601

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

**Series ID Record:1**
- **Series ID:** S000014093

**Series ID Record:2**
- **Series ID:** S000036926

**Series ID Record:3**
- **Series ID:** S000056528

**Series ID Record:4**
- **Series ID:** S000007682

**Series ID Record:5**
- **Series ID:** S000007673

**Series ID Record:6**
- **Series ID:** S000007668

**Series ID Record:7**
- **Series ID:** S000007667

**Series ID Record:8**
- **Series ID:** S000007681

**Series ID Record:9**
- **Series ID:** S000027170

**Series ID Record:10**
- **Series ID:** S000007672

**Series ID Record:11**
- **Series ID:** S000036925

**Series ID Record:12**
- **Series ID:** S000014091

**Series ID Record:13**
- **Series ID:** S000042784

**Series ID Record:14**
- **Series ID:** S000077914

**Series ID Record:15**
- **Series ID:** S000007662

**Series ID Record:16**
- **Series ID:** S000077916

**Series ID Record:17**
- **Series ID:** S000007656

**Series ID Record:18**
- **Series ID:** S000007671

**Series ID Record:19**
- **Series ID:** S000070249

**Series ID Record:20**
- **Series ID:** S000014088

**Series ID Record:21**
- **Series ID:** S000007675

**Series ID Record:22**
- **Series ID:** S000007670

**Series ID Record:23**
- **Series ID:** S000014090

**Series ID Record:24**
- **Series ID:** S000014083

**Series ID Record:25**
- **Series ID:** S000042786

**Series ID Record:26**
- **Series ID:** S000014089

**Series ID Record:27**
- **Series ID:** S000014084

**Series ID Record:28**
- **Series ID:** S000027171

**Series ID Record:29**
- **Series ID:** S000040678

**Series ID Record:30**
- **Series ID:** S000007660

**Series ID Record:31**
- **Series ID:** S000007677

**Series ID Record:32**
- **Series ID:** S000042785

**Series ID Record:33**
- **Series ID:** S000014085

**Series ID Record:34**
- **Series ID:** S000007669

**Series ID Record:35**
- **Series ID:** S000056529

**Series ID Record:36**
- **Series ID:** S000014092

**Series ID Record:37**
- **Series ID:** S000076127

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

**Item A.1.a - Report for period ending:** 2022-12-31

**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 Variable Contracts Funds Inc

- **Item B.1.b - Investment Company Act file number:** 811-01944

- **Item B.1.c - CIK:** 0000012601

- **Item B.1.d - LEI:** ICS43THKTGQL3EQ10426

- **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/pvcprospectuses

### 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:** 37

- **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   |
|:---|:---|:---|
| Patrick G. Halter     | Yes                     | 811-23029, 811-07572, 811-23403         |
| Katharin S. Dyer      | No                      | 811-23029, 811-07572, 811-23403         |
| Frances P. Grieb      | No                      | 811-23403, 811-23029, 811-07572         |
| Fritz Hirsch          | No                      | 811-23029, 811-23403, 811-07572         |
| Craig Damos           | No                      | 811-23403, 811-23029, 811-07572         |
| Karen McMillan        | No                      | 811-23029, 811-07572, 811-23403         |
| Timothy M. Dunbar     | Yes                     | 811-23029, 811-23403, 811-07572         |
| Padelford L. Lattimer | No                      | 811-23029, 811-07572, 811-23403         |
| Victor L. Hymes       | No                      | 811-07572, 811-23029, 811-23403         |
| Mary M. VanDeWeghe    | No                      | 811-23029, 811-23403, 811-07572         |
| Leroy T. Barnes, Jr   | No                      | 811-23029, 811-23403, 811-07572         |
| Elizabeth A. Nickels  | No                      | 811-07572, 811-23029, 811-23403         |

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

**Chief compliance officer Record: 1**

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

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

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

- **d. City:** Des Moines

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

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

- **g. Zip code:** 50309

- **h. Telephone number:** XXXXXX

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

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

**CCO employer Record: 1**

- **i. Name of the person:** —

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

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

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** —

| Series Name                     | Series ID   |
|:---|:---|
| Principal LifeTime 2010 Account | S000007667  |

- **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-29172
  - IC-27887

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

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

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

- **iii. CRD number:** 000043261

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

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

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

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

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

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

**Public accountant Record: 1**

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

- **b. PCAOB Number:** 42

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

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

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

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

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

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

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

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

## Part C: Additional Questions for Management Investment Companies

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

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

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

- **b. Series identification number, if any:** S000014093

- **c. LEI:** 549300XHUHBJWMEAVG57

- **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 1                 | C000038548                                | N/A                          |
|                           2 | Class 2                 | C000038549                                | N/A                          |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

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

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

- **i. Full name:** 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

**Pricing Services Record: 5**

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

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $880.00

**Brokers Record: 2**

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

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

- **iii. CRD number:** 000037818

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $310.00

**Brokers Record: 3**

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

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

- **iii. CRD number:** 000103782

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,292.98

**Aggregate Commission:** $12,482.98

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $163,504,172.01

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

- **Item C.19.a - Fund's monthly average net assets:** $161,890,081.25

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

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

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

**Line of Credit details Record: 1**

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

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

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 2 - Diversified Income Account

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

- **a. Full Name of the Fund:** Diversified Income Account

- **b. Series identification number, if any:** S000036926

- **c. LEI:** 549300MYVXHNUIGC3O13

- **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 2                 | C000112991                                | N/A                          |
|                           2 | Class 3                 | C000223416                                | N/A                          |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

**Pricing Services Record: 5**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $144,955,211.67

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

- **Item C.19.a - Fund's monthly average net assets:** $274,494,711.73

**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?** $250,000,000.00

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 3 - U.S. LargeCap Buffer January Account

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

- **a. Full Name of the Fund:** U.S. LargeCap Buffer January Account

- **b. Series identification number, if any:** S000077916

- **c. LEI:** 549300ISZL6RJ5CR3A92

- **d. Is this the first filing on this form by the Fund?:** Yes

**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?:** 1

- **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 2                 | C000238596                                | N/A                          |

**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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

**Pricing Services Record: 5**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $513.53

**Brokers Record: 2**

- **i. Full name of broker:** MAREX FINANCIAL LTD.

