# EDGAR Filing Document

**Accession Number:** 0000898745
**File Stem:** 0000898745-26-000013
**Filing Date:** 2026-1
**Character Count:** 1502979
**Document Hash:** 829dbab4d35075eb11cfa91e48858835
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000898745-26-000013.hdr.sgml**: 20260114

**ACCESSION NUMBER**: 0000898745-26-000013

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20251031

**FILED AS OF DATE**: 20260114

**DATE AS OF CHANGE**: 20260114

**EFFECTIVENESS DATE**: 20260114

**FILER**: 

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

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

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-07572
- **FILM NUMBER:** 26532167

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

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

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

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

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

## Series and Classes Contracts Data

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000018958 | R-3                 | PBMMX           |
| C000018959 | R-5                 | PBMPX           |
| C000018961 | Institutional Class | PMSIX           |
| C000018962 | J Class             | PBMJX           |
| C000018963 | A Class             | PRBDX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019054 | R-3                 | PINRX           |
| C000019055 | R-5                 | PINPX           |
| C000019057 | Institutional Class | PIIIX           |
| C000019058 | Class J             | PIIJX           |
| C000019059 | Class A             | PRWLX           |
| C000210673 | Class R-6           | PDIFX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019081 | R-3                 | PIFPX           |
| C000019082 | R-5                 | PBPPX           |
| C000019085 | Class J             | PIPJX           |
| C000019086 | Institutional Class | PIPIX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019140 | R-3                 | PEAPX           |
| C000019142 | R-5                 | PEPSX           |
| C000019144 | Institutional Class | PIEIX           |
| C000019145 | Class J             | PIEJX           |
| C000019146 | Class A             | PRIAX           |
| C000175481 | R-6                 | PIIMX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019169 | R-3                 | PLFMX           |
| C000019170 | R-5                 | PLFPX           |
| C000019172 | Institutional Class | PLFIX           |
| C000019173 | Class J             | PSPJX           |
| C000019174 | Class A             | PLSAX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019312 | R-3                 | PMBMX           |
| C000019313 | R-5                 | PMBPX           |
| C000019315 | Institutional Class | PCBIX           |
| C000019316 | Class J             | PMBJX           |
| C000019317 | Class A             | PEMGX           |
| C000038781 | Class C             | PMBCX           |
| C000175482 | R-6                 | PMAQX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019328 | R-3                 | PPUMX           |
| C000019329 | R-5                 | PPUPX           |
| C000019331 | Institutional Class | PLGIX           |
| C000019332 | Class J             | PLGJX           |
| C000019333 | Class A             | PLGAX           |
| C000149257 | R-6                 | PLCGX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019343 | Institutional Class | MPSIX           |
| C000019345 | R-3                 | PMFMX           |
| C000019346 | R-5                 | PMFPX           |
| C000019348 | Class J             | PMFJX           |
| C000175483 | R-6                 | PMAPX           |

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

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

### International Equity Fund (formerly, International Fund I) (Series ID: S000007083)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019372 | R-3                 | PRPPX           |
| C000019373 | R-5                 | PTPPX           |
| C000019376 | Institutional Class | PINIX           |
| C000175484 | R-6                 | PIIDX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019460 | R-3                 | PPSFX           |
| C000019461 | R-5                 | PPSRX           |
| C000019463 | Institutional Class | PLVIX           |
| C000019464 | Class J             | PLVJX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019585 | R-3                 | PJARX           |
| C000019586 | R-5                 | PLARX           |
| C000019589 | Institutional Class | PPVIX           |
| C000076717 | Class J             | PSMJX           |
| C000149259 | R-6                 | PSMVX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019614 | R-3                 | PMPRX           |
| C000019615 | R-5                 | PABVX           |
| C000019618 | Institutional Class | PVMIX           |
| C000076718 | Class J             | PVEJX           |
| C000210674 | A                   | PCMVX           |
| C000210675 | Class R-6           | PCMSX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019627 | R-3                 | PPNMX           |
| C000019628 | R-5                 | PPNPX           |
| C000019630 | Institutional Class | PGRTX           |
| C000019631 | Class J             | PSIJX           |
| C000149260 | R-6                 | PCSMX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019716 | R-3                 | PSSMX           |
| C000019717 | R-5                 | PSSPX           |
| C000019719 | Institutional Class | PSSIX           |
| C000019720 | Class J             | PSSJX           |
| C000175485 | R-6                 | PSPIX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019742 | R-3                 | PTBMX           |
| C000019743 | R-5                 | PTBPX           |
| C000019745 | Institutional Class | PLWIX           |
| C000019746 | Class J             | PLFJX           |
| C000019747 | Class A             | PTBAX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019751 | R-3                 | PTCMX           |
| C000019752 | R-5                 | PTCPX           |
| C000019754 | Institutional Class | PMTIX           |
| C000019755 | Class J             | PLTJX           |
| C000019756 | Class A             | PTCAX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019760 | R-3                 | PTDMX           |
| C000019761 | R-5                 | PTDPX           |
| C000019763 | Institutional Class | PTDIX           |
| C000019764 | Class J             | PTDJX           |
| C000019765 | Class A             | PTDAX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019770 | R-3                 | PTERX           |
| C000019771 | R-5                 | PTEFX           |
| C000019773 | Institutional Class | PPLIX           |
| C000019774 | Class J             | PFLJX           |
| C000019775 | Class A             | PPEAX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019779 | R-3                 | PLSMX           |
| C000019780 | R-5                 | PLSPX           |
| C000019782 | Institutional Class | PLSIX           |
| C000019783 | Class J             | PLSJX           |
| C000019784 | Class A             | PALTX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019787 | R-3                 | PRERX           |
| C000019788 | R-5                 | PREPX           |
| C000019790 | Institutional Class | PIREX           |
| C000019791 | Class J             | PREJX           |
| C000019792 | Class A             | PRRAX           |
| C000038802 | Class C             | PRCEX           |
| C000175486 | R-6                 | PFRSX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000019804 | R-3                 | PSBMX           |
| C000019805 | R-5                 | PSBPX           |
| C000019807 | Institutional Class | PSLIX           |
| C000019808 | Class J             | PSBJX           |
| C000019809 | Class A             | PLLAX           |
| C000175487 | R-6                 | PSMLX           |

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

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

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038718 | Class A             | SAIPX           |
| C000038720 | Class C             | SCIPX           |
| C000038721 | Institutional Class | PCCIX           |
| C000039337 | R-3                 | PCBPX           |
| C000039340 | R-5                 | PCBFX           |
| C000039341 | Class J             | PCBJX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038722 | Class A             | SAGPX           |
| C000038724 | Class C             | SCGPX           |
| C000038725 | Institutional Class | PCWIX           |
| C000039343 | R-5                 | PCWPX           |
| C000039344 | Class J             | PCGJX           |
| C000039346 | R-3                 | PCGPX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038726 | Class A             | SAUPX           |
| C000038728 | Class C             | SCUPX           |
| C000038729 | Institutional Class | PIFIX           |
| C000039349 | R-3                 | PFIPX           |
| C000039352 | R-5                 | PFIFX           |
| C000039353 | Class J             | PFIJX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038730 | Class A             | SACAX           |
| C000038732 | Class C             | SWHCX           |
| C000038733 | Institutional Class | PSWIX           |
| C000039355 | R-3                 | PSGPX           |
| C000039358 | R-5                 | PSGFX           |
| C000039359 | Class J             | PSWJX           |

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

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

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038737 | Class A             | CMNWX           |
| C000038740 | Institutional Class | PWCIX           |
| C000085760 | R-3                 | PCAOX           |
| C000085762 | R-5                 | PCAQX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038744 | Class A             | PQIAX           |
| C000038746 | Class C             | PEUCX           |
| C000038747 | Institutional Class | PEIIX           |
| C000085765 | R-3                 | PEIOX           |
| C000085767 | R-5                 | PEIQX           |
| C000204702 | Class J             | PEIJX           |

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

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

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038752 | Class A             | CMPIX           |
| C000038755 | Institutional Class | PIOIX           |
| C000080382 | Class J             | PIOJX           |
| C000085768 | R-5                 | PIOQX           |
| C000085771 | R-3                 | PIOOX           |
| C000149261 | R-6                 | PICNX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038760 | Class A             | CMPGX           |
| C000038763 | Institutional Class | PMRIX           |
| C000113842 | R-3                 | PRCMX           |
| C000113844 | R-5                 | PMREX           |
| C000113845 | Class J             | PMRJX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038764 | Class A             | SRHQX           |
| C000038766 | Class C             | STCCX           |
| C000038767 | Institutional Class | PSHIX           |
| C000090493 | Class J             | PSJIX           |
| C000090496 | R-3                 | PSIOX           |
| C000090498 | R-5                 | PSIQX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000038768 | Class A             | SABPX           |
| C000038770 | Class C             | SCBPX           |
| C000038771 | Institutional Class | PSBIX           |
| C000039361 | R-3                 | PBAPX           |
| C000039364 | R-5                 | PSBFX           |
| C000039365 | Class J             | PSAJX           |

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

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

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063423 | Institutional Class | LTINX           |
| C000063424 | R-3                 | LTAPX           |
| C000063426 | R-5                 | LTPFX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063429 | Institutional Class | LTSTX           |
| C000063431 | R-3                 | LTVPX           |
| C000063433 | R-5                 | LTPDX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063435 | R-3                 | LTAOX           |
| C000063437 | R-5                 | LTPEX           |
| C000063439 | Institutional Class | LTIUX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063441 | R-3                 | LTRVX           |
| C000063443 | R-5                 | LTRDX           |
| C000063445 | Institutional Class | LTRIX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000063447 | R-3                 | LTFDX           |
| C000063449 | R-5                 | LTFPX           |
| C000063451 | Institutional Class | LTFIX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000069149 | Institutional Class | PINZX           |
| C000111521 | R-3 Class           | PINTX           |

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

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

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000123721 | Class J             | PLTAX           |
| C000123724 | R-3                 | PLTCX           |
| C000123726 | R-5                 | PLTOX           |
| C000123727 | Institutional Class | PLTZX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145302 | Institutional Class | PHTFX           |
| C000159884 | R-6                 | PLTYX           |
| C000199315 | Class J             | PHJFX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145305 | Institutional Class | PLTNX           |
| C000159885 | R-6                 | PLHTX           |
| C000199316 | Class J             | PHJBX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145308 | Institutional Class | PLTHX           |
| C000159886 | R-6                 | PLKTX           |
| C000199317 | Class J             | PHJGX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145311 | Institutional Class | PHTMX           |
| C000159887 | R-6                 | PLRRX           |
| C000199318 | Class J             | PHJMX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145314 | Institutional Class | PHTTX           |
| C000159888 | R-6                 | PLTTX           |
| C000199319 | Class J             | PHJTX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145317 | Institutional Class | PHTQX           |
| C000159889 | R-6                 | PLFTX           |
| C000199320 | Class J             | PHJQX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145320 | Institutional Class | PHTNX           |
| C000159890 | R-6                 | PLZTX           |
| C000199321 | Class J             | PHJNX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145323 | Institutional Class | PHTJX           |
| C000159891 | R-6                 | PLRTX           |
| C000199322 | Class J             | PHJJX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145326 | Institutional Class | PLTQX           |
| C000159892 | R-6                 | PLMTX           |
| C000199323 | Class J             | PHJEX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145329 | Institutional Class | PHTYX           |
| C000159893 | R-6                 | PLNTX           |
| C000199324 | Class J             | PHJYX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000145332 | Institutional Class | PHTUX           |
| C000159894 | R-6                 | PLJTX           |
| C000199325 | Class J             | PHJUX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000170736 | Institutional Class | PFUMX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000193001 | Institutional Class | PLJIX           |
| C000193004 | R-3                 | PLJCX           |
| C000193006 | R-5                 | PLJEX           |

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

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000193007 | Institutional Class | PLHHX           |
| C000193008 | R-6                 | PLHRX           |
| C000199326 | Class J             | PHJDX           |

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

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

### Principal LifeTime Hybrid 2070 Fund (Series ID: S000079798)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000241172 | Class J             | PLKJX           |
| C000241173 | R-6                 | PLKRX           |
| C000241174 | Institutional Class | PLKSX           |

### Principal LifeTime 2070 Fund (Series ID: S000079799)

| Class ID   | Class Name          | Ticker Symbol   |
|:---|:---|:---|
| C000241176 | Institutional Class | PLTGX           |
| C000241178 | R-5                 | PLTFX           |
| C000241179 | R-3                 | PLTDX           |
| C000241180 | Class J             | PLTLX           |

## Internal

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

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

/s/ Ernst & Young LLP

Minneapolis, Minnesota

December 22, 2025

**Exhibit A**

California Municipal Fund Core Fixed Income Fund Core Plus Bond Fund Diversified Income Fund Diversified International Fund Equity Income Fund

Finisterre Emerging Markets Total Return Bond Fund Global Emerging Markets Fund Global Real Estate Securities Fund Government & High Quality Bond Fund Government Money Market Fund High Yield Fund Inflation Protection Fund

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

Overseas Fund Principal Capital Appreciation Fund Principal LifeTime 2015 Fund Principal LifeTime 2020 Fund Principal LifeTime 2025 Fund Principal LifeTime 2030 Fund Principal LifeTime 2035 Fund Principal LifeTime 2040 Fund Principal LifeTime 2045 Fund Principal LifeTime 2050 Fund Principal LifeTime 2055 Fund Principal LifeTime 2060 Fund Principal LifeTime 2065 Fund Principal LifeTime 2070 Fund Principal LifeTime Hybrid 2015 Fund Principal LifeTime Hybrid 2020 Fund Principal LifeTime Hybrid 2025 Fund Principal LifeTime Hybrid 2030 Fund Principal LifeTime Hybrid 2035 Fund Principal LifeTime Hybrid 2040 Fund Principal LifeTime Hybrid 2045 Fund Principal LifeTime Hybrid 2050 Fund Principal LifeTime Hybrid 2055 Fund Principal LifeTime Hybrid 2060 Fund Principal LifeTime Hybrid 2065 Fund Principal LifeTime Hybrid 2070 Fund Principal LifeTime Hybrid Income Fund Principal LifeTime Strategic Income Fund

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

## Exempt

PRINCIPAL FUNDS' CCO ANNUAL CERTIFICATION

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

For the year ended December 31, 2024

I, as the Chief Compliance Officer for Principal Funds, Inc. and Principal Variable Contracts Funds, Inc. (collectively, the "Funds") certify that the Funds and Principal Global Investors, LLC have established procedures reasonably designed to achieve compliance with the terms and conditions of their application to participate in a joint lending and borrowing facility, which application was granted by order of the Securities and Exchange Commission dated October 25, 2011 (the "Application"). This includes procedures designed to achieve the following objectives: a) that the Interfund Loan Rate will be higher than the Repo Rate, but lower than the Bank Loan Rate; (b) compliance with the collateral requirements as set forth in the Application; (c) compliance with the percentage limitations on interfund borrowing and lending; (d) allocation of interfund borrowing and lending demand in an equitable manner and in accordance with procedures established by the Board of each Fund; and (e) that the Interfund Loan Rate does not exceed the interest rate on any third party borrowings of a borrowing Fund at the time of the Interfund Loan.

