Form D · Other Investment Fund

Mid Cap Equity Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001593541

Offering snapshot reported May 13, 2016 · SEC filing

Reported sold
$2.04M
Indefinite offering
Investors reported
4
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Apr 14, 2013
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.02M$2.04MDec 18, 2013: $1,367,220.00Dec 18, 2013Dec 18, 2014: $2,043,000.00Dec 18, 2014Apr 29, 2015: $2,043,000.00May 13, 2016: $2,043,000.00May 13, 2016

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
May 13, 2016Amendment$2,043,000$0vs Apr 29, 20154SEC filing
Apr 29, 2015Amendment$2,043,000$0vs Dec 18, 20144SEC filing
Dec 18, 2014Amendment$2,043,000$675,780vs Dec 18, 20134SEC filing
Dec 18, 2013Initial$1,367,220No comparison4SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$5.71K (estimated)
Finders' fees
$0
Form D file number
021-208187

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Principal Securities, Inc.1137

Source: Form D, filed May 13, 2016. 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 MID CAP EQUITY FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value
$0
Beneficial owners
0
ADV minimum commitment