- **ii. SEC file number:** 8-70580

- **iii. CRD number:** 000307508

- **iv. LEI, if any:** 5493003EETVWYSIJ5A20

- **vii. Gross commissions paid by the Fund for the reporting period:** $382.50

**Brokers Record: 3**

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

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

- **iii. CRD number:** 000103782

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $745.96

**Aggregate Commission:** $1,641.99

- **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'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $26,065,906.41

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

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

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

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

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

### Management Investment Record: 4 - Diversified Balanced Volatility Control Account

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

- **a. Full Name of the Fund:** Diversified Balanced Volatility Control Account

- **b. Series identification number, if any:** S000056528

- **c. LEI:** 549300U526DTMSOB8D57

- **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 2                 | C000178859                                | N/A                          |
|                           2 | Class 3                 | C000223419                                | N/A                          |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

**Pricing Services Record: 5**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $15,033.09

**Brokers Record: 2**

- **i. Full name of broker:** BNP PARIBAS SECURITIES CORP

- **ii. SEC file number:** 8-32682

- **iii. CRD number:** 000015794

- **iv. LEI, if any:** 2J5703FH5U5M97R1I237

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $119.21

**Brokers Record: 3**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $152.28

**Brokers Record: 4**

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

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

- **iii. CRD number:** 000000665

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $0.84

**Brokers Record: 5**

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

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

- **iii. CRD number:** 000002347

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $66.60

**Brokers Record: 6**

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

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

- **iii. CRD number:** 000000079

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $873.48

**Brokers Record: 7**

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

- **ii. SEC file number:** 8-44325

- **iii. CRD number:** 000035865

- **iv. LEI, if any:** 549300E8QX0ZMRDC2M81

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,794.85

**Brokers Record: 8**

- **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:** $6.56

**Brokers Record: 9**

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

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

- **iii. CRD number:** 000007691

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $535.08

**Brokers Record: 10**

- **i. Full name of broker:** KNIGHT CAPITAL GROUP INC.

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

- **iii. CRD number:** 000149823

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $0.09

**Aggregate Commission:** $18,582.08

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $78,663,354.76

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

- **Item C.19.a - Fund's monthly average net assets:** $209,313,221.92

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

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

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

**Line of Credit details Record: 1**

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

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

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

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

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

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

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

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

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

- **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 - LargeCap Growth Account I

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

- **a. Full Name of the Fund:** LargeCap Growth Account I

- **b. Series identification number, if any:** S000007682

- **c. LEI:** 5493001F0RZUBHAGCH79

- **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 1                 | C000020930                                | N/A                          |

**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

- [ ] N/A

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

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

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

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

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

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

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

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

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

**Securities Lending Record: 1**

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

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

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

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

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

  **Idemnity Providers Record: 1**

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

  - **2. LEI, if any:** —

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

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

**Collateral Managers Record: 1**

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

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

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

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

**Collateral Managers Record: 2**

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

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

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

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

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

- [x] Revenue sharing split

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

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,080,582.71

- **g. Provide the net income from securities lending activities:** $21,008.67

**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))

- 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:** Brown Advisory, LLC

- **ii. SEC file number:** 801-61732

- **iii. CRD number:** 000124612

- **iv. LEI, if any:** 549300KMFGGW36I79D06

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

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

**Sub-adviser Record: 2**

- **i. Full name:** T. Rowe Price Associates, Inc.

- **ii. SEC file number:** 801-856

- **iii. CRD number:** 000105496

- **iv. LEI, if any:** 7HTL8AEQSEDX602FBU63

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

**Pricing Services Record: 5**

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

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **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:** $3,221.68

**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:** $3,517.23

**Brokers Record: 3**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,678.61

**Brokers Record: 4**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,601.43

**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:** $2,665.44

**Brokers Record: 6**

- **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:** $3,305.31

**Brokers Record: 7**

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

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

- **iii. CRD number:** 000125334

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,644.57

**Brokers Record: 8**

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

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,799.25

**Brokers Record: 9**

- **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:** $8,291.05

**Brokers Record: 10**

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

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

- **iii. CRD number:** 000000079

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,124.23

**Aggregate Commission:** $47,330.28

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

| Name                                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CITIGROUP GLOBAL MARKETS              | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $154,480.00               |
| STATE STREET FINANCIAL GLOBAL MARKETS | 8-69862           |    000285852 | 549300FDEDF5ORXCMQ56 | MA      | US        | $180,376.77               |
| GOLDMAN SACHS CO.                     | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $530,550.77               |
| WELLS FARGO SECURITIES LLC            | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $15,216.66                |
| VIRTU FINANCIAL LLC                   | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $267,968.80               |
| BARCLAYS CAPITAL INC.                 | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $33,511.82                |
| C L KING & ASSOC.                     | 8-17025           |    000006183 | 549300LY7AXPXQMUO474 | NY      | US        | $374,206.18               |
| M3 CAPITAL PARTNERS                   | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $11,227.85                |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,588,161.76