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

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

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

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

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

**Series ID Record:1**
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### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2025-10-31

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

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

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

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

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

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

- **Item B.2.a - Street 1:** 711 High Street

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

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

- **Item B.2.e - Zip Code:** 50392

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

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

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

**Location books Record: 1**

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

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

- **c. City:** Des Moines

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

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

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

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

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

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

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

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

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

### Item B.6 - Organization

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

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

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

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

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

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

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

- **Item B.6.i - Total number of Series:** 61

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

### Item B.8 - Directors

| Name                  | Is Interested Person?   | Other Investment Company File Numbers   |
|:---|:---|:---|
| Katharin S. Dyer      | No                      | 811-01944, 811-23029                    |
| Frances P. Grieb      | No                      | 811-01944, 811-23029                    |
| Kamal Bhatia          | Yes                     | 811-01944, 811-23029                    |
| Craig Damos           | No                      | 811-23029, 811-01944                    |
| Karen McMillan        | No                      | 811-23029, 811-01944                    |
| Thomas A. Swank       | No                      | 811-01944, 811-23029                    |
| Padelford L. Lattimer | No                      | 811-01944, 811-23029                    |
| Victor L. Hymes       | No                      | 811-23029, 811-01944                    |
| Ken McCullum          | Yes                     | 811-01944, 811-23029                    |
| Sharmila C. Kassam    | No                      | 811-23029, 811-01944                    |

### 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:** 711 High Street

- **d. City:** Des Moines

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

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

- **g. Zip code:** 50392

- **h. Telephone number:** XXXXXX

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

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

**CCO employer Record: 1**

- **i. Name of the person:** —

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

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

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

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

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

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

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

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

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

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

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

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

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

- **iii. CRD number:** 000043261

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

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

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

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

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

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

**Public accountant Record: 1**

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

- **b. PCAOB Number:** 42

- **c. LEI, if any:** 254900Y3CIB1KF938C31

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

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

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

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

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

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

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

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

## Part C: Additional Questions for Management Investment Companies

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

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

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

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

- **c. LEI:** 549300ITXDI984NFCS62

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

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

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

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

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

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

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

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

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

- **iii. CRD number:** 000000630

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $2,260.00

**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:** $9,850.00

**Brokers Record: 3**

- **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:** $5,560.00

**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:** $449,455.88

**Aggregate Commission:** $467,125.88

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

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| VIRTU FINANCIAL LLC | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $56,494,825.06            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,017,530,555.03

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

- **Item C.19.a - Fund's monthly average net assets:** $2,261,641,402.00

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

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

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

**Line of Credit details Record: 1**

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

- **ii. What size is the line of credit?** $300,000,000.00

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

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

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

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

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

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

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

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

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

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

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

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

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

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

- **c. LEI:** 549300WOGNMY43MZS271

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

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

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

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

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

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

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

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**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:** N/A

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $167,412,986.27

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

- **Item C.19.a - Fund's monthly average net assets:** $177,508,499.67

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

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

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

**Line of Credit details Record: 1**

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

- **ii. What size is the line of credit?** $300,000,000.00

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

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

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

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

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

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

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

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

- **c. LEI:** 549300HDJCROTIVIXD92

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

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

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

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

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

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

**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:** $1,971,168.72

- **g. Provide the net income from securities lending activities:** $179,926.38

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**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:** N/A

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** NORTH SOUTH CAPITAL LLC

- **ii. SEC file number:** 8-67979

- **iii. CRD number:** 000148158

- **iv. LEI, if any:** 549300ODEKJCRN2AM859

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,247.34

**Brokers Record: 2**

- **i. Full name of broker:** D A DAVIDSON & CO.

- **ii. SEC file number:** 8-2399

- **iii. CRD number:** 000000199

- **iv. LEI, if any:** 549300094RQ5A7DYLF51

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,739.94

**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:** $996.18

**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:** $88,547.30

**Brokers Record: 5**

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

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

- **iii. CRD number:** 000114666

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $979.45

**Brokers Record: 6**

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

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

- **iii. CRD number:** 000002347

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,900.91

**Brokers Record: 7**

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

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

- **iii. CRD number:** 000000705

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,825.56

**Brokers Record: 8**

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

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

- **iii. CRD number:** 000000079

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $63,504.75

**Brokers Record: 9**

- **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:** $3,005.44

**Brokers Record: 10**

- **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:** $4,149.84

**Aggregate Commission:** $180,841.20

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

| Name                        | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| RAYMOND JAMES & ASSOCIATES  | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $22,775,143.90            |
| MACQUARIE GROUP LTD.        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $624,577.60               |
| BARCLAYS CAPITAL INC.       | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $49,237,097.41            |
| GOLDMAN SACHS CO.           | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $12,878,696.97            |
| WELLS FARGO SECURITIES LLC  | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $33,579,389.57            |
| BNP PARIBAS SECURITIES CORP | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $159,403,133.53           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $282,775,238.48

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

- **Item C.19.a - Fund's monthly average net assets:** $9,311,821,063.35

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

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

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

**Line of Credit details Record: 1**

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

- **ii. What size is the line of credit?** $300,000,000.00

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 4 - MidCap Fund

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

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

- **b. Series identification number, if any:** S000007075

- **c. LEI:** 549300D8KHZ8MDOZYC94

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

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

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

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

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019313                                | PMBPX                        |
|                           2 | Class C                 | C000038781                                | PMBCX                        |
|                           3 | Institutional           | C000019315                                | PCBIX                        |
|                           4 | Class A                 | C000019317                                | PEMGX                        |
|                           5 | R-3                     | C000019312                                | PMBMX                        |
|                           6 | R-6                     | C000175482                                | PMAQX                        |
|                           7 | Class J                 | C000019316                                | PMBJX                        |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

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

- [x] N/A

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

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

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

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

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

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

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

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

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

**Securities Lending Record: 1**

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

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

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

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

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

  **Idemnity Providers Record: 1**

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

  - **2. LEI, if any:** —

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

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

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** 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:** $107,426,797.45

- **g. Provide the net income from securities lending activities:** $300,067.18

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

- **i. Full name:** 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

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

**Item C.12. Custodians.**

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

**Custodians Record: 1**

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

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

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

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

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

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

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

**Custodians Record: 2**

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

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

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

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

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

**Custodians Record: 3**

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

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

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

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

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

**Custodians Record: 4**

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

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

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

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

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

**Custodians Record: 5**

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

- **ii. LEI, if any:** 549300IYUUH221WBZ505

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

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

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

**Custodians Record: 6**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 1**

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

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

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

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

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $267,640.95

**Brokers Record: 2**

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

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

- **iii. CRD number:** 000008174

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $230,301.99

**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:** $191,804.72

**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:** $159,714.88

**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:** $164,706.65

**Brokers Record: 6**

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

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

- **iii. CRD number:** 000019714

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $797,092.56

**Brokers Record: 7**

- **i. Full name of broker:** RBC DOMINION SECURITIES CORP.

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $252,223.36

**Brokers Record: 8**

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

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

- **iii. CRD number:** 000103987

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

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

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

- **vii. Gross commissions paid by the Fund for the reporting period:** $152,716.17

**Brokers Record: 9**

- **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:** $536,047.25

**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:** $352,743.15

**Aggregate Commission:** $4,074,670.29

**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        | $7,364,065.70             |
| J.P. MORGAN SECURITIES LLC | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $30,283,596.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $37,647,661.70

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

- **Item C.19.a - Fund's monthly average net assets:** $30,981,469,876.13

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

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

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

**Line of Credit details Record: 1**

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

- **ii. What size is the line of credit?** $300,000,000.00

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

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

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

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

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

- **v. Did the Fund draw on the line of credit this period?** 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 - Principal LifeTime Hybrid 2045 Fund

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

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2045 Fund

- **b. Series identification number, if any:** S000046562

- **c. LEI:** 5493000UTID5OV7TX842

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

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

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

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

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

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159893                                | PLNTX                        |
|                           2 | Class J                 | C000199324                                | PHJYX                        |
|                           3 | Institutional           | C000145329                                | PHTYX                        |

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

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

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

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

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

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

- [ ] N/A

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

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

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

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

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

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

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

Did the Fund rely on the following rules?

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

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

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

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

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

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

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

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

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

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

**Investment Advisers Record: 1**

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

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

- **iii. CRD number:** 000109002

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

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

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

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

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

**Transfer Agents Record: 1**

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

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

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

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

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

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

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

**Transfer Agents Record: 2**

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

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**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:** N/A

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

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

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

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

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

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

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

**Item C.14. Administrators.**

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

**Administrators Record: 1**

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

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

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

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

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

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

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

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

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $471,712,490.80

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

- **Item C.19.a - Fund's monthly average net assets:** $555,182,371.45

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

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

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

**Line of Credit details Record: 1**

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

- **ii. What size is the line of credit?** $300,000,000.00

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

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

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

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

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

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

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

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

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

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

### Management Investment Record: 6 - Principal LifeTime 2045 Fund

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

- **a. Full Name of the Fund:** Principal LifeTime 2045 Fund

- **b. Series identification number, if any:** S000022106

- **c. LEI:** 549300MVKLE6XJFKIO43

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

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

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

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

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000063445                                | LTRIX                        |
|                           2 | R-3                     | C000063441                                | LTRVX                        |
|                           3 | R-5                     | C000063443                                | LTRDX                        |

**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 (17 CFR 270.18f-4)

- 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:** SS&C GIDS, Inc.

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

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

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

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

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

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

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

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

**Pricing Services Record: 1**

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

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

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

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

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

**Pricing Services Record: 2**

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

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

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

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

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

**Pricing Services Record: 3**

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

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

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

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

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

**Pricing Services Record: 4**

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

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

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

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

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

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

**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:** N/A

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

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

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

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

**Shareholder Servicing Agents Record: 2**

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

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,549,828,031.19

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,719,687,177.95

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Value Fund I                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| International Equity Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 7 - Inflation Protection Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Inflation Protection Fund

- **b. Series identification number, if any:** S000006997

- **c. LEI:** 5493006ECFME6VCZ0U45

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019085                                | PIPJX                        |
|                           2 | R-3                     | C000019081                                | PIFPX                        |
|                           3 | R-5                     | C000019082                                | PBPPX                        |
|                           4 | Institutional           | C000019086                                | PIPIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** 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:** $46,242.71

- **g. Provide the net income from securities lending activities:** $459.15

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Blackrock Financial Management, INC

- **ii. SEC file number:** 801-48433

- **iii. CRD number:** 000107105

- **iv. LEI, if any:** 549300LVXYIVJKE13M84

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** 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:** 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?** Yes

**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:** 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: 2**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **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: 4**

- **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: 5**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 8**

- **i. Full name:** 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: 9**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **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: 16**

- **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: 17**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** 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: 19**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **i. Full name:** 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: 21**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **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: 24**

- **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)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $43,278.54

**Aggregate Commission:** $43,278.54

**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        | $177,712,413.71           |
| BMO CAPITAL MARKETS          | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $290,606,399.90           |
| J.P. MORGAN SECURITIES LLC   | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $227,009,705.30           |
| BARCLAYS CAPITAL INC.        | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $475,990,039.57           |
| CITADEL TRADING GROUP        | 8-41207           |    000024514 | N/A                  | IL      | US        | $207,846,968.24           |
| BNP PARIBAS SECURITIES CORP  | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $217,277,608.60           |
| NOMURA SECURITIES INT'L INC. | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $120,258,220.14           |
| MIZUHO SECURITIES USA INC.   | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $1,953,298,906.40         |
| GOLDMAN SACHS CO.            | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $1,585,378,315.80         |
| MORGAN STANLEY & CO. LLC.    | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $2,899,527,304.37         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $8,639,678,493.64

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,281,420,468.62

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Fund                                         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 8 - Principal LifeTime 2050 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2050 Fund

- **b. Series identification number, if any:** S000007210

- **c. LEI:** 549300TYBTEX1TS6WI79

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019771                                | PTEFX                        |
|                           2 | Class J                 | C000019774                                | PFLJX                        |
|                           3 | R-3                     | C000019770                                | PTERX                        |
|                           4 | Institutional           | C000019773                                | PPLIX                        |
|                           5 | Class A                 | C000019775                                | PPEAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,133,541,268.74

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,317,508,237.93

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Real Asset Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 9 - Principal LifeTime 2040 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2040 Fund

- **b. Series identification number, if any:** S000007209

- **c. LEI:** 549300D7K5PXZ3QLDU23

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019763                                | PTDIX                        |
|                           2 | R-5                     | C000019761                                | PTDPX                        |
|                           3 | R-3                     | C000019760                                | PTDMX                        |
|                           4 | Class J                 | C000019764                                | PTDJX                        |
|                           5 | Class A                 | C000019765                                | PTDAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,969,820,451.39

