Form D · Other Investment Fund

International Growth Equity Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001381359

Offering snapshot reported Jun 14, 2018 · SEC filing

Reported sold
$145M
Indefinite offering
Investors reported
9
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Dec 19, 2006
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$72.4M$145MFeb 5, 2010: $143,851,841.00Feb 5, 2010Feb 23, 2011: $144,851,841.00Mar 1, 2012: $144,851,841.00Feb 22, 2013: $144,851,841.00Dec 18, 2014: $144,851,841.00May 5, 2015: $144,851,841.00May 13, 2016: $144,851,841.00May 15, 2017: $144,851,841.00Jun 14, 2018: $144,851,841.00Jun 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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jun 14, 2018Amendment$144,851,841$0vs May 15, 20179SEC filing
May 15, 2017Amendment$144,851,841$0vs May 13, 20169SEC filing
May 13, 2016Amendment$144,851,841$0vs May 5, 20159SEC filing
May 5, 2015Amendment$144,851,841$0vs Dec 18, 20149SEC filing
Dec 18, 2014Amendment$144,851,841$0vs Feb 22, 20139SEC filing
Feb 22, 2013Amendment$144,851,841$0vs Mar 1, 20129SEC filing
Mar 1, 2012Amendment$144,851,841$0vs Feb 23, 20119SEC filing
Feb 23, 2011Amendment$144,851,841$1,000,000vs Feb 5, 20109SEC filing
Feb 5, 2010Amendment$143,851,841No 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
$97.1K
Finders' fees
$0
Form D file number
021-96619

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 INTERNATIONAL GROWTH EQUITY FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value
$123M
Beneficial owners
3
ADV minimum commitment
$500K

Reported in Form ADV on Oct 29, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator BNY MELLON ALTERNATIVE INVESTMENT SERVICES ORLANDO, Florida, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Fund administrator BNY MELLON ALTERNATIVE INVESTMENT SERVICES WILMINGTON, Delaware, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EY DES MOINES, Iowa, United States
Custodian BNY MELLON ASSET SERVICING NEW YORK, New York, United States Related to adviser: No
Marketer PRINCIPAL FUNDS DISTRIBUTOR, INC. FOLSOM, California, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

EY
PCAOB 42

PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD 43261 · SEC 8-50200

Filing source

Form ADV 1246102 · Oct 29, 2018 · Schedule D 7.B.(1), fund 805-9524641343

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
Hiller Donohue 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