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

- **Item C.19.a - Fund's monthly average net assets:** $507,423,500.14

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

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

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

**Line of Credit details Record: 1**

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

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

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 6 - Real Estate Securities Account

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

- **a. Full Name of the Fund:** Real Estate Securities Account

- **b. Series identification number, if any:** S000007673

- **c. LEI:** 549300YDCD4YXBV6EM04

- **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 1                 | C000020921                                | N/A                          |
|                           2 | Class 2                 | C000038552                                | N/A                          |

**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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Sub-adviser Record: 1**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

**Pricing Services Record: 5**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** KEYBANC CAPITAL MARKETS

- **ii. SEC file number:** 8-30177

- **iii. CRD number:** 000000566

- **iv. LEI, if any:** 2EQWV0180Z211YVAD813

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,417.45

**Brokers Record: 2**

- **i. Full name of broker:** NOMURA SECURITIES INT'L INC.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** 549300MGMN3RKMU8FT57

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,020.77

**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:** $2,715.77

**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:** $3,533.03

**Brokers Record: 5**

- **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:** $3,888.04

**Brokers Record: 6**

- **i. Full name of broker:** STEPHENS INC.

- **ii. SEC file number:** 8-1927

- **iii. CRD number:** 000003496

- **iv. LEI, if any:** 213800LH6T9XDYZCA534

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,279.28

**Brokers Record: 7**

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

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,157.23

**Brokers Record: 8**

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

- **ii. SEC file number:** 8-35355

- **iii. CRD number:** 000017499

- **iv. LEI, if any:** 549300V8M85QISCSJ683

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,066.10

**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:** $3,814.25

**Brokers Record: 10**

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

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,417.05

**Aggregate Commission:** $40,598.99

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

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $246,960.00               |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $214,847.20               |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $1,105,761.00             |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $397,941.25               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,884,231.70

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

- **Item C.19.a - Fund's monthly average net assets:** $152,999,786.46

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

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

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

**Line of Credit details Record: 1**

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

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

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 7 - Principal LifeTime 2020 Account

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

- **a. Full Name of the Fund:** Principal LifeTime 2020 Account

- **b. Series identification number, if any:** S000007668

- **c. LEI:** 549300RU4XRO2YPQR091

- **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 1                 | C000020916                                | N/A                          |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $96,107,394.72

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $167,145,458.27

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 8 - Principal LifeTime 2010 Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2010 Account

- **b. Series identification number, if any:** S000007667

- **c. LEI:** 549300EFY8ZROMR20C64

- **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 1                 | C000020915                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 17a-8 (17 CFR 270.17a-8)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $27,088,561.55

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $34,917,295.88

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Growth Fund III                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 9 - Diversified International Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified International Account

- **b. Series identification number, if any:** S000007681

- **c. LEI:** 549300XLR59MVKHLR021

- **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 1                 | C000020929                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,474,960.80

- **g. Provide the net income from securities lending activities:** $18,099.37

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** 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: 2**

- **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: 3**

- **i. Full name:** NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **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: 5**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** 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: 8**

- **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: 9**

- **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: 10**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **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: 13**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** 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: 15**

- **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: 16**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **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: 18**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 19**

- **i. Full name:** 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: 20**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **i. Full name:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** 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: 28**

- **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: 29**

- **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: 30**

- **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: 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:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **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: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, HELSINKI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** 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: 40**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **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: 42**

- **i. Full name:** HSBC BANK OMAN S.A.O.G.

- **ii. LEI, if any:** 213800YRPSOSH9OA2V29

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** 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: 45**

- **i. Full name:** CCB A SHARE MARKET

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **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: 47**

- **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: 48**

- **i. Full name:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** 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: 52**

- **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: 53**

- **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: 54**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 55**

- **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: 56**

- **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: 57**

- **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: 58**

- **i. Full name:** STANDARD CHARTERED BANK, JORDAN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 59**

- **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: 60**

- **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: 61**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $22,439.43

**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:** $21,072.86

**Brokers Record: 3**

- **i. Full name of broker:** BRADESCO SECURITIES INC.

- **ii. SEC file number:** 8-52806

- **iii. CRD number:** 000104347

- **iv. LEI, if any:** 5493005BOEQJY4OBZP25

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,797.18

**Brokers Record: 4**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $13,386.81

**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:** $14,649.13

**Brokers Record: 6**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $15,859.20

**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:** $20,313.81

**Brokers Record: 8**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $16,038.87

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $15,542.27

**Brokers Record: 10**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,713.00

**Aggregate Commission:** $204,914.13

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $178,989.01

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $246,946,272.67

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| International Fund I                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**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 - Diversified Balanced Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Balanced Account

- **b. Series identification number, if any:** S000027170

- **c. LEI:** 549300TONRPEJHULU594

- **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 1                 | C000186093                                | N/A                          |
|                           2 | Class 2                 | C000081996                                | N/A                          |
|                           3 | Class 3                 | C000223414                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $390,744,372.47

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $831,102,135.04

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Growth Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 11 - U.S. LargeCap Buffer October Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** U.S. LargeCap Buffer October Account

- **b. Series identification number, if any:** S000077914

- **c. LEI:** 549300TJYE64JV15KD29

- **d. Is this the first filing on this form by the Fund?:** Yes

**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?:** 1

- **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 2                 | C000238594                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 12d1-4 (17 CFR 270.12d1-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $0.88

**Brokers Record: 2**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39.87

**Brokers Record: 3**

- **i. Full name of broker:** FLOW TRADERS

- **ii. SEC file number:** 8-68300

- **iii. CRD number:** 000150780

- **iv. LEI, if any:** 549300K64LZQW7R9ST34

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3.92

**Brokers Record: 4**

- **i. Full name of broker:** MAREX FINANCIAL LTD.