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $4,693,631,498.85

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Equity Fund                             | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 10 - Money Market Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Money Market Fund

- **b. Series identification number, if any:** S000007081

- **c. LEI:** 5493004TMQBCYWU5QO91

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 2

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019362                                | PMJXX                        |
|                           2 | Class A                 | C000019363                                | PCSXX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [x] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                           | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CITIGROUP GLOBAL MARKETS       | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $7,682,164,069.44         |
| GOLDMAN SACHS CO.              | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $7,927,018,861.21         |
| BANCAMERICA SECURITIES INC.    | 8-35968           |    000017977 | N/A                  | CA      | US        | $15,633,035,460.38        |
| RBC DOMINION SECURITIES CORP.  | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $2,951,549,814.82         |
| WELLS FARGO ADVISOR            | 8-28721           |    000011025 | 88KRVSOEKUGQZJ3DKW55 | MO      | US        | $1,347,733,749.65         |
| MIZUHO SECURITIES USA INC.     | 8-37710           |    000019647 | 7TK5RJIZDFROZCA6XF66 | NY      | US        | $1,724,804,167.20         |
| BNY MELLON CAPITAL MARKETS LLC | 8-35255           |    000017454 | VJW2DOOHGDT6PR0ZRO63 | NY      | US        | $10,046,308,945.69        |
| BARCLAYS CAPITAL INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $13,824,212,756.69        |
| HSBC SECURITIES INC.           | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $9,770,000,000.00         |
| J.P. MORGAN SECURITIES LLC     | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $1,788,436,992.41         |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $73,981,656,271.41

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.b - Money market fund's daily average net assets:** $1,080,619,989.18

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| International Small Company Fund                      | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

### Management Investment Record: 11 - Principal LifeTime Hybrid 2070 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2070 Fund

- **b. Series identification number, if any:** S000079798

- **c. LEI:** 549300RMGD0DP6ALP536

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000241172                                | PLKJX                        |
|                           2 | Institutional           | C000241174                                | PLKSX                        |
|                           3 | R-6                     | C000241173                                | PLKRX                        |

**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 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** 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?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $14,494,120.88

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $7,998,880.15

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| International Equity Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 12 - SmallCap Value Fund II

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Value Fund II

- **b. Series identification number, if any:** S000007169

- **c. LEI:** 549300VWU1POPCB8T381

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000149259                                | PSMVX                        |
|                           2 | R-5                     | C000019586                                | PLARX                        |
|                           3 | R-3                     | C000019585                                | PJARX                        |
|                           4 | Institutional           | C000019589                                | PPVIX                        |
|                           5 | Class J                 | C000076717                                | PSMJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $11,351,315.09

- **g. Provide the net income from securities lending activities:** $201,387.25

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Vaughan Nelson Investment Management, L.P.

- **ii. SEC file number:** 801-51795

- **iii. CRD number:** 000106975

- **iv. LEI, if any:** 549300FRU9FLMWI67N43

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Hotchkis & Wiley Capital Management

- **ii. SEC file number:** 801-60512

- **iii. CRD number:** 000114649

- **iv. LEI, if any:** M35WBEXQYIYXS60OGD30

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $37,917.43

**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:** $48,628.71

**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:** $170,576.78

**Brokers Record: 4**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $295,280.82

**Brokers Record: 5**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $56,608.43

**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:** $142,203.97

**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:** $74,208.71

**Brokers Record: 8**

- **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:** $90,856.84

**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:** $83,795.00

**Brokers Record: 10**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $59,322.93

**Aggregate Commission:** $1,362,354.63

**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        | $29,447.82                |
| MACQUARIE GROUP LTD.       | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $325,345.22               |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $3,415,842.89             |
| RAYMOND JAMES & ASSOCIATES | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $146,396.65               |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $6,012,031.73             |
| CIBC WORLD MARKETS CORP    | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $664,672.73               |
| BARCLAYS CAPITAL INC.      | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $45,241.96                |
| KEEFE BRUYETTE & WOODS     | 8-10888           |    000000481 | 549300OM47DQV01G4854 | NY      | US        | $416,150.00               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $16,643,082.13

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,111,005,145.37

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 13 - Principal LifeTime Hybrid 2065 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2065 Fund

- **b. Series identification number, if any:** S000058848

- **c. LEI:** 5493007HTNDW2Q2WPY67

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000199326                                | PHJDX                        |
|                           2 | Institutional           | C000193007                                | PLHHX                        |
|                           3 | R-6                     | C000193008                                | PLHRX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $68,214,365.69

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $63,616,965.97

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| International Equity Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2020 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: 14 - Government Money Market Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Government Money Market Fund

- **b. Series identification number, if any:** S000060089

- **c. LEI:** 549300WWK3YB7DNN4U34

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 2

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000196721                                | PGVXX                        |
|                           2 | R-6                     | C000239771                                | PGWXX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [x] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                            | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC      | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $10,508,118,916.49        |
| BNY MELLON CAPITAL MARKETS, LLC | 8-35255           |    000017454 | VJW2DOOHGDT6PR0ZRO63 | NY      | US        | $44,958,530,933.33        |
| HSBC SECURITIES, INC.           | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $35,660,000,000.00        |
| BMO CAPITAL MARKETS             | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $19,818,894,834.72        |
| GOLDMAN SACHS CO.               | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $32,296,800,000.00        |
| BNP PARIBAS SECURITIES CORP     | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $35,750,000,000.00        |
| BANCAMERICA SECURITIES, INC.    | 8-35968           |    000017977 | N/A                  | CA      | US        | $35,722,498,515.27        |
| INVESCO                         | 8-19412           |    000006939 | 549300O1XUPMKDTYZX74 | TX      | US        | $3,431,300,000.00         |
| RBC DOMINION SECURITIES CORP.   | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $19,999,680,694.44        |
| BARCLAYS CAPITAL, INC.          | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $36,995,664,528.21        |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $362,986,379,540.76

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.b - Money market fund's daily average net assets:** $4,163,348,112.48

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Real Estate Securities Fund                           | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

### Management Investment Record: 15 - Principal LifeTime 2025 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2025 Fund

- **b. Series identification number, if any:** S000022104

- **c. LEI:** 5493005U15HJLR8XTL49

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000063433                                | LTPDX                        |
|                           2 | R-3                     | C000063431                                | LTVPX                        |
|                           3 | Institutional           | C000063429                                | LTSTX                        |

**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 (17 CFR 270.18f-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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,117,262,437.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,445,870,302.87

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 16 - SAM Conservative Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Balanced Portfolio

- **b. Series identification number, if any:** S000014233

- **c. LEI:** 54930060DQIB252U8M18

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000039337                                | PCBPX                        |
|                           2 | Class A                 | C000038718                                | SAIPX                        |
|                           3 | Class J                 | C000039341                                | PCBJX                        |
|                           4 | Institutional           | C000038721                                | PCCIX                        |
|                           5 | R-5                     | C000039340                                | PCBFX                        |
|                           6 | Class C                 | C000038720                                | SCIPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $4,790.00

**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:** $19,070.00

**Brokers Record: 3**

- **i. Full name of broker:** CIBC WORLD MARKETS CORP

- **ii. SEC file number:** 8-18333

- **iii. CRD number:** 000000630

- **iv. LEI, if any:** 549300445CON3DBMU275

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,870.00

**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:** $352,288.77

**Aggregate Commission:** $378,018.77

**Item C.17.a. Principal transaction counterparties.**

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| VIRTU FINANCIAL LLC | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $44,218,002.50            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $984,253,034.10

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,833,262,632.91

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| MidCap Account                                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 17 - Core Plus Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Core Plus Bond Fund

- **b. Series identification number, if any:** S000006952

- **c. LEI:** KIJ3S7K8DD1O6JZ8TF70

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000018958                                | PBMMX                        |
|                           2 | R-5                     | C000018959                                | PBMPX                        |
|                           3 | Class A                 | C000018963                                | PRBDX                        |
|                           4 | Institutional           | C000018961                                | PMSIX                        |
|                           5 | Class J                 | C000018962                                | PBMJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $4,767,355.15

- **g. Provide the net income from securities lending activities:** $32,883.13

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** 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: 3**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 4**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** 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:** 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: 8**

- **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: 9**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** 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: 12**

- **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: 13**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 14**

- **i. Full name:** HSBC BANK AUSTRALIA LIMITED

- **ii. LEI, if any:** DY9DBNI4W8J63Z298033

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** 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: 16**

- **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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $1,350.00

**Brokers Record: 2**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $687.50

**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:** $4,250.00

**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:** $4,430.00

**Aggregate Commission:** $10,717.50

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $38,378,928.28            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $67,449,895.86            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $698,725,367.68           |
| DEUTSCHE BANK SECURITIES CORP.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $23,851,730.21            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $78,034,031.69            |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $31,174,646.01            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $78,876,464.24            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $80,096,241.02            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $223,832,171.87           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $252,169,714.29           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,807,523,234.84

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $532,525,530.24

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| MidCap Account                                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** 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 - Global Real Estate Securities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Global Real Estate Securities Fund

- **b. Series identification number, if any:** S000019119

- **c. LEI:** 549300RURQIM2C42MH06

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000167007                                | PGRUX                        |
|                           2 | Institutional           | C000052889                                | POSIX                        |
|                           3 | R-3                     | C000167005                                | PGRKX                        |
|                           4 | Class A                 | C000052887                                | POSAX                        |
|                           5 | R-6                     | C000149262                                | PGRSX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $1,355.34

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **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: 4**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** 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: 6**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** 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: 8**

- **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: 9**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** STD CHTD BANK INDONESIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **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: 12**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** 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: 16**

- **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: 17**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** 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:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **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: 21**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 27**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** 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: 29**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** 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: 32**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **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: 34**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 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: 36**

- **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: 37**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **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: 39**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** 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: 41**

- **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)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $142,645.43

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $54,195.24

**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:** $34,386.37

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $47,725.70

**Brokers Record: 5**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $103,260.20

**Brokers Record: 6**

- **i. Full name of broker:** CREDIT LYONNAIS

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 549300WO2DKF0Q3YMV43

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $29,193.75

**Brokers Record: 7**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $39,732.67

**Brokers Record: 8**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $25,081.05

**Brokers Record: 9**

- **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:** $27,271.38

**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:** $48,631.22

**Aggregate Commission:** $837,602.13

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $5,655,293.59             |
| NOMURA SECURITIES INT'L INC.        | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $457,070.86               |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $220,283.52               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $22,729,500.47

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,686,804,286.62

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal Capital Appreciation Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 19 - Principal LifeTime Hybrid 2050 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2050 Fund

- **b. Series identification number, if any:** S000046563

- **c. LEI:** 549300W0MFWJ1HJTRN48

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159894                                | PLJTX                        |
|                           2 | Institutional           | C000145332                                | PHTUX                        |
|                           3 | Class J                 | C000199325                                | PHJUX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $440,951,348.32

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $512,300,291.07

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** 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: 20 - Government & High Quality Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Government & High Quality Bond Fund

- **b. Series identification number, if any:** S000014244

- **c. LEI:** XQSA5XKJBXF2IV4K6K06

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000113845                                | PMRJX                        |
|                           2 | R-5                     | C000113844                                | PMREX                        |
|                           3 | Institutional           | C000038763                                | PMRIX                        |
|                           4 | Class A                 | C000038760                                | CMPGX                        |
|                           5 | R-3                     | C000113842                                | PRCMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $-1.46

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $490,393,723.42           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $59,035,863.73            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $88,224,712.44            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $168,220,053.12           |
| WELLS FARGO ADVISOR                 | 8-28721           |    000011025 | 88KRVSOEKUGQZJ3DKW55 | MO      | US        | $24,583,754.30            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $458,504,341.00           |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $51,130,645.69            |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $52,053,292.64            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $2,647,522,955.44         |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $93,477,995.84            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $4,218,683,048.48

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $636,894,645.11

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **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 - Diversified International Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified International Fund

- **b. Series identification number, if any:** S000006992

- **c. LEI:** 549300WI2K0C68CW5R08

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000019054                                | PINRX                        |
|                           2 | Institutional           | C000019057                                | PIIIX                        |
|                           3 | R-5                     | C000019055                                | PINPX                        |
|                           4 | Class J                 | C000019058                                | PIIJX                        |
|                           5 | Class A                 | C000019059                                | PRWLX                        |
|                           6 | R-6                     | C000210673                                | PDIFX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $12,307,425.02

- **g. Provide the net income from securities lending activities:** $42,640.38

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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

- **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: 2**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **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: 5**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** UNION INTERNATIONALE DE BANQUES

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** 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: 9**

- **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: 10**

- **i. Full name:** DEUTSCHE BANK AG KARACHI BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, 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: 12**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** DEUTSCHE BANK, 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: 14**

- **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: 15**

- **i. Full name:** CITIBANK EUROPE PLC, ROMANIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** 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: 17**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 20**

- **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: 21**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 22**

- **i. Full name:** 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: 23**

- **i. Full name:** HONGKONG AND SHANGAI BANKING CORPORATION, EBENE

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** CITIBANK N.A., SUCURSAL DE LIMA

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** 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: 27**

- **i. Full name:** BANK OF JORDAN

- **ii. LEI, if any:** 254900XI5ZZJOK7NC049

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **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: 29**

- **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: 30**

- **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: 31**

- **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: 32**

- **i. Full name:** DEUTSCHE BANK AG (LDN)

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** CITIBANK N.A., 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: 34**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 37**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** BANCO SANTANDER CHILE

- **ii. LEI, if any:** 3YJP8HORPAEXJ80D6368

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** HSBC BANK 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: 42**

- **i. Full name:** BANCO ITAU URUGUAY S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** DEUTSCHE BANK AG MUMBAI

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **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: 46**

- **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: 47**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** 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: 49**

