Form D · Other Investment Fund

High Yield Fixed Income Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001381362

Offering snapshot reported Jun 14, 2018 · SEC filing

Reported sold
$36.7M
Indefinite offering
Investors reported
10
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Mar 21, 2005
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$18.4M$36.7MFeb 5, 2010: $14,500,000.00Feb 5, 2010Feb 23, 2011: $15,573,341.00Mar 1, 2012: $17,973,341.00Feb 22, 2013: $17,973,341.00Feb 24, 2014: $30,739,115.00Apr 29, 2015: $36,585,115.00May 13, 2016: $36,585,115.00May 15, 2017: $36,585,115.00Jun 14, 2018: $36,737,115.00Jun 14, 2018

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$36,585,115 → $36,737,115

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 14, 2018Amendment$36,737,115$152,000vs May 15, 201710SEC filing
May 15, 2017Amendment$36,585,115$0vs May 13, 201610SEC filing
May 13, 2016Amendment$36,585,115$0vs Apr 29, 201510SEC filing
Apr 29, 2015Amendment$36,585,115$5,846,000vs Feb 24, 201410SEC filing
Feb 24, 2014Amendment$30,739,115$12,765,774vs Feb 22, 201310SEC filing
Feb 22, 2013Amendment$17,973,341$0vs Mar 1, 20129SEC filing
Mar 1, 2012Amendment$17,973,341$2,400,000vs Feb 23, 20119SEC filing
Feb 23, 2011Amendment$15,573,341$1,073,341vs Feb 5, 20109SEC filing
Feb 5, 2010Amendment$14,500,000No comparison9SEC filing
Nov 6, 2006PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$57K
Finders' fees
$0
Form D file number
021-96616

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Principal Funds Distributor, Inc.43261

Source: Form D, filed Jun 14, 2018. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

PRINCIPAL GLOBAL INVESTORS TRUST HIGH YIELD FIXED INCOME FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$0

Reported in Form ADV on Nov 14, 2022. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

No provider names available in this fund's imported disclosure.

Provider details
Annual audit
No
Prime brokers
No
Custodians
No
Administrator other than the adviser
No
External marketing
No
Filing source

Form ADV 1687799 · Nov 14, 2022 · Schedule D 7.B.(1), fund 805-9525484393

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Michael Beer Director, Executive
David Michael Blake Director, Executive
Andrew Donohue Executive
Timothy Mark Dunbar Director
Patrick Gregory Halter Director, Executive
Jeffrey Hiller Executive
Jill Hittner Director, Executive
Daniel Houston Director
James Patrick Mc Caughan Director, Executive
Barbara Mc Kenzie Director, Executive
Randall Craig Mundt Director, Executive
' Principal Global Investors Promoter
Minoo Seraji Spellerberg Executive
Karen Elizabeth Shaff Director, Executive
Larry Donald Zimpleman Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
801 Grand Avenue
Des Moines, IA, 50392