- **ii. SEC file number:** 8-70580

- **iii. CRD number:** 000307508

- **iv. LEI, if any:** 5493003EETVWYSIJ5A20

- **vii. Gross commissions paid by the Fund for the reporting period:** $529.00

**Brokers Record: 5**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,691.68

**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:** $1.84

**Aggregate Commission:** $2,267.19

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $0.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $19,862,283.18

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **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: 12 - Principal LifeTime Strategic Income Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Strategic Income Account

- **b. Series identification number, if any:** S000007672

- **c. LEI:** 5493001PMMEN7HOQW232

- **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 1                 | C000020920                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $21,205,661.41

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $26,500,952.48

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 13 - Bond Market Index Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Bond Market Index Account

- **b. Series identification number, if any:** S000036925

- **c. LEI:** XV2FWAFNFG2HGG2E0I15

- **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 1                 | C000112990                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $10,983,883.36

- **g. Provide the net income from securities lending activities:** $69,476.10

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Euroclear Bank, Brussels

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,250.00

**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:** $650.00

**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:** $950.00

**Brokers Record: 4**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,100.00

**Brokers Record: 5**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $350.00

**Aggregate Commission:** $7,300.00

**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        | $784,903,389.31           |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $81,835,947.90            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $432,832,251.14           |
| NATWEST CAPITAL MARKETS             | 8-37135           |    000011707 | 213800F25B5OHORTSI52 |  |  | $95,658,741.82            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $213,928,467.15           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $263,339,852.73           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $1,791,456,699.25         |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $805,125,589.41           |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $118,287,006.31           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $190,712,170.51           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $5,047,804,940.06

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,488,432,892.05

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Inflation Protection Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 14 - SAM Conservative Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Balanced Portfolio

- **b. Series identification number, if any:** S000014091

- **c. LEI:** 549300XB7TM7VTQZRV55

- **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 1                 | C000038545                                | N/A                          |
|                           2 | Class 2                 | C000038544                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-4 (17 CFR 270.12d1-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $57.86

**Brokers Record: 2**

- **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:** $1,960.00

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28.93

**Brokers Record: 4**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $210.00

**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:** $1,960.00

**Brokers Record: 6**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $55.98

**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:** $28.93

**Brokers Record: 8**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $330.00

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28.93

**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:** $57.86

**Aggregate Commission:** $4,747.42

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $165,510,395.76

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $177,945,780.81

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 15 - LargeCap S&P 500 Managed Volatility Index Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap S&P 500 Managed Volatility Index Account

- **b. Series identification number, if any:** S000042784

- **c. LEI:** 54930092USMYZBT55094

- **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 1                 | C000132327                                | N/A                          |

**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

- [ ] 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:** $11,262.23

- **g. Provide the net income from securities lending activities:** $706.23

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Spectrum Asset Management, Inc.

- **ii. SEC file number:** 801-30405

- **iii. CRD number:** 000300463

- **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:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,040.13

**Brokers Record: 2**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7.00

**Brokers Record: 3**

- **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:** $6,256.00

**Brokers Record: 4**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,022.28

**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:** $22.68

**Brokers Record: 6**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,899.48

**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:** $2,201.52

**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:** $274.11

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $303.97

**Brokers Record: 10**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $998.91

**Aggregate Commission:** $15,039.82

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| M3 CAPITAL PARTNERS                 | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $161,554.64               |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $2,826,617.38             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $20,481,038.50            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $100,774.32               |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $1,067,807.60             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $24,897,805.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $200,339,931.69

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 16 - MidCap Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Account

- **b. Series identification number, if any:** S000007662

- **c. LEI:** 549300TCYKAPPXQ3VX73

- **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 2                 | C000079602                                | N/A                          |
|                           2 | Class 1                 | C000020910                                | N/A                          |

**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

- [ ] 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:** $1,579.00

- **g. Provide the net income from securities lending activities:** $36.54

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $3,098.86

**Brokers Record: 2**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,140.74

**Brokers Record: 3**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,074.02

**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:** $5,903.80

**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:** $4,686.40

**Brokers Record: 6**

- **i. Full name of broker:** BTIG

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,493.45

**Brokers Record: 7**

- **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:** $3,855.69

**Brokers Record: 8**

- **i. Full name of broker:** TD BANK FINANCIAL GROUP

- **ii. SEC file number:** 8-36747

- **iii. CRD number:** 000018476

- **iv. LEI, if any:** SUVUFHICNZMP2WKHG940

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,259.65

**Brokers Record: 9**

- **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:** $5,186.80

**Brokers Record: 10**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,489.16

**Aggregate Commission:** $80,732.98

- **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:** $606,809,099.07

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| International Fund I                                  | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 17 - Global Emerging Markets Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Global Emerging Markets Account

- **b. Series identification number, if any:** S000007656

- **c. LEI:** 549300G5QRVIR4R8AE07

- **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 1                 | C000020904                                | N/A                          |