- **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: 50**

- **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: 51**

- **i. Full name:** CITIBANK EUROPE PLC, BULGARIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** 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: 54**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 55**

- **i. Full name:** BANCO BILBAO VIZCAYA ARGENTARIA, MADRID

- **ii. LEI, if any:** K8MS7FD7N5Z2WQ51AZ71

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 56**

- **i. Full name:** CITIBANK EUROPE PLC, 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: 57**

- **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: 58**

- **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: 59**

- **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: 60**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 61**

- **i. Full name:** UNICREDIT BANK AUSTRIA AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 62**

- **i. Full name:** 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: 63**

- **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: 64**

- **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: 65**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 66**

- **i. Full name:** STD CHTD BANK INDONESIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 67**

- **i. Full name:** HSBC BANGLADESH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $156,484.11

**Brokers Record: 2**

- **i. Full name of broker:** CREDIT LYONNAIS

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 549300WO2DKF0Q3YMV43

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $82,760.04

**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:** $83,150.38

**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:** $124,849.36

**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:** $134,698.51

**Brokers Record: 6**

- **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:** $208,886.67

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $94,977.59

**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:** $82,516.83

**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:** $139,827.29

**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:** $133,978.61

**Aggregate Commission:** $1,775,699.55

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $311,297.03

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,521,558,680.03

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **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 - MidCap S&P 400 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap S&P 400 Index Fund

- **b. Series identification number, if any:** S000007079

- **c. LEI:** 549300BESRSJ6JCTJH84

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019343                                | MPSIX                        |
|                           2 | R-3                     | C000019345                                | PMFMX                        |
|                           3 | R-6                     | C000175483                                | PMAPX                        |
|                           4 | R-5                     | C000019346                                | PMFPX                        |
|                           5 | Class J                 | C000019348                                | PMFJX                        |

**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:** $3,326,540.39

- **g. Provide the net income from securities lending activities:** $21,488.59

**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 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $3,975.05

**Brokers Record: 2**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,901.00

**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:** $11,689.88

**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:** $21,880.44

**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:** $5,299.04

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,508.48

**Brokers Record: 7**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $19,689.65

**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:** $2,401.29

**Brokers Record: 9**

- **i. Full name of broker:** OPPENHEIMER & CO.

- **ii. SEC file number:** 8-4077

- **iii. CRD number:** 000000249

- **iv. LEI, if any:** 254900VH02JQR2L8XD64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,473.53

**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:** $4,882.52

**Aggregate Commission:** $126,785.07

**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        | $69,778,849.30            |
| BARCLAYS CAPITAL INC.      | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $48,081.42                |
| RAYMOND JAMES & ASSOCIATES | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $37,136,007.08            |
| MACQUARIE GROUP LTD.       | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $709,403.17               |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $16,072,316.81            |
| SANFORD C. BERNSTEIN & CO. | 8-52942           |    000104474 | 549300I7JYZHT7D5CO04 | NY      | US        | $75,292,443.31            |
| CIBC WORLD MARKETS CORP    | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $5,892,557.02             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $218,761,718.77

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,242,721,186.08

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| High Yield Fund                                       | 811-07572         |

- **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: 23 - High Yield Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** High Yield Fund

- **b. Series identification number, if any:** S000014241

- **c. LEI:** 2U04QLKKFWRJC7CSOX80

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000038751                                | PHYTX                        |
|                           2 | R-6                     | C000175488                                | PHYFX                        |
|                           3 | Class A                 | C000038748                                | CPHYX                        |
|                           4 | Class C                 | C000038750                                | CCHIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $79,972,263.22

- **g. Provide the net income from securities lending activities:** $990,887.71

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 17a-8 (17 CFR 270.17a-8)

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** 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: 2**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **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: 4**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** 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:** 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:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** 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: 9**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** STD CHTD BANK INDONESIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $82,263.26

**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:** $15,450.00

**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:** $98,787.96

**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:** $46,700.00

**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:** $9,250.00

**Aggregate Commission:** $252,451.22

**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        | $655,488,605.89           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $467,873,580.76           |
| DEUTSCHE BANK SECURITIES CORP.      | 8-17822           |    000002525 | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $108,334,218.21           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $758,998,109.96           |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $71,102,442.07            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $458,997,975.48           |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $421,610,137.97           |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $80,415,794.30            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $570,515,215.69           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $106,726,894.22           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $4,127,156,816.90

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $6,239,698,688.88

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| International Equity Fund                             | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 24 - Principal LifeTime Hybrid 2015 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2015 Fund

- **b. Series identification number, if any:** S000046556

- **c. LEI:** 54930088C6V7OPBVZ350

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145311                                | PHTMX                        |
|                           2 | R-6                     | C000159887                                | PLRRX                        |
|                           3 | Class J                 | C000199318                                | PHJMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $271,568,537.08

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $392,592,809.87

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer April 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: 25 - Principal LifeTime Hybrid 2025 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2025 Fund

- **b. Series identification number, if any:** S000046558

- **c. LEI:** 549300OOALE400Z3J597

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159889                                | PLFTX                        |
|                           2 | Institutional           | C000145317                                | PHTQX                        |
|                           3 | Class J                 | C000199320                                | PHJQX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $640,897,934.82

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $993,118,266.48

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| International Equity Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 26 - International Equity Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** International Equity Fund

- **b. Series identification number, if any:** S000007083

- **c. LEI:** 549300O1DA1JNC6UVF17

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019373                                | PTPPX                        |
|                           2 | R-6                     | C000175484                                | PIIDX                        |
|                           3 | Institutional           | C000019376                                | PINIX                        |
|                           4 | R-3                     | C000019372                                | PRPPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $18,636,555.42

- **g. Provide the net income from securities lending activities:** $323,715.70

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** ZAO CITIBANK, MOSCOW

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **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: 6**

- **i. Full name:** CLEARSTREAM BANKING, LUXEMBOURG

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** 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: 7**

- **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: 8**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** 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: 10**

- **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: 11**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **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: 16**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV EUROCLEAR BELGIUM

- **ii. LEI, if any:** 21380014SJC1QPK8O356

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **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: 23**

- **i. Full name:** HSBC SAUDI ARABIA LIMITED

- **ii. LEI, if any:** 2138009S6SHV5GLS7987

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** 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: 25**

- **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: 26**

- **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: 27**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **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: 29**

- **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: 30**

- **i. Full name:** MIZUHO BANK, LTD

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** HSBC HK SC MODEL SPSA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 32**

- **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: 33**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **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: 35**

- **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: 36**

- **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: 37**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** 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: 39**

- **i. Full name:** STANDARD CHARTERED BANK MALAYSIA BERHAD

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** CACEIS BANK SPAIN S.A.U.

- **ii. LEI, if any:** 95980020140005970915

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **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: 42**

- **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: 43**

- **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: 44**

- **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: 45**

- **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: 46**

- **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: 47**

- **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: 48**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 51**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** STANDARD BANK OF SOUTH AFRICA, JOHANNESBURG

- **ii. LEI, if any:** QFC8ZCW3Q5PRXU1XTM60

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** 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: 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:** 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)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** RBC DOMINION SECURITIES CORP.

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $219,422.35

**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:** $1,011,733.23

**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:** $233,928.22

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $366,591.01

**Brokers Record: 5**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $299,531.33

**Brokers Record: 6**

- **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:** $388,239.98

**Brokers Record: 7**

- **i. Full name of broker:** MACQUARIE GROUP LTD.

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $309,498.01

**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:** $406,206.93

**Brokers Record: 9**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $286,249.86

**Brokers Record: 10**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $251,835.02

**Aggregate Commission:** $5,310,536.00

- **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:** $4,671,909,607.83

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Bond Market Index Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Real Estate Securities 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?** —

**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 - Principal Capital Appreciation Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal Capital Appreciation Fund

- **b. Series identification number, if any:** S000014238

- **c. LEI:** 549300488LDV833BXR20

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000085762                                | PCAQX                        |
|                           2 | Class A                 | C000038737                                | CMNWX                        |
|                           3 | Institutional           | C000038740                                | PWCIX                        |
|                           4 | R-3                     | C000085760                                | PCAOX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,252,715.54

- **g. Provide the net income from securities lending activities:** $1,503.51

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-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:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** 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: 2**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 3**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $157,946.29

**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:** $105,318.95

**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:** $55,289.27

**Brokers Record: 4**

- **i. Full name of broker:** SANFORD C. BERNSTEIN & CO.

- **ii. SEC file number:** 8-52942

- **iii. CRD number:** 000104474

- **iv. LEI, if any:** 549300I7JYZHT7D5CO04

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $62,002.94

**Brokers Record: 5**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $77,913.23

**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:** $53,353.66

**Brokers Record: 7**

- **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:** $205,794.79

**Brokers Record: 8**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $100,461.71

**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:** $71,233.13

**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:** $81,438.13

**Aggregate Commission:** $1,719,126.28

- **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:** $4,896,973,460.44

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 28 - LargeCap Value Fund III

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap Value Fund III

- **b. Series identification number, if any:** S000007122

- **c. LEI:** 549300P5E4OK1XZWQO33

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019463                                | PLVIX                        |
|                           2 | Class J                 | C000019464                                | PLVJX                        |
|                           3 | R-5                     | C000019461                                | PPSRX                        |
|                           4 | R-3                     | C000019460                                | PPSFX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $2,092,034.43

- **g. Provide the net income from securities lending activities:** $199,927.64

**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 12d1-4 (17 CFR 270.12d1-4)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Westwood Management Corp

- **ii. SEC file number:** 801-18727

- **iii. CRD number:** 000110269

- **iv. LEI, if any:** 5493007KT04ZMBGVOW11

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Barrow, Hanley, Mewhinney & Strauss, LLC

- **ii. SEC file number:** 801-31237

- **iii. CRD number:** 000105519

- **iv. LEI, if any:** 213800XRVTFKWDGW6Y09

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $40,931.15

**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:** $256,946.06

**Brokers Record: 3**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,846.22

**Brokers Record: 4**

- **i. Full name of broker:** NORTHERN TRUST SECURITIES

- **ii. SEC file number:** 8-23689

- **iii. CRD number:** 000007927

- **iv. LEI, if any:** 3CHSO99JSPHD9HGNYJ46

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $365,430.48

**Brokers Record: 5**

- **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:** $52,838.43

**Brokers Record: 6**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $51,587.61

**Brokers Record: 7**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $42,692.44

**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:** $71,498.61

**Brokers Record: 9**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $37,216.15

**Brokers Record: 10**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $34,680.52

**Aggregate Commission:** $1,184,131.94

**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        | $703,465.32               |
| RAYMOND JAMES & ASSOCIATES | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $173,402.76               |
| CIBC WORLD MARKETS CORP    | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $174,872.11               |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $2,687,785.11             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $4,562,367.72

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,540,333,131.58

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Account                                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 29 - LargeCap Growth Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** LargeCap Growth Fund I

- **b. Series identification number, if any:** S000007077

- **c. LEI:** 5493005TWCHTR0PO8C36

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class A                 | C000019333                                | PLGAX                        |
|                           2 | R-3                     | C000019328                                | PPUMX                        |
|                           3 | Class J                 | C000019332                                | PLGJX                        |
|                           4 | R-6                     | C000149257                                | PLCGX                        |
|                           5 | Institutional           | C000019331                                | PLGIX                        |
|                           6 | R-5                     | C000019329                                | PPUPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,208,185.73

- **g. Provide the net income from securities lending activities:** $7,692.52

**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 (17 CFR 270.18f-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** T. Rowe Price Associates, Inc.

- **ii. SEC file number:** 801-856

- **iii. CRD number:** 000105496

- **iv. LEI, if any:** 7HTL8AEQSEDX602FBU63

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Brown Advisory, LLC

- **ii. SEC file number:** 801-38826

- **iii. CRD number:** 000110181

- **iv. LEI, if any:** 549300KMFGGW36I79D06

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $83,925.59

**Brokers Record: 2**

- **i. Full name of broker:** STIFEL NICOLAUS & COMPANY

- **ii. SEC file number:** 8-1447

- **iii. CRD number:** 000000793

- **iv. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **v. State, if applicable:** MO

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $393,484.43

**Brokers Record: 3**

- **i. Full name of broker:** EVERCORE PARTNERS

- **ii. SEC file number:** 8-49830

- **iii. CRD number:** 000042405

- **iv. LEI, if any:** 5493008F0LRLS5N8LZ81

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $82,989.85

**Brokers Record: 4**

- **i. Full name of broker:** RAYMOND JAMES & ASSOCIATES

- **ii. SEC file number:** 8-10999

- **iii. CRD number:** 000000705

- **iv. LEI, if any:** U4ONQX15J3RO8XCKE979

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $38,023.31

**Brokers Record: 5**

- **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:** $30,253.39

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $132,830.84

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $101,136.47

**Brokers Record: 8**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $52,053.86

**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:** $164,627.40

**Brokers Record: 10**

- **i. Full name of broker:** OPPENHEIMER & CO.