**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

- [ ] 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:** $266,634.10

- **g. Provide the net income from securities lending activities:** $4,704.85

**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))

- 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?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** 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: 2**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** DEUTSCHE BANK AG, MANILA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** HSBC BANK MIDDLE EAST, KUWAIT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV, ASSET SERVICING, NIEDERLASSUNG FRANKFURT AM MAIN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** PJSC ROSBANK

- **ii. LEI, if any:** 254900SQM7KOUO7DBM54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **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: 10**

- **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: 11**

- **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: 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:** 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: 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:** CREDIT SUISSE (SWITZERLAND) LTD

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** CITBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** DEUTSCHE BANK-SEOUL BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **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: 20**

- **i. Full name:** HSBC BANK MIDDLE EAST LIMITED, DUBAI

- **ii. LEI, if any:** 549300F99IL9YJDWH369

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** 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: 22**

- **i. Full name:** CCB A SHARE MARKET

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** 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: 24**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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)

**Custodians Record: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **i. Full name:** HSBC BANK (TAIWAN) LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, COPENHAGEN BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** 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: 36**

- **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: 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:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** 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: 40**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **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: 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:** 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: 44**

- **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: 45**

- **i. Full name:** ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **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: 47**

- **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: 48**

- **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: 49**

- **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: 50**

- **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: 51**

- **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: 52**

- **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: 53**

- **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: 54**

- **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: 55**

- **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: 56**

- **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: 57**

- **i. Full name:** DEUTSCHE BANK (MALAYSIA) BERHAD

- **ii. LEI, if any:** 529900DLWFR8HK7DR278

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 58**

- **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: 59**

- **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)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,241.62

**Brokers Record: 2**

- **i. Full name of broker:** M3 CAPITAL PARTNERS

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,172.90

**Brokers Record: 3**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,115.48

**Brokers Record: 4**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,612.18

**Brokers Record: 5**

- **i. Full name of broker:** HSBC SECURITIES INC.

- **ii. SEC file number:** 8-41562

- **iii. CRD number:** 000019585

- **iv. LEI, if any:** CYYGQCGNHMHPSMRL3R97

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,468.95

**Brokers Record: 6**

- **i. Full name of broker:** BTG PACTUAL

- **ii. SEC file number:** 8-68148

- **iii. CRD number:** 000149486

- **iv. LEI, if any:** ZXLTQRYIK6IJH3R0IK66

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,257.39

**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:** $4,725.93

**Brokers Record: 8**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,624.75

**Brokers Record: 9**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,914.56

**Brokers Record: 10**

- **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:** $4,712.04

**Aggregate Commission:** $50,961.33

**Item C.17.a. Principal transaction counterparties.**

| Name                  | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BARCLAYS CAPITAL INC. | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $8.26                     |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $24,365.62

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $72,833,363.81

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified International Account                     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 18 - Principal LifeTime 2050 Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2050 Account

- **b. Series identification number, if any:** S000007671

- **c. LEI:** 549300VOIKZKD0F5L118

- **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 1                 | C000020919                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $43,121,764.37

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $58,476,758.08

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Fund I                                  | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Government Money Market Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 19 - Blue Chip Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Blue Chip Account

- **b. Series identification number, if any:** S000070249

- **c. LEI:** 549300NZZJ0JFKKPA709

- **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 3                 | C000223412                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.31

**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))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** 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:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $114.28

**Brokers Record: 2**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $84.67

**Brokers Record: 3**

- **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:** $165.20

**Brokers Record: 4**

- **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:** $137.41

**Brokers Record: 5**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $173.03

**Brokers Record: 6**

- **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:** $182.00

**Brokers Record: 7**

- **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:** $519.57

**Brokers Record: 8**

- **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:** $131.90

**Brokers Record: 9**

- **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:** $157.28

**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:** $307.20

**Aggregate Commission:** $2,267.79

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2.10

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $8,089,065.94

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| International Fund I                                  | 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: 20 - Government & High Quality Bond Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Government & High Quality Bond Account

- **b. Series identification number, if any:** S000014088

- **c. LEI:** GYQKVAZKEVMXP6Q0OZ65

- **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 1                 | C000038539                                | N/A                          |

**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

- [ ] 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:** $0.00

- **g. Provide the net income from securities lending activities:** $1,697.89

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| NOMURA SECURITIES INT'L INC.        | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $27,173,123.85            |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $6,942,236.36             |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $334,738,737.88           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $201,306,417.92           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $54,450,014.27            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $193,257,910.74           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $309,511,455.99           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $37,372,172.26            |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $5,546,077.95             |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $10,715,072.63            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,198,776,931.31

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $178,600,457.94

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| International Fund I                                  | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 21 - SmallCap Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Account

- **b. Series identification number, if any:** S000007675

- **c. LEI:** 5493001XW2HZYLJS0M16

- **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 1                 | C000020923                                | N/A                          |
|                           2 | Class 2                 | C000152597                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,080,943.71

- **g. Provide the net income from securities lending activities:** $62,345.79

**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))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** CIBC MELLON TRUST COMPANY

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,890.26

**Brokers Record: 2**

- **i. Full name of broker:** WELLS FARGO SECURITIES LLC

- **ii. SEC file number:** 8-65876

- **iii. CRD number:** 000126292

- **iv. LEI, if any:** VYVVCKR63DVZZN70PB21

- **v. State, if applicable:** NC

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,795.68

**Brokers Record: 3**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,769.35

**Brokers Record: 4**

- **i. Full name of broker:** MIZUHO SECURITIES USA INC.

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 7TK5RJIZDFROZCA6XF66

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,869.25

**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:** $3,486.61

**Brokers Record: 6**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,538.80

**Brokers Record: 7**

- **i. Full name of broker:** BTIG

- **ii. SEC file number:** 8-65473

- **iii. CRD number:** 000122225

- **iv. LEI, if any:** 549300GTG9PL6WO3EC51

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,861.01

**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:** $3,604.71

**Brokers Record: 9**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,494.95

**Brokers Record: 10**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,695.00

**Aggregate Commission:** $75,254.84

**Item C.17.a. Principal transaction counterparties.**

| Name                       | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $637,330.00               |
| MORGAN STANLEY & CO. LLC.  | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $1,645,173.00             |
| J.P. MORGAN SECURITIES LLC | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $590,434.48               |
| WILLIAMS CAPITAL GROUP LP  | 8-46623           |    000035149 | 254900QGK3PNRGR9BD85 | NY      | US        | $13,721.34                |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,978,658.82

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $182,296,345.34

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| International Fund I                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 22 - Principal LifeTime 2040 Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2040 Account

- **b. Series identification number, if any:** S000007670

- **c. LEI:** 549300GHJZUNVW7W5H97

- **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 1                 | C000020918                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $74,123,018.60

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $118,687,771.62

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| International Fund I                                  | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| High Income Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 23 - SAM Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Balanced Portfolio

- **b. Series identification number, if any:** S000014090

- **c. LEI:** 549300RTKZ1JJN3UX337

- **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 1                 | C000038543                                | N/A                          |
|                           2 | Class 2                 | C000038542                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $153.18

**Brokers Record: 2**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $790.00

**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:** $306.36

**Brokers Record: 4**

- **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:** $2,100.00

**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:** $11,910.00

**Brokers Record: 6**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $153.18

**Brokers Record: 7**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $304.72

**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:** $153.18

**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:** $306.36

**Brokers Record: 10**

- **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:** $3,820.00

**Aggregate Commission:** $20,150.16

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $452,551,742.36

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $618,443,334.08

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Origin Emerging Markets Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| MidCap Account                                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 24 - Equity Income Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Equity Income Account

- **b. Series identification number, if any:** S000014083

- **c. LEI:** 54930095K9Z8PBKMWU68

- **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 1                 | C000038528                                | N/A                          |
|                           2 | Class 3                 | C000223413                                | N/A                          |
|                           3 | Class 2                 | C000038529                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $3,713,102.29

- **g. Provide the net income from securities lending activities:** $30,540.08

**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 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 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:** Hongkong and Shangai 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:** CIBC Mellon Trust Company

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** 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:** Euroclear Bank, Brussels

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $8,570.42

**Brokers Record: 2**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,717.19

**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:** $9,602.23

**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:** $17,765.45

**Brokers Record: 5**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,699.94

**Brokers Record: 6**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $9,288.31

**Brokers Record: 7**

- **i. Full name of broker:** STONEX GROUP

- **ii. SEC file number:** 8-51269

- **iii. CRD number:** 000045993

- **iv. LEI, if any:** 549300LNKU6K5TJCRG93

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,492.60

**Brokers Record: 8**

- **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:** $10,754.24

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10,706.42

**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:** $11,287.12

**Aggregate Commission:** $140,787.56

- **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:** $672,600,251.73

**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?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| International Fund I                                  | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 25 - Diversified Growth Managed Volatility Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Growth Managed Volatility Account

- **b. Series identification number, if any:** S000042786

- **c. LEI:** 549300XVZ8MT7B4LT803

- **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 2                 | C000132329                                | N/A                          |
|                           2 | Class 3                 | C000223418                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $148,754,348.35

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $323,263,253.63

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| International Fund I                                  | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 26 - Short-Term Income Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Short-Term Income Account

- **b. Series identification number, if any:** S000014089

- **c. LEI:** 3NC57XZ3EWJG4SIFX606

- **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 1                 | C000038541                                | N/A                          |

**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

- [ ] 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:** $365,441.36

- **g. Provide the net income from securities lending activities:** $633.59

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| DEUTSCHE BANK SECURITIES CORP.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $4,722,404.33             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $7,415,838.38             |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $12,709,281.61            |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $13,920,285.18            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $10,108,244.09            |
| HSBC SECURITIES INC.                | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $6,188,664.08             |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $20,664,072.05            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $17,335,680.73            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $11,177,198.32            |
| NATWEST CAPITAL MARKETS             | 8-37135           |    000011707 | 213800F25B5OHORTSI52 |  |  | $6,400,005.86             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $135,157,701.27

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $140,692,214.51

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 27 - SAM Strategic Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Strategic Growth Portfolio

- **b. Series identification number, if any:** S000014084

- **c. LEI:** 549300VJUCWV7KF8D292

- **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 2                 | C000038531                                | N/A                          |
|                           2 | Class 1                 | C000038530                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $10.00

**Brokers Record: 2**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $251.47

**Brokers Record: 3**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $253.46

**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:** $126.73

**Brokers Record: 5**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $126.73

**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:** $4,010.00

**Brokers Record: 7**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $126.73

**Brokers Record: 8**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,990.00

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $126.73

**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:** $253.46

**Aggregate Commission:** $8,275.31

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $255,261,446.50

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $358,773,215.28

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| International Fund I                                  | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 28 - Diversified Growth Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Growth Account