- **ii. SEC file number:** 8-4077

- **iii. CRD number:** 000000249

- **iv. LEI, if any:** 254900VH02JQR2L8XD64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $31,876.22

**Aggregate Commission:** $1,385,385.54

**Item C.17.a. Principal transaction counterparties.**

| Name                    | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CIBC WORLD MARKETS CORP | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $81,385.18                |
| GOLDMAN SACHS CO.       | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $86,216.32                |
| BARCLAYS CAPITAL INC.   | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $154,727.75               |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $541,569.25

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $9,232,692,544.87

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap Account                                      | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 30 - Core Fixed Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Core Fixed Income Fund

- **b. Series identification number, if any:** S000014242

- **c. LEI:** 2K6IF9KYA1Q08XNZVZ48

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000085771                                | PIOOX                        |
|                           2 | Class A                 | C000038752                                | CMPIX                        |
|                           3 | Institutional           | C000038755                                | PIOIX                        |
|                           4 | R-5                     | C000085768                                | PIOQX                        |
|                           5 | Class J                 | C000080382                                | PIOJX                        |
|                           6 | R-6                     | C000149261                                | PICNX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $8,795,617.10

- **g. Provide the net income from securities lending activities:** $59,813.11

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $161,372,378.77           |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $127,557,290.22           |
| NOMURA SECURITIES INT'L INC.        | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $109,011,718.73           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $179,912,823.75           |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $339,271,041.93           |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $101,492,640.31           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $359,500,282.31           |
| BMO CAPITAL MARKETS                 | 8-34344           |    000016686 | RUC0QBLBRPRCU4W1NE59 | NY      | US        | $79,792,968.75            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $86,539,500.94            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $162,855,365.74           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,122,351,401.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $10,617,688,257.16

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 31 - California Municipal Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** California Municipal Fund

- **b. Series identification number, if any:** S000014232

- **c. LEI:** 549300TB8YHKFT7I8G29

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038717                                | SRCCX                        |
|                           2 | Institutional           | C000153061                                | PCMFX                        |
|                           3 | Class A                 | C000038715                                | SRCMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| ZIEGLER SECURITIES                  | 8-94              |    000000061 | 549300NLEOFP92P38Q71 | IL      | US        | $23,400,466.85            |
| INSPEREX LLC                        | 8-52081           |    000101420 | 254900XF92VANF1UCI97 | IL      | US        | $93,751,459.05            |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $42,250,914.91            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $19,722,880.32            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $112,491,201.25           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $90,956,916.64            |
| TD BANK FINANCIAL GROUP             | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $35,379,942.00            |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $33,453,917.45            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $34,723,931.50            |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $23,285,700.50            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $670,976,491.07

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $623,243,689.71

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 32 - Overseas Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Overseas Fund

- **b. Series identification number, if any:** S000023512

- **c. LEI:** M8LPS0WBNG35BUE1BV52

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 1

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000111521                                | PINTX                        |
|                           2 | Institutional           | C000069149                                | PINZX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $11,058,971.57

- **g. Provide the net income from securities lending activities:** $85,674.53

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Causeway Capital Management LLC

- **ii. SEC file number:** 801-60343

- **iii. CRD number:** 000113308

- **iv. LEI, if any:** 5493008B4M4EF3B5X872

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Barrow, Hanley, Mewhinney & Strauss, LLC

- **ii. SEC file number:** 801-31237

- **iii. CRD number:** 000105519

- **iv. LEI, if any:** 213800XRVTFKWDGW6Y09

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV 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: 2**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** 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: 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:** 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: 9**

- **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: 10**

- **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: 11**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **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: 14**

- **i. Full name:** NORDEA DENMARK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** 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: 17**

- **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: 18**

- **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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 23**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV NATIONAL BANK OF BELGIUM

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** 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: 26**

- **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: 27**

- **i. Full name:** HSBC NEW ZEALAND

- **ii. LEI, if any:** 213800NHDWIZKO5KIH05

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $82,852.45

**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:** $119,227.29

**Brokers Record: 3**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $72,235.11

**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:** $54,291.94

**Brokers Record: 5**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $83,824.05

**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:** $112,672.05

**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:** $150,164.93

**Brokers Record: 8**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $84,689.21

**Brokers Record: 9**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $84,881.90

**Brokers Record: 10**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $35,621.77

**Aggregate Commission:** $1,163,074.09

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $423,044.18

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,224,436,186.83

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| MidCap Account                                        | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Fund                             | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **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: 33 - Tax-Exempt Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Tax-Exempt Bond Fund

- **b. Series identification number, if any:** S000014237

- **c. LEI:** 6BYFT28JGHOUTUDNKO44

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038736                                | PTBCX                        |
|                           2 | Class A                 | C000038734                                | PTEAX                        |
|                           3 | Institutional           | C000158782                                | PITEX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** BARCLAYS CAPITAL INC.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** G5GSEF7VJP5I7OUK5573

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $99.90

**Aggregate Commission:** $99.90

**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        | $22,448,436.00            |
| INSPEREX LLC                        | 8-52081           |    000101420 | 254900XF92VANF1UCI97 | IL      | US        | $20,398,843.65            |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $21,507,513.90            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $118,243,184.99           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $69,082,323.90            |
| RBC DOMINION SECURITIES CORP.       | 8-45411           |    000031194 | 549300LCO2FLSSVFFR64 | NY      | US        | $30,135,850.00            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $26,850,689.15            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $108,310,755.00           |
| JANNEY MONTGOMERY SCOTT INC.        | 8-462             |    000000463 | 549300QQRY1JCFQHYS08 | PA      | US        | $30,044,805.50            |
| FMS BONDS/FIRST MIAMI SECURITIES    | 8-23280           |    000007793 | 549300TUTBK58NSF2517 | FL      | US        | $26,594,556.05            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $626,178,566.59

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $513,185,557.74

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** —

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 34 - Short-Term Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Short-Term Income Fund

- **b. Series identification number, if any:** S000014245

- **c. LEI:** IJOCWVJG326LDFE5SJ51

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000090498                                | PSIQX                        |
|                           2 | Institutional           | C000038767                                | PSHIX                        |
|                           3 | R-3                     | C000090496                                | PSIOX                        |
|                           4 | Class J                 | C000090493                                | PSJIX                        |
|                           5 | Class C                 | C000038766                                | STCCX                        |
|                           6 | Class A                 | C000038764                                | SRHQX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $5,640,652.14

- **g. Provide the net income from securities lending activities:** $23,488.62

**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)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $158,402,432.00           |
| TD BANK FINANCIAL GROUP             | 8-36747           |    000018476 | SUVUFHICNZMP2WKHG940 | NY      | US        | $252,547,588.38           |
| WELLS FARGO SECURITIES LLC          | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $282,936,927.63           |
| NATWEST CAPITAL MARKETS             | 8-37135           |    000011707 | 213800F25B5OHORTSI52 | CT      | US        | $77,862,224.61            |
| BARCLAYS CAPITAL INC.               | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $97,782,951.15            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $127,413,848.83           |
| BNP PARIBAS SECURITIES CORP         | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $102,229,590.81           |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $221,801,095.73           |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $93,809,242.50            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $219,305,419.68           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,047,926,360.61

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,343,702,017.86

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Core Plus Bond Fund                                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 35 - Global Emerging Markets Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Global Emerging Markets Fund

- **b. Series identification number, if any:** S000007013

- **c. LEI:** 5493005LRWTRDOOFXF24

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019145                                | PIEJX                        |
|                           2 | R-5                     | C000019142                                | PEPSX                        |
|                           3 | R-6                     | C000175481                                | PIIMX                        |
|                           4 | Institutional           | C000019144                                | PIEIX                        |
|                           5 | R-3                     | C000019140                                | PEAPX                        |
|                           6 | Class A                 | C000019146                                | PRIAX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $5,251,036.88

- **g. Provide the net income from securities lending activities:** $121,445.32

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** CITIBANK N.A., BRAZILIAN BRANCH

- **ii. LEI, if any:** 1P0UUG7LC1S92QTNHG39

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** HSBC 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: 3**

- **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: 4**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** STD CHTD BANK INDONESIA BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **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: 7**

- **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: 8**

- **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: 9**

- **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: 10**

- **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: 11**

- **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: 12**

- **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: 13**

- **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: 14**

- **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: 15**

- **i. Full name:** DEUTSCHE BANK, ISTANBUL

- **ii. LEI, if any:** 789000N5SE3LWDK7OI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** 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: 17**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** 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: 19**

- **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: 20**

- **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: 21**

- **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: 22**

- **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: 23**

- **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: 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:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** CITIBANK EUROPE PLC, GREECE BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** THE BANK OF NEW YORK MELLON 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:** BANCO ITAU URUGUAY S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **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: 31**

- **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: 32**

- **i. Full name:** DEUTSCHE BANK AG (LDN)

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** 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: 35**

- **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: 36**

- **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: 37**

- **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: 38**

- **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: 39**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE BEARER

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** HSBC SHENZHEN

- **ii. LEI, if any:** 213800H3TEBTFHD5JR69

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** 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: 42**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** THE BANK OF NEW YORK MELLON SA/NV ESES FRANCE REGISTERED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN AB, OSLO BRANCH

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** 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: 46**

- **i. Full name:** SKANDINAVISKA ENSKILDA BANKEN, STOCKHOLM

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** CITIBANK MAGHREB

- **ii. LEI, if any:** 5493003FVWLMBFTISI11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **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: 50**

- **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: 51**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **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: 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:** 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: 55**

- **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: 56**

- **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: 57**

- **i. Full name:** UNION INTERNATIONALE DE BANQUES

- **ii. LEI, if any:** 549300WKCW12LEPUMV07

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 58**

- **i. Full name:** BANK OF JORDAN

- **ii. LEI, if any:** 254900XI5ZZJOK7NC049

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 59**

- **i. Full name:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 60**

- **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: 61**

- **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: 62**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 63**

- **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:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $318,349.65

**Brokers Record: 2**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $404,569.16

**Brokers Record: 3**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $214,378.59

**Brokers Record: 4**

- **i. Full name of broker:** CREDIT LYONNAIS

- **ii. SEC file number:** 8-13753

- **iii. CRD number:** 000000190

- **iv. LEI, if any:** 549300WO2DKF0Q3YMV43

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $493,578.50

**Brokers Record: 5**

- **i. Full name of broker:** MACQUARIE GROUP LTD.

- **ii. SEC file number:** 8-47198

- **iii. CRD number:** 000036368

- **iv. LEI, if any:** 549300670K07JRB5UQ40

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $139,181.89

**Brokers Record: 6**

- **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:** $264,337.72

**Brokers Record: 7**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $306,494.15

**Brokers Record: 8**

- **i. Full name of broker:** J.P. MORGAN SECURITIES LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** 8I5DZWZKVSZI1NUHU748

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $628,586.37

**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:** $218,741.49

**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:** $531,174.28

**Aggregate Commission:** $4,261,175.30

**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        | $7,706,581.12             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $19,692,954.61

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $3,088,765,833.42

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 36 - Principal LifeTime Hybrid Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid Income Fund

- **b. Series identification number, if any:** S000046553

- **c. LEI:** 5493000CIRETGKIW5645

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000199315                                | PHJFX                        |
|                           2 | R-6                     | C000159884                                | PLTYX                        |
|                           3 | Institutional           | C000145302                                | PHTFX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 17a-8 (17 CFR 270.17a-8)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $110,946,648.51

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $172,122,144.50

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| MidCap Account                                        | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 37 - MidCap Value Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** MidCap Value Fund I

- **b. Series identification number, if any:** S000007173

- **c. LEI:** 549300O90I046TGIJV51

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019615                                | PABVX                        |
|                           2 | Class A                 | C000210674                                | PCMVX                        |
|                           3 | Class J                 | C000076718                                | PVEJX                        |
|                           4 | Institutional           | C000019618                                | PVMIX                        |
|                           5 | R-6                     | C000210675                                | PCMSX                        |
|                           6 | R-3                     | C000019614                                | PMPRX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $1,542,626.48

- **g. Provide the net income from securities lending activities:** $41,583.61

**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 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Victory Capital Management Inc.

- **ii. SEC file number:** 801-46878

- **iii. CRD number:** 000106189

- **iv. LEI, if any:** 549300YNO08S1SH3I683

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Los Angeles Capital Management LLC

- **ii. SEC file number:** 801-60934

- **iii. CRD number:** 000119033

- **iv. LEI, if any:** 549300DZCL1LRBNVU327

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $108,147.98

**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:** $124,126.19

**Brokers Record: 3**

- **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:** $93,239.61

**Brokers Record: 4**

- **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:** $74,429.58

**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:** $99,619.92

**Brokers Record: 6**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $82,535.55

**Brokers Record: 7**

- **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:** $188,778.90

**Brokers Record: 8**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. State, if applicable:** WI

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $68,814.55

**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:** $66,923.59

**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:** $53,188.61

**Aggregate Commission:** $1,455,013.84

**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        | $9,398,700.00             |
| CIBC WORLD MARKETS CORP    | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $294,890.40               |
| CITIGROUP GLOBAL MARKETS   | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $26,297.46                |
| GOLDMAN SACHS CO.          | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $562,850.67               |
| MACQUARIE GROUP LTD.       | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $13,266.57                |
| RAYMOND JAMES & ASSOCIATES | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $358,284.27               |
| WELLS FARGO SECURITIES LLC | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $2,901,208.18             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $14,674,852.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,482,071,634.08

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 38 - SmallCap Growth Fund I

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Growth Fund I

- **b. Series identification number, if any:** S000007175

- **c. LEI:** 5493004U8OWJ0X12E116

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019630                                | PGRTX                        |
|                           2 | R-3                     | C000019627                                | PPNMX                        |
|                           3 | R-5                     | C000019628                                | PPNPX                        |
|                           4 | Class J                 | C000019631                                | PSIJX                        |
|                           5 | R-6                     | C000149260                                | PCSMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $32,508,148.27

- **g. Provide the net income from securities lending activities:** $998,392.47

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Brown Advisory LLC

- **ii. SEC file number:** 801-38826

- **iii. CRD number:** 000110181

- **iv. LEI, if any:** 549300KMFGGW36I79D06

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** Emerald Advisors Inc

- **ii. SEC file number:** 801-40263

- **iii. CRD number:** 000107496

- **iv. LEI, if any:** N/A

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 3**

- **i. Full name:** AllianceBernstein L.P.

- **ii. SEC file number:** 801-32361

- **iii. CRD number:** 000106998

- **iv. LEI, if any:** 0JK55UGWSWNF3X7KLQ85

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** RBC DOMINION SECURITIES CORP.

- **ii. SEC file number:** 8-45411

- **iii. CRD number:** 000031194

- **iv. LEI, if any:** 549300LCO2FLSSVFFR64

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $147,983.21

**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:** $174,320.50

**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:** $66,696.84

**Brokers Record: 4**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $233,609.50

**Brokers Record: 5**

- **i. Full name of broker:** CITIGROUP GLOBAL MARKETS

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $58,664.88

**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:** $57,152.64

**Brokers Record: 7**

- **i. Full name of broker:** MORGAN STANLEY & CO. LLC.

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $73,394.66

**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:** $160,552.99

**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:** $67,468.52

**Brokers Record: 10**

- **i. Full name of broker:** GOLDMAN SACHS CO.

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $102,407.72

**Aggregate Commission:** $1,629,370.32

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| CIBC WORLD MARKETS CORP             | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $675,736.18               |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $20,745,000.38            |
| CITIGROUP GLOBAL MARKETS            | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $7,481,605.20             |
| STIFEL NICOLAUS & COMPANY           | 8-1447            |    000000793 | 5WUVMA08EYG4KEUPW589 | MO      | US        | $919,600.00               |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $35,149,561.30            |
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $70,481,333.88            |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $17,005,016.70            |
| PIPER SANDLER COS                   | 8-15204           |    000000665 | 549300GRQCWQ3XGH0H10 | MN      | US        | $1,109,295.00             |
| OPPENHEIMER & CO.                   | 8-4077            |    000000249 | 254900VH02JQR2L8XD64 | NY      | US        | $1,209,320.00             |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $20,889,702.00            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $208,371,283.04

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,090,795,776.42

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 39 - SAM Balanced Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Balanced Portfolio

- **b. Series identification number, if any:** S000014246

- **c. LEI:** 549300S8O6Z9WO7ZQ889

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000039365                                | PSAJX                        |
|                           2 | Institutional           | C000038771                                | PSBIX                        |
|                           3 | R-3                     | C000039361                                | PBAPX                        |
|                           4 | R-5                     | C000039364                                | PSBFX                        |
|                           5 | Class A                 | C000038768                                | SABPX                        |
|                           6 | Class C                 | C000038770                                | SCBPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $20,070.00

**Brokers Record: 2**

- **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:** $1,268,765.93

**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:** $78,060.00

**Brokers Record: 4**

- **i. Full name of broker:** CIBC WORLD MARKETS CORP

- **ii. SEC file number:** 8-18333

- **iii. CRD number:** 000000630

- **iv. LEI, if any:** 549300445CON3DBMU275

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,750.00

**Aggregate Commission:** $1,371,645.93

**Item C.17.a. Principal transaction counterparties.**

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| VIRTU FINANCIAL LLC | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $159,063,391.11           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,236,531,917.74

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $4,637,371,906.51

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Diversified Income Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 40 - Principal LifeTime 2070 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2070 Fund

- **b. Series identification number, if any:** S000079799

- **c. LEI:** 549300LC2BG0MCEUSI38

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000241179                                | PLTDX                        |
|                           2 | Institutional           | C000241176                                | PLTGX                        |
|                           3 | R-5                     | C000241178                                | PLTFX                        |
|                           4 | Class J                 | C000241180                                | PLTLX                        |

**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 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $102,982,635.22

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $66,765,125.91

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| International Equity Fund                             | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Strategic 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: 41 - Principal LifeTime 2030 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2030 Fund

- **b. Series identification number, if any:** S000007208

- **c. LEI:** 549300PUV02156LIOH84

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000019751                                | PTCMX                        |
|                           2 | Institutional           | C000019754                                | PMTIX                        |
|                           3 | Class J                 | C000019755                                | PLTJX                        |
|                           4 | Class A                 | C000019756                                | PTCAX                        |
|                           5 | R-5                     | C000019752                                | PTCPX                        |

**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 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $3,922,879,896.54

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $5,240,588,685.48

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 42 - Principal LifeTime Hybrid 2040 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2040 Fund

- **b. Series identification number, if any:** S000046561

- **c. LEI:** 549300HVNMFXPLESEP22

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145326                                | PLTQX                        |
|                           2 | R-6                     | C000159892                                | PLMTX                        |
|                           3 | Class J                 | C000199323                                | PHJEX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $853,982,411.42

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $964,902,901.13

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 43 - Principal LifeTime 2035 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2035 Fund

- **b. Series identification number, if any:** S000022105

- **c. LEI:** 549300OUTLHKNTUQEQ44

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000063439                                | LTIUX                        |
|                           2 | R-5                     | C000063437                                | LTPEX                        |
|                           3 | R-3                     | C000063435                                | LTAOX                        |

**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 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,548,671,404.94

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,984,290,985.81

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Capital Securities Fund                               | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified International Account                     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| International Equity Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| MidCap Account                                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 44 - Equity Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Equity Income Fund

- **b. Series identification number, if any:** S000014240

- **c. LEI:** 549300LK1BTIDFAOW136

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000204702                                | PEIJX                        |
|                           2 | Institutional           | C000038747                                | PEIIX                        |
|                           3 | Class A                 | C000038744                                | PQIAX                        |
|                           4 | R-3                     | C000085765                                | PEIOX                        |
|                           5 | R-5                     | C000085767                                | PEIQX                        |
|                           6 | Class C                 | C000038746                                | PEUCX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** 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:** $42,637,199.28

- **g. Provide the net income from securities lending activities:** $223,716.65

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** CIBC MELLON

- **ii. LEI, if any:** 549300IYUUH221WBZ505

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 3**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 4**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** 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: 6**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $51,098.08

**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:** $99,995.99

**Brokers Record: 3**

- **i. Full name of broker:** STONEX GROUP

- **ii. SEC file number:** 8-51269

- **iii. CRD number:** 000045993

- **iv. LEI, if any:** 549300LNKU6K5TJCRG93

- **v. State, if applicable:** FL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $92,817.68

**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:** $91,870.71

**Brokers Record: 5**

- **i. Full name of broker:** LIQUIDNET

- **ii. SEC file number:** 8-52461

- **iii. CRD number:** 000103987

- **iv. LEI, if any:** 213800HSKBBO1GCVRG79

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $58,806.76

**Brokers Record: 6**

- **i. Full name of broker:** MERRILL LYNCH PIERCE FENNER & SMITH

- **ii. SEC file number:** 8-7221

- **iii. CRD number:** 000007691

- **iv. LEI, if any:** DWW559HN8WVTCCS4VJ94

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $317,249.23

**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:** $204,655.51

**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:** $137,072.35

**Brokers Record: 9**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $65,691.64

**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:** $109,890.23

**Aggregate Commission:** $1,437,685.96

- **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:** $8,730,847,455.05

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **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: 45 - Principal LifeTime 2055 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2055 Fund

- **b. Series identification number, if any:** S000022107

- **c. LEI:** 549300PUZ2TR10G3XL72

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000063447                                | LTFDX                        |
|                           2 | R-5                     | C000063449                                | LTFPX                        |
|                           3 | Institutional           | C000063451                                | LTFIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- 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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,112,478,846.28

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,148,722,948.25

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 46 - SmallCap S&P 600 Index Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap S&P 600 Index Fund

- **b. Series identification number, if any:** S000007203

- **c. LEI:** 549300B1ZF0B4X7VPP69

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000019719                                | PSSIX                        |
|                           2 | R-5                     | C000019717                                | PSSPX                        |
|                           3 | Class J                 | C000019720                                | PSSJX                        |
|                           4 | R-3                     | C000019716                                | PSSMX                        |
|                           5 | R-6                     | C000175485                                | PSPIX                        |

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $6,051,734.60

- **g. Provide the net income from securities lending activities:** $62,149.50

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- 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)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $47,689.88

**Brokers Record: 2**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $54,561.43

**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:** $95,691.04

**Brokers Record: 4**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $68,288.71

**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:** $30,168.28

**Brokers Record: 6**

- **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:** $14,026.50

**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:** $19,162.83

**Brokers Record: 8**

- **i. Full name of broker:** COWEN GROUP INC.

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $32,020.11

**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:** $10,639.66

**Brokers Record: 10**

- **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:** $26,176.32

**Aggregate Commission:** $441,714.94

**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        | $38,032,488.68            |
| RAYMOND JAMES & ASSOCIATES  | 8-10999           |    000000705 | U4ONQX15J3RO8XCKE979 | FL      | US        | $31,025,792.24            |
| CITIGROUP GLOBAL MARKETS    | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $2,467,393.74             |
| CIBC WORLD MARKETS CORP     | 8-18333           |    000000630 | 549300445CON3DBMU275 | NY      | US        | $18,332,502.37            |
| MACQUARIE GROUP LTD.        | 8-47198           |    000036368 | 549300670K07JRB5UQ40 | NY      | US        | $16,955,094.78            |
| BNP PARIBAS SECURITIES CORP | 8-32682           |    000015794 | 2J5703FH5U5M97R1I237 | NY      | US        | $140,476,131.93           |
| BARCLAYS CAPITAL INC.       | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $111,650,179.98           |
| WELLS FARGO SECURITIES LLC  | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $17,496,662.36            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $384,235,481.66

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $1,310,188,808.40

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 47 - Diversified Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Diversified Income Fund

- **b. Series identification number, if any:** S000024296

- **c. LEI:** Z3JN35WE26MM2N5JM972

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000071808                                | PGDCX                        |
|                           2 | Class A                 | C000071807                                | PGBAX                        |
|                           3 | Institutional           | C000071805                                | PGDIX                        |
|                           4 | R-6                     | C000190075                                | PGBLX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $36,048,592.58

- **g. Provide the net income from securities lending activities:** $403,806.40

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 17e-1 (17 CFR 270.17e-1)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.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

**Sub-adviser Record: 2**

- **i. Full name:** Polen Capital Credit, LLC

- **ii. SEC file number:** 801-55001

- **iii. CRD number:** 000108468

- **iv. LEI, if any:** 549300ZLX14T3RGX6L55

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 3**

- **i. Full name:** Post Advisory Group, LLC

- **ii. SEC file number:** 801-57939

- **iii. CRD number:** 000108860

- **iv. LEI, if any:** T3HHYF0JECXJONZVPI19

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 4**

- **i. Full name:** Grantham, Mayo, Van Otterloo & Co. LLC

- **ii. SEC file number:** 801-15028

- **iii. CRD number:** 000106220

- **iv. LEI, if any:** KG0ECHUB6SFORDPJZK65

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 5**

- **i. Full name:** Spectrum Asset Management, Inc.

- **ii. SEC file number:** 801-30405

- **iii. CRD number:** 000018217

- **iv. LEI, if any:** WARIMFOO2Y13MJ7LNX31

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 6**

- **i. Full name:** Blackrock Financial Management, Inc.

- **ii. SEC file number:** 801-48433

- **iii. CRD number:** 000107105

- **iv. LEI, if any:** 549300LVXYIVJKE13M84

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 7**

- **i. Full name:** Nuveen Asset Management, LLC

- **ii. SEC file number:** 801-71957

- **iii. CRD number:** 000155584

- **iv. LEI, if any:** 549300W218VXB0L5EY14

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 8**

- **i. Full name:** PineBridge Investments, LLC

- **ii. SEC file number:** 801-18759

- **iii. CRD number:** 000105926

- **iv. LEI, if any:** CLDVY8VY4GNT81Q4VM57

- **v. Is the sub-adviser an affiliated person?:** No

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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:** 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?** Yes

**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:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **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: 3**

- **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: 4**

- **i. Full name:** DEUTSCHE BANK AG, JAKARTA

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **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: 9**

- **i. Full name:** CITITRUST S.A., BOGOTA

- **ii. LEI, if any:** 549300NMTWZ8076A0603

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** 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: 11**

- **i. Full name:** HSBC HK BOND CONNECT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **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: 14**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **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: 17**

- **i. Full name:** UNICREDIT BANK SERBIA JSC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 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:** 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: 21**

- **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: 22**

- **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: 23**

- **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: 24**

- **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: 25**

- **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: 26**

- **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: 27**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, BANGKOK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** 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: 30**

- **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)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** SAMI BROKERAGE LLC

- **b. SEC file number:** 8-36472

- **c. CRD number:** 000018217

- **d. LEI, if any:** 549300HUULJL06T66Q45

- **e. State, if applicable:** CT

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $6,056.42

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $2,352.50

**Brokers Record: 2**

- **i. Full name of broker:** JEFFERIES & COMPANY

- **ii. SEC file number:** 8-15074

- **iii. CRD number:** 000002347

- **iv. LEI, if any:** 58PU97L1C0WSRCWADL48

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $46,551.45

**Brokers Record: 3**

- **i. Full name of broker:** PIPER SANDLER COS

- **ii. SEC file number:** 8-15204

- **iii. CRD number:** 000000665

- **iv. LEI, if any:** 549300GRQCWQ3XGH0H10

- **v. State, if applicable:** MN

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $21,131.50

**Brokers Record: 4**

- **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:** $6,927.25

**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:** $2,928.00

**Brokers Record: 6**

- **i. Full name of broker:** WALLACHBETH CAPITAL

- **ii. SEC file number:** 8-67936

- **iii. CRD number:** 000147853

- **iv. LEI, if any:** 549300R371KUKXEXC133

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $92,486.10

**Brokers Record: 7**

- **i. Full name of broker:** SAMI BROKERAGE LLC

- **ii. SEC file number:** 8-36472

- **iii. CRD number:** 000018217

- **iv. LEI, if any:** 549300HUULJL06T66Q45

- **v. State, if applicable:** CT

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,056.42

**Brokers Record: 8**

- **i. Full name of broker:** OLD MISSION MARKETS LLC

- **ii. SEC file number:** 8-69691

- **iii. CRD number:** 000281867

- **iv. LEI, if any:** 5493003UFGIEMN1POL71

- **v. State, if applicable:** IL

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,838.50

**Brokers Record: 9**

- **i. Full name of broker:** NATIONAL ALLIANCE SECURITIES LLC

- **ii. SEC file number:** 8-48723

- **iii. CRD number:** 000039455

- **iv. LEI, if any:** 549300Q8AVM3P2CCKI12

- **v. State, if applicable:** TX

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $3,759.00

**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:** $6,687.75

**Aggregate Commission:** $196,323.35

**Item C.17.a. Principal transaction counterparties.**

| Name                        | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| SAMI BROKERAGE LLC          | 8-36472           |    000018217 | 549300HUULJL06T66Q45 | CT      | US        | $112,594,352.90           |
| J.P. MORGAN SECURITIES LLC  | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $407,169,576.32           |
| CITIGROUP GLOBAL MARKETS    | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $233,619,419.96           |
| MORGAN STANLEY & CO. LLC.   | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $595,645,582.63           |
| BANCAMERICA SECURITIES INC. | 8-35968           |    000017977 | N/A                  | CA      | US        | $133,346,801.40           |
| GOLDMAN SACHS CO.           | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $451,903,111.63           |
| JEFFERIES & COMPANY         | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $100,085,671.20           |
| DAIWA SECURITIES            | 8-12242           |    000001576 | M67H5PRC0NQKM73ZAS82 | NY      | US        | $4,923,165,182.36         |
| WELLS FARGO SECURITIES LLC  | 8-65876           |    000126292 | VYVVCKR63DVZZN70PB21 | NC      | US        | $804,503,512.71           |
| BARCLAYS CAPITAL INC.       | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $265,471,003.47           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $9,237,845,450.51

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,470,120,129.23

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Diversified International Account                     | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 48 - Principal LifeTime Hybrid 2035 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2035 Fund

- **b. Series identification number, if any:** S000046560

- **c. LEI:** 549300HTTM409VP2B571

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159891                                | PLRTX                        |
|                           2 | Institutional           | C000145323                                | PHTJX                        |
|                           3 | Class J                 | C000199322                                | PHJJX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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:** 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?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $613,293,676.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $816,625,357.10

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 49 - Principal LifeTime 2060 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2060 Fund

- **b. Series identification number, if any:** S000039873

- **c. LEI:** 549300HB2Z0M4WWLPT85

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000123721                                | PLTAX                        |
|                           2 | Institutional           | C000123727                                | PLTZX                        |
|                           3 | R-5                     | C000123726                                | PLTOX                        |
|                           4 | R-3                     | C000123724                                | PLTCX                        |

**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)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,077,028,756.98

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,116,196,178.42

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| International Equity Fund                             | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Diversified International Account                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 50 - Principal LifeTime 2015 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2015 Fund

- **b. Series identification number, if any:** S000022103

- **c. LEI:** 549300XAYIJ4V261EO69

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000063426                                | LTPFX                        |
|                           2 | Institutional           | C000063423                                | LTINX                        |
|                           3 | R-3                     | C000063424                                | LTAPX                        |

**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))

- Rule 18f-4 (17 CFR 270.18f-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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $158,366,449.07

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $214,409,953.68

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified International Account                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Capital Securities Fund                               | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 51 - Real Estate Securities Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Real Estate Securities Fund

- **b. Series identification number, if any:** S000007212

- **c. LEI:** 5493007VCVKAGWPVUY18

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 7

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000175486                                | PFRSX                        |
|                           2 | R-5                     | C000019788                                | PREPX                        |
|                           3 | Class A                 | C000019792                                | PRRAX                        |
|                           4 | Institutional           | C000019790                                | PIREX                        |
|                           5 | Class J                 | C000019791                                | PREJX                        |
|                           6 | Class C                 | C000038802                                | PRCEX                        |
|                           7 | R-3                     | C000019787                                | PRERX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** Yes

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** Principal Real Estate Investors LLC

- **ii. SEC file number:** 801-55618

- **iii. CRD number:** 000109008

- **iv. LEI, if any:** 549300MQOXJ8V8FMMS34

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $76,279.07

**Brokers Record: 2**

- **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:** $250,340.88

**Brokers Record: 3**

- **i. Full name of broker:** MIZUHO SECURITIES USA INC.

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 7TK5RJIZDFROZCA6XF66

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $68,853.80

**Brokers Record: 4**

- **i. Full name of broker:** TRUIST FINANCIAL CORPORATION

- **ii. SEC file number:** 8-35355

- **iii. CRD number:** 000017499

- **iv. LEI, if any:** 549300DRQQI75D2JP341

- **v. State, if applicable:** NC

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $119,350.99

**Brokers Record: 5**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $77,178.66

**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:** $285,559.35

**Brokers Record: 7**

- **i. Full name of broker:** INSTINET CLEARING SERVICES INC

- **ii. SEC file number:** 8-23669

- **iii. CRD number:** 000007897

- **iv. LEI, if any:** N/A

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $104,569.96

**Brokers Record: 8**

- **i. Full name of broker:** ROBERT W. BAIRD  & CO.

- **ii. SEC file number:** 8-497

- **iii. CRD number:** 000008158

- **iv. LEI, if any:** 549300772UJAHRD6LO53

- **v. State, if applicable:** WI

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $73,500.13

**Brokers Record: 9**

- **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:** $146,519.74

**Brokers Record: 10**

- **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:** $116,857.02

**Aggregate Commission:** $1,851,386.97

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $10,525,786.70            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $20,199,575.13            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $30,725,361.83

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $6,342,491,950.59

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** —

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 52 - Principal LifeTime Strategic Income Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Strategic Income Fund

- **b. Series identification number, if any:** S000007211

- **c. LEI:** 5493001UTDWI6JEST966

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-3                     | C000019779                                | PLSMX                        |
|                           2 | R-5                     | C000019780                                | PLSPX                        |
|                           3 | Class J                 | C000019783                                | PLSJX                        |
|                           4 | Class A                 | C000019784                                | PALTX                        |
|                           5 | Institutional           | C000019782                                | PLSIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 17a-8 (17 CFR 270.17a-8)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $455,949,570.25

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $739,261,169.55

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 53 - Principal LifeTime Hybrid 2020 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2020 Fund

- **b. Series identification number, if any:** S000046557

- **c. LEI:** 549300EIPFTYIBBWRT04

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-6                     | C000159888                                | PLTTX                        |
|                           2 | Class J                 | C000199319                                | PHJTX                        |
|                           3 | Institutional           | C000145314                                | PHTTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $342,775,704.61

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $566,145,798.97

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal LifeTime 2040 Account                       | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified International Account                     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| International Equity Index Fund                       | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 54 - SAM Strategic Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Strategic Growth Portfolio

- **b. Series identification number, if any:** S000014236

- **c. LEI:** 549300C8SIHTBE7RE726

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class C                 | C000038732                                | SWHCX                        |
|                           2 | R-5                     | C000039358                                | PSGFX                        |
|                           3 | Class J                 | C000039359                                | PSWJX                        |
|                           4 | Institutional           | C000038733                                | PSWIX                        |
|                           5 | Class A                 | C000038730                                | SACAX                        |
|                           6 | R-3                     | C000039355                                | PSGPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**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:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $1,009,985.34

**Brokers Record: 2**

- **i. Full name of broker:** CIBC WORLD MARKETS CORP

- **ii. SEC file number:** 8-18333

- **iii. CRD number:** 000000630

- **iv. LEI, if any:** 549300445CON3DBMU275

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,300.00

**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:** $24,570.00

**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:** $10,170.00

**Aggregate Commission:** $1,049,025.34

**Item C.17.a. Principal transaction counterparties.**

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| VIRTU FINANCIAL LLC | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $127,921,524.62           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,520,846,937.35

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,324,096,934.51

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| International Equity Fund                             | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 55 - Principal LifeTime 2020 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2020 Fund

- **b. Series identification number, if any:** S000007207

- **c. LEI:** 549300N5YM1UZN95SQ38

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 5

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class J                 | C000019746                                | PLFJX                        |
|                           2 | R-5                     | C000019743                                | PTBPX                        |
|                           3 | R-3                     | C000019742                                | PTBMX                        |
|                           4 | Class A                 | C000019747                                | PTBAX                        |
|                           5 | Institutional           | C000019745                                | PLWIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,489,064,095.16

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $2,128,624,749.33

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Capital Securities Fund                               | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Global Emerging Markets Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| International Equity Fund                             | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 56 - Finisterre Emerging Markets Total Return Bond Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Finisterre Emerging Markets Total Return Bond Fund

- **b. Series identification number, if any:** S000054330

- **c. LEI:** 549300MNS2JZWUXHD778

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 1

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000170736                                | PFUMX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $11,352,346.84

- **g. Provide the net income from securities lending activities:** $132,567.97

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 32a-4 (17 CFR 270.32a-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** No

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** STD CHTD BANK KOREA LIMITED

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **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: 3**

- **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: 4**

- **i. Full name:** BANK POLSKA KASA OPIEKI S.A.

- **ii. LEI, if any:** 5493000LKS7B3UTF7H35

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** MMYX0N4ZEZ13Z4XCG897

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** 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: 7**

- **i. Full name:** BANK HAPOALIM B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** CBM BANCO, S.A., INSTITUCION DE BANCA MULTIPLE, INTEGRANTE DEL GRUPO FINANCIERO CITIBANAMEX (CBM BAN

- **ii. LEI, if any:** 529900H31AYI6WA1J534

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** UBS SWITZERLAND AG

- **ii. LEI, if any:** 549300WOIFUSNYH0FL22

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **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: 11**

- **i. Full name:** TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 12**

- **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: 13**

- **i. Full name:** EUROCLEAR BANK, BRUSSELS

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 14**

- **i. Full name:** STANBIC IBTC BANK PLC, LAGOS

- **ii. LEI, if any:** 549300NIVXF92ZIOVW61

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** CITIBANK EUROPE PLC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** UNICREDIT BANK SERBIA JSC

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 17**

- **i. Full name:** JSC TBANK

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** HONGKONG AND SHANGHAI BANKING CORPORATION, HONG KONG

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** 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: 20**

- **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: 21**

- **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: 22**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 23**

- **i. Full name:** JOINT STOCK COMPANY CITIBANK KAZAKHSTAN

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **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: 25**

- **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: 26**

- **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: 27**

- **i. Full name:** HSBC BANK EGYPT

- **ii. LEI, if any:** 2138001Q77JDLESS4Y50

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** CITIBANK ARGENTINA, BUENOS AIRES

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **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: 30**

- **i. Full name:** THE BANK OF NEW YORK MELLON

- **ii. LEI, if any:** 549300KP56LL8NKKFL47

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 31**

- **i. Full name:** STANDARD 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: 32**

- **i. Full name:** STD CHTD BANK, PHILIPPINES BR

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** 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: 34**

- **i. Full name:** HSBC HK BOND CONNECT

- **ii. LEI, if any:** N/A

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** Yes

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

**Item C.17.a. Principal transaction counterparties.**

| Name                         | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| BANCO SANTANDER              | 8-47664           |    000037216 | 549300FT36TF8GQFTL08 | NY      | US        | $44,894,342.89            |
| BARCLAYS CAPITAL INC.        | 8-41342           |    000019714 | G5GSEF7VJP5I7OUK5573 | NY      | US        | $100,779,426.22           |
| GOLDMAN SACHS CO.            | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $169,873,886.61           |
| MORGAN STANLEY & CO. LLC.    | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $92,074,430.34            |
| CITIGROUP GLOBAL MARKETS     | 8-8177            |    000007059 | MBNUM2BPBDO7JBLYG310 | NY      | US        | $255,441,762.96           |
| BANK OF AMERICA              | 8-69787           |    000283942 | 549300HN4UKV1E2R3U73 | NC      | US        | $74,411,096.43            |
| J.P. MORGAN SECURITIES LLC   | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $222,414,483.64           |
| NOMURA SECURITIES INT'L INC. | 8-15255           |    000004297 | 549300MGMN3RKMU8FT57 | NY      | US        | $43,458,955.86            |
| JEFFERIES & COMPANY          | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $105,210,304.08           |
| HSBC SECURITIES INC.         | 8-41562           |    000019585 | CYYGQCGNHMHPSMRL3R97 | NY      | US        | $220,104,264.01           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $1,611,627,623.03

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $683,953,216.25

**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?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **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: 57 - Principal LifeTime Hybrid 2055 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2055 Fund

- **b. Series identification number, if any:** S000046554

- **c. LEI:** 549300ZIDHV5G7EDU738

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145305                                | PLTNX                        |
|                           2 | Class J                 | C000199316                                | PHJBX                        |
|                           3 | R-6                     | C000159885                                | PLHTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $287,643,306.56

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $325,259,902.54

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Principal Capital Appreciation Account                | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Equity Income Account                                 | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Account                             | 811-01944         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SmallCap Growth 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?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 58 - Principal LifeTime 2065 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime 2065 Fund

- **b. Series identification number, if any:** S000058847

- **c. LEI:** 549300LRM8HZ22GBEX65

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 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?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000193006                                | PLJEX                        |
|                           2 | R-3                     | C000193004                                | PLJCX                        |
|                           3 | Institutional           | C000193001                                | PLJIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 18f-4 (17 CFR 270.18f-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:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $278,164,017.08

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $249,337,874.40

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Capital Securities Fund                               | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Core Fixed Income Fund                                | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| International Equity Fund                             | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| International Small Company Fund                      | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| LargeCap Growth Fund I                                | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Diversified International Account                     | 811-01944         |
| High Yield Fund                                       | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| SAM Balanced Portfolio                                | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 59 - SmallCap Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SmallCap Fund

- **b. Series identification number, if any:** S000007214

- **c. LEI:** 5493008AXRXQLEL0TR95

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000019805                                | PSBPX                        |
|                           2 | Class J                 | C000019808                                | PSBJX                        |
|                           3 | Institutional           | C000019807                                | PSLIX                        |
|                           4 | R-3                     | C000019804                                | PSBMX                        |
|                           5 | Class A                 | C000019809                                | PLLAX                        |
|                           6 | R-6                     | C000175487                                | PSMLX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

- **b. Did the Fund lend any of its securities during the reporting period?** Yes

  - **i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that:**

    - **1. The Fund (or it securities lending agent) liquidated collateral pledged to secure the loaned securities?** No

    - **2. The Fund was otherwise adversely impacted?** No

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. Is the securities lending agent an affiliated person...?** No

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager:**

**Collateral Managers Record: 1**

- **i. Full name of cash collateral manager:** BlackRock Advisors, LLC

- **ii. LEI, if any:** 5493001LN9MRM6A35J74

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**Collateral Managers Record: 2**

- **i. Full name of cash collateral manager:** Principal Global Investors, LLC

- **ii. LEI, if any:** 549300BABIOZPCNHMB89

- **iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund??** No

- **iv. Is the cash collateral manager an affiliated person of the Fund?** Yes

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [ ] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $7,639,579.14

- **g. Provide the net income from securities lending activities:** $271,265.81

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** 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:** $102,783.25

**Brokers Record: 2**

- **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:** $55,823.87

**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:** $161,728.34

**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:** $48,910.28

**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:** $111,482.21

**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:** $68,192.22

**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:** $41,272.66

**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:** $93,288.85

**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:** $130,144.28

**Brokers Record: 10**

- **i. Full name of broker:** UBS SECURITIES LLC

- **ii. SEC file number:** 8-16267

- **iii. CRD number:** 000008174

- **iv. LEI, if any:** T6FIZBDPKLYJKFCRVK44

- **v. State, if applicable:** NJ

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $79,397.69

**Aggregate Commission:** $1,295,602.08

**Item C.17.a. Principal transaction counterparties.**

| Name                                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| J.P. MORGAN SECURITIES LLC          | 8-35008           |    000000079 | 8I5DZWZKVSZI1NUHU748 | NY      | US        | $16,999,884.00            |
| UBS SECURITIES LLC                  | 8-16267           |    000008174 | T6FIZBDPKLYJKFCRVK44 | NJ      | US        | $5,820,000.00             |
| JEFFERIES & COMPANY                 | 8-15074           |    000002347 | 58PU97L1C0WSRCWADL48 | NY      | US        | $5,319,300.00             |
| GOLDMAN SACHS CO.                   | 8-129             |    000000361 | FOR8UP27PHTHYVLBNG30 | NY      | US        | $13,205,641.00            |
| MORGAN STANLEY & CO. LLC.           | 8-15869           |    000008209 | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $11,161,180.00            |
| MERRILL LYNCH PIERCE FENNER & SMITH | 8-7221            |    000007691 | DWW559HN8WVTCCS4VJ94 | NY      | US        | $5,670,080.00             |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $82,287,085.00

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** Yes

- **Item C.19.a - Fund's monthly average net assets:** $2,134,117,610.29

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| Tax-Exempt Bond Fund                                  | 811-07572         |
| MidCap Account                                        | 811-01944         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Diversified Growth Account                            | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Money Market Fund                                     | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Bond Market Index Account                             | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Bond Market Index Fund                                | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| Diversified International Fund                        | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| International Equity Index Fund                       | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Blue Chip Fund                                        | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Diversified Real Asset Fund                           | 811-07572         |

- **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: 60 - Principal LifeTime Hybrid 2030 Fund

**Item C.1. Background information.**

- **a. Full Name of the Fund:** Principal LifeTime Hybrid 2030 Fund

- **b. Series identification number, if any:** S000046559

- **c. LEI:** 549300AXGFIB10CD1056

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 3

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Institutional           | C000145320                                | PHTNX                        |
|                           2 | Class J                 | C000199321                                | PHJNX                        |
|                           3 | R-6                     | C000159890                                | PLZTX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [x] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

**Transfer Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** JPM PricingDirect

- **ii. LEI, if any, or provide and describe other identifying number:** 549300WIC0TOJ7N7GD54

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** Bloomberg Finance L.P

- **ii. LEI, if any, or provide and describe other identifying number:** 5493001KJTIIGC8Y1R12

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

No Brokers reported.

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $876,701,302.40

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $1,154,393,196.49

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified International Account                     | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| California Municipal Fund                             | 811-07572         |
| Opportunistic Municipal Fund                          | 811-07572         |
| SmallCap Fund                                         | 811-07572         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| MidCap Account                                        | 811-01944         |
| Government & High Quality Bond Account                | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Core Plus Bond Account                                | 811-01944         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Real Estate Securities Account                        | 811-01944         |
| Government Money Market Fund                          | 811-07572         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Global Multi-Strategy Fund                            | 811-07572         |
| Short-Term Income Fund                                | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| Diversified Income Fund                               | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Diversified Income Account                            | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| International Equity Fund                             | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| MidCap Fund                                           | 811-07572         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| Inflation Protection Fund                             | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| Core Plus Bond Fund                                   | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| Diversified Balanced Account                          | 811-01944         |
| SmallCap Value Fund II                                | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Government & High Quality Bond Fund                   | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| SmallCap Account                                      | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| LargeCap Growth Account I                             | 811-01944         |
| LargeCap Value Fund III                               | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

### Management Investment Record: 61 - SAM Conservative Growth Portfolio

**Item C.1. Background information.**

- **a. Full Name of the Fund:** SAM Conservative Growth Portfolio

- **b. Series identification number, if any:** S000014234

- **c. LEI:** 549300W8DHI9NJT79L41

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 6

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 2

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | R-5                     | C000039343                                | PCWPX                        |
|                           2 | Institutional           | C000038725                                | PCWIX                        |
|                           3 | Class J                 | C000039344                                | PCGJX                        |
|                           4 | R-3                     | C000039346                                | PCGPX                        |
|                           5 | Class C                 | C000038724                                | SCGPX                        |
|                           6 | Class A                 | C000038722                                | SAGPX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [x] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [ ] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** No

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** No

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** $0.00

- **g. Provide the net income from securities lending activities:** $0.00

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. SEC file number:** 801-55959

- **iii. CRD number:** 000109002

- **iv. LEI, if any:** 549300BABIOZPCNHMB89

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. SEC file number:** 084-05657

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** CA

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vii. Is the transfer agent a sub-transfer agent?:** No

**Transfer Agents Record: 2**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. SEC file number:** 084-00448

- **iii. LEI, if any:** N/A

- **iv. State, if applicable:** MO

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** Yes

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** ICE Data Pricing & Reference Data, LLC

- **ii. LEI, if any, or provide and describe other identifying number:** 5493000NQ9LYLDBCTL34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** S&P Global Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** Y6X4K52KMJMZE7I7MY94

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** 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

- **b. Was a pricing service hired or terminated during the reporting period?** Yes

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** The Bank of New York Mellon

- **ii. LEI, if any:** HPFHU0OQ28E4N0NFVK49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** SS&C GIDS, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** Principal Shareholder Services, Inc.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** Yes

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** No

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** Principal Global Investors, LLC

- **ii. LEI, if any, or other identifying number:** 549300BABIOZPCNHMB89

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

No Affiliated Broker-Dealers reported.

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** CIBC WORLD MARKETS CORP

- **ii. SEC file number:** 8-18333

- **iii. CRD number:** 000000630

- **iv. LEI, if any:** 549300445CON3DBMU275

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,330.00

**Brokers Record: 2**

- **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:** $1,030,986.22

**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:** $63,750.00

**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:** $13,480.00

**Aggregate Commission:** $1,112,546.22

**Item C.17.a. Principal transaction counterparties.**

| Name                | SEC file number   |   CRD number | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|---:|:---|:---|:---|:---|
| VIRTU FINANCIAL LLC | 8-68193           |    000149823 | 549300RA02N3BNSWBV74 | NY      | US        | $129,908,152.17           |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $2,001,997,366.43

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $3,263,287,350.00

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $300,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Bank of New York Mellon

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                          | SEC File number   |
|:---|:---|
| U.S. LargeCap Buffer January Account                  | 811-01944         |
| Global Multi-Strategy Fund                            | 811-07572         |
| SmallCap Account                                      | 811-01944         |
| Principal LifeTime Hybrid 2020 Fund                   | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-07572         |
| Diversified Income Account                            | 811-01944         |
| Global Sustainable Listed Infrastructure Fund         | 811-07572         |
| SAM Balanced Portfolio                                | 811-07572         |
| Diversified International Account                     | 811-01944         |
| Core Plus Bond Fund                                   | 811-07572         |
| Global Emerging Markets Account                       | 811-01944         |
| Principal LifeTime 2020 Account                       | 811-01944         |
| Core Fixed Income Fund                                | 811-07572         |
| Principal LifeTime 2060 Account                       | 811-01944         |
| SAM Strategic Growth Portfolio                        | 811-01944         |
| SmallCap Fund                                         | 811-07572         |
| Diversified Income Fund                               | 811-07572         |
| Principal LifeTime Hybrid 2050 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2030 Fund                   | 811-07572         |
| Principal LifeTime Hybrid 2070 Fund                   | 811-07572         |
| Global Emerging Markets Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2035 Fund                   | 811-07572         |
| Equity Income Account                                 | 811-01944         |
| Principal LifeTime Strategic Income Fund              | 811-07572         |
| Core Plus Bond Account                                | 811-01944         |
| Principal LifeTime 2060 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Fund                           | 811-07572         |
| Government & High Quality Bond Account                | 811-01944         |
| LargeCap Growth Account I                             | 811-01944         |
| Principal Capital Appreciation Fund                   | 811-07572         |
| Equity Income Fund                                    | 811-07572         |
| Principal LifeTime Hybrid 2025 Fund                   | 811-07572         |
| SAM Strategic Growth Portfolio                        | 811-07572         |
| Principal LifeTime Hybrid 2055 Fund                   | 811-07572         |
| High Yield Fund                                       | 811-07572         |
| MidCap Fund                                           | 811-07572         |
| Diversified Growth Account                            | 811-01944         |
| Small-MidCap Dividend Income Fund                     | 811-07572         |
| Principal LifeTime 2045 Fund                          | 811-07572         |
| Principal LifeTime 2055 Fund                          | 811-07572         |
| Principal LifeTime 2065 Fund                          | 811-07572         |
| Money Market Fund                                     | 811-07572         |
| SmallCap Value Fund II                                | 811-07572         |
| Principal LifeTime 2035 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2040 Fund                   | 811-07572         |
| Principal LifeTime 2070 Fund                          | 811-07572         |
| Capital Securities Fund                               | 811-07572         |
| Government & High Quality Bond Fund                   | 811-07572         |
| International Equity Fund                             | 811-07572         |
| Overseas Fund                                         | 811-07572         |
| Principal LifeTime 2050 Account                       | 811-01944         |
| Tax-Exempt Bond Fund                                  | 811-07572         |
| Principal LifeTime Hybrid Income Fund                 | 811-07572         |
| MidCap Value Fund I                                   | 811-07572         |
| Principal LifeTime 2040 Fund                          | 811-07572         |
| Principal LifeTime 2020 Fund                          | 811-07572         |
| Principal LifeTime 2025 Fund                          | 811-07572         |
| Diversified Growth Strategic Allocation Account       | 811-01944         |
| MidCap S&P 400 Index Fund                             | 811-07572         |
| Principal LifeTime 2050 Fund                          | 811-07572         |
| International Small Company Fund                      | 811-07572         |
| Principal LifeTime Hybrid 2065 Fund                   | 811-07572         |
| Government Money Market Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2045 Fund                   | 811-07572         |
| MidCap Account                                        | 811-01944         |
| SAM Flexible Income Portfolio                         | 811-07572         |
| Principal LifeTime 2015 Fund                          | 811-07572         |
| Principal LifeTime Hybrid 2060 Fund                   | 811-07572         |
| Principal LifeTime 2030 Account                       | 811-01944         |
| Bond Market Index Account                             | 811-01944         |
| Diversified Balanced Account                          | 811-01944         |
| Bond Market Index Fund                                | 811-07572         |
| U.S. LargeCap Buffer October Account                  | 811-01944         |
| SmallCap Growth Fund I                                | 811-07572         |
| SAM Conservative Balanced Portfolio                   | 811-01944         |
| Diversified Growth Adaptive Allocation Account        | 811-01944         |
| Spectrum Preferred and Capital Securities Income Fund | 811-07572         |
| LargeCap Value Fund III                               | 811-07572         |
| California Municipal Fund                             | 811-07572         |
| Finisterre Emerging Markets Total Return Bond Fund    | 811-07572         |
| Diversified Balanced Adaptive Allocation Account      | 811-01944         |
| SAM Conservative Growth Portfolio                     | 811-01944         |
| LargeCap S&P 500 Managed Volatility Index Account     | 811-01944         |
| Principal Capital Appreciation Account                | 811-01944         |
| Diversified International Fund                        | 811-07572         |
| Principal LifeTime Hybrid 2015 Fund                   | 811-07572         |
| Global Real Estate Securities Fund                    | 811-07572         |
| International Equity Index Fund                       | 811-07572         |
| Short-Term Income Account                             | 811-01944         |
| Principal LifeTime 2040 Account                       | 811-01944         |
| Short-Term Income Fund                                | 811-07572         |
| SAM Flexible Income Portfolio                         | 811-01944         |
| Principal LifeTime Strategic Income Account           | 811-01944         |
| Inflation Protection Fund                             | 811-07572         |
| Blue Chip Fund                                        | 811-07572         |
| Real Estate Securities Fund                           | 811-07572         |
| SAM Balanced Portfolio                                | 811-01944         |
| U.S. LargeCap Buffer April Account                    | 811-01944         |
| Real Estate Securities Account                        | 811-01944         |
| LargeCap Growth Fund I                                | 811-07572         |
| SmallCap S&P 600 Index Fund                           | 811-07572         |
| U.S. LargeCap Buffer July Account                     | 811-01944         |
| Blue Chip Account                                     | 811-01944         |
| Diversified Balanced Strategic Allocation Account     | 811-01944         |
| Diversified Real Asset Fund                           | 811-07572         |
| Principal LifeTime 2030 Fund                          | 811-07572         |
| LargeCap S&P 500 Index Account                        | 811-01944         |
| Opportunistic Municipal Fund                          | 811-07572         |

- **v. Did the Fund draw on the line of credit this period?** —

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [x] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** Principal Funds, Inc.

**Date:** 2026-01-14

**Signature:** /s/ Megan Hoffmann

**Title:** Vice President and Treasurer