- **b. Series identification number, if any:** S000027171

- **c. LEI:** 549300V40Y32MDJGOS27

- **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 2                 | C000081997                                | N/A                          |
|                           2 | Class 3                 | C000223415                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,448,324,310.66

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,322,355,277.03

**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?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Money Market Fund                                     | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 29 - Principal LifeTime 2060 Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2060 Account

- **b. Series identification number, if any:** S000040678

- **c. LEI:** 5493005NXO1E7X1EOC10

- **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 1                 | C000126088                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $13,269,157.15

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $15,450,963.89

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 30 - LargeCap S&P 500 Index Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap S&P 500 Index Account

- **b. Series identification number, if any:** S000007660

- **c. LEI:** 5493001TIKXMV32BPL19

- **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 2                 | C000155998                                | N/A                          |
|                           2 | Class 1                 | C000020908                                | N/A                          |

**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

- [ ] 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:** $569,652.06

- **g. Provide the net income from securities lending activities:** $10,229.21

**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))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,546.44

**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:** $6,493.19

**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:** $29,705.46

**Brokers Record: 4**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $45,176.78

**Brokers Record: 5**

- **i. Full name of broker:** DNB NOR MARKETS

- **ii. SEC file number:** 8-66024

- **iii. CRD number:** 000127605

- **iv. LEI, if any:** 549300JP2KNKSIPRRE59

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $98.69

**Brokers Record: 6**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $82.55

**Brokers Record: 7**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $5,228.69

**Brokers Record: 8**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,522.96

**Brokers Record: 9**

- **i. Full name of broker:** TELSEY ADVISORY GROUP

- **ii. SEC file number:** 8-67988

- **iii. CRD number:** 000148234

- **iv. LEI, if any:** 54930080BFVVEZCZGF48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,586.88

**Brokers Record: 10**

- **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:** $238.04

**Aggregate Commission:** $94,679.68

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $1,442,437.74             |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $40,831,648.46            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $48,795,659.77            |
| M3 CAPITAL PARTNERS                 | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $2,336,916.15             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $17,472,127.11            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $114,676,133.43

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,735,324,695.93

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2030 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: 31 - Core Plus Bond Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Core Plus Bond Account

- **b. Series identification number, if any:** S000007677

- **c. LEI:** 549300R16K60OF9D6681

- **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 1                 | C000020925                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,162,463.09

- **g. Provide the net income from securities lending activities:** $14,639.11

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** 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: 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:** 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: 4**

- **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: 5**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** 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: 7**

- **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: 8**

- **i. Full name:** CITIBANAMEX, MEXICO CITY

- **ii. LEI, if any:** 549300DHL7BK624NK881

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $26.95

**Brokers Record: 2**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $265.00

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $530.00

**Brokers Record: 4**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $705.00

**Aggregate Commission:** $1,526.95

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $5,444,507.68             |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $18,049,158.42            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $76,631,524.05            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $98,531,855.74            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $42,340,525.55            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $37,964,748.78            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $16,703,970.60            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $29,148,985.50            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $276,272,537.71           |
| CREDIT SUISSE GROUP                 | 8-00422           |    000000816 | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $15,156,624.56            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $654,502,341.40

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $202,859,596.16

**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?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| High Yield Fund                                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **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: 32 - Diversified Balanced Managed Volatility Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Balanced Managed Volatility Account

- **b. Series identification number, if any:** S000042785

- **c. LEI:** 549300QK8X5U9D0IN652

- **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 3                 | C000223417                                | N/A                          |
|                           2 | Class 2                 | C000132328                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $74,284,485.69

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $156,045,981.38

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| High Income Fund                                      | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 33 - Principal Capital Appreciation Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal Capital Appreciation Account

- **b. Series identification number, if any:** S000014085

- **c. LEI:** 549300FM1I0HUT5J2M08

- **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 2                 | C000038533                                | N/A                          |
|                           2 | Class 1                 | C000038532                                | N/A                          |

**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

- [ ] 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:** $231,468.67

- **g. Provide the net income from securities lending activities:** $1,719.85

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 2**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,517.31

**Brokers Record: 2**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,486.95

**Brokers Record: 3**

- **i. Full name of broker:** BIDS TRADING LTD

- **ii. SEC file number:** 8-67376

- **iii. CRD number:** 000141296

- **iv. LEI, if any:** 254900J9JVL76SF70898

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,671.78

**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:** $3,367.36

**Brokers Record: 5**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,552.70

**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:** $3,538.74

**Brokers Record: 7**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,439.68

**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:** $2,398.34

**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:** $2,129.77

**Brokers Record: 10**

- **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:** $4,345.36

**Aggregate Commission:** $56,179.87

- **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:** $161,613,387.77

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| International Fund I                                  | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 34 - Principal LifeTime 2030 Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2030 Account

- **b. Series identification number, if any:** S000007669

- **c. LEI:** 549300WAHLDO9L77N510

- **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 1                 | C000020917                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $141,049,825.50

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $235,133,160.03

**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?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| International Fund I                                  | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 35 - Diversified Growth Volatility Control Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Growth Volatility Control Account

- **b. Series identification number, if any:** S000056529

- **c. LEI:** 549300YMU26HTG0TV623

- **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 3                 | C000223420                                | N/A                          |
|                           2 | Class 2                 | C000178860                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $25.92

**Brokers Record: 2**

- **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:** $0.18

**Brokers Record: 3**

- **i. Full name of broker:** SUSQUEHANNA FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-44325

- **iii. CRD number:** 000035865

- **iv. LEI, if any:** 549300E8QX0ZMRDC2M81

- **v. State, if applicable:** PA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $11,514.19

**Brokers Record: 4**

- **i. Full name of broker:** BNP PARIBAS SECURITIES CORP

- **ii. SEC file number:** 8-32682

- **iii. CRD number:** 000015794

- **iv. LEI, if any:** 2J5703FH5U5M97R1I237

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $799.39

**Brokers Record: 5**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $126.40

**Brokers Record: 6**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $43.04

**Brokers Record: 7**

- **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:** $550.04

**Brokers Record: 8**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $80,603.40

**Brokers Record: 9**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $407.92

**Brokers Record: 10**

- **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:** $34.96

**Aggregate Commission:** $94,105.44

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $460,194,640.26

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,184,411,400.07

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| International Fund I                                  | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Edge MidCap Fund                                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Growth Fund III                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **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: 36 - SAM Conservative Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Growth Portfolio

- **b. Series identification number, if any:** S000014092

- **c. LEI:** 5493002VYNCSNJ8WC434

- **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 2                 | C000038547                                | N/A                          |
|                           2 | Class 1                 | C000038546                                | N/A                          |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-4 (17 CFR 270.12d1-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** No

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $890.00

**Brokers Record: 2**

- **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:** $930.00

**Brokers Record: 3**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $129.54

**Brokers Record: 4**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,640.00

**Brokers Record: 5**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $257.09

**Brokers Record: 6**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $259.08

**Brokers Record: 7**

- **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:** $259.08

**Brokers Record: 8**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,390.00

**Brokers Record: 9**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $129.54

**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:** $129.54

**Aggregate Commission:** $13,143.41

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $261,723,746.69

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $368,694,553.43

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $250,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Flexible Income Portfolio                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2010 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| International Fund I                                  | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| MidCap Growth Fund                                    | 811-07572         |
| Diversified Balanced Managed Volatility Account       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2010 Fund                          | 811-07572         |
| Diversified Balanced Volatility Control Account       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Small-MidCap Growth Fund                              | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Origin Emerging Markets Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Managed Volatility Account         | 811-01944         |
| Edge MidCap Fund                                      | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Volatility Control Account         | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Finisterre Emerging Markets Bond Fund                 | 811-07572         |
| High Income Fund                                      | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Growth Fund III                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 37 - U.S. LargeCap Buffer July Account

**Item C.1. Background information.**

- **a. Full Name of the Fund:** U.S. LargeCap Buffer July Account

- **b. Series identification number, if any:** S000076127

- **c. LEI:** 549300SG515UA9FATR62

- **d. Is this the first filing on this form by the Fund?:** Yes

**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?:** 1

- **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 2                 | C000235586                                | N/A                          |

**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

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 12d1-4 (17 CFR 270.12d1-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. SEC file number:** 084-00896

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Oracle Capital LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 20-8116300

- **Description of other identifying number:** Federal EIN

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 5**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** 084-05657

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** DST Asset Manager Solutions, Inc.

- **ii. LEI, if any:** 084-00896

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MISCHLER FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-48067

- **iii. CRD number:** 000037818

- **iv. LEI, if any:** 2549004IPXPSM9EJFC92

- **v. State, if applicable:** CA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $123.46

**Brokers Record: 2**

- **i. Full name of broker:** FLOW TRADERS

- **ii. SEC file number:** 8-68300

- **iii. CRD number:** 000150780

- **iv. LEI, if any:** 549300K64LZQW7R9ST34

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $29.64

**Brokers Record: 3**

- **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:** $418.78

**Brokers Record: 4**

- **i. Full name of broker:** VIRTU FINANCIAL LLC

- **ii. SEC file number:** 8-68193

- **iii. CRD number:** 000149823

- **iv. LEI, if any:** 549300RA02N3BNSWBV74

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $716.17

**Brokers Record: 5**

- **i. Full name of broker:** STATE STREET FINANCIAL GLOBAL MARKETS

- **ii. SEC file number:** 8-69862

- **iii. CRD number:** 000285852

- **iv. LEI, if any:** 549300FDEDF5ORXCMQ56

- **v. State, if applicable:** MA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $17.23

**Brokers Record: 6**

- **i. Full name of broker:** CREDIT SUISSE GROUP

- **ii. SEC file number:** 8-00422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $31.58

**Brokers Record: 7**

- **i. Full name of broker:** JANE STREET CAPITAL

- **ii. SEC file number:** 8-52275

- **iii. CRD number:** 000103782

- **iv. LEI, if any:** 549300ZM16HMPEPNV857

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $72.09

**Brokers Record: 8**

- **i. Full name of broker:** MAREX FINANCIAL LTD.

- **ii. SEC file number:** 8-70580

- **iii. CRD number:** 000307508

- **iv. LEI, if any:** 5493003EETVWYSIJ5A20

- **vii. Gross commissions paid by the Fund for the reporting period:** $456.50

**Brokers Record: 9**

- **i. Full name of broker:** SUSQUEHANNA FINANCIAL GROUP INC.

- **ii. SEC file number:** 8-44325

- **iii. CRD number:** 000035865

- **iv. LEI, if any:** 549300E8QX0ZMRDC2M81

- **v. State, if applicable:** PA

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $18.96

**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:** $56.39

**Aggregate Commission:** $1,957.76

- **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'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $22,099,961.32

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **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

## 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 Variable Contracts Funds Inc

**Date:** 2023-03-10

**Signature:** /s/ Megan Hoffmann

**Title:** Vice President and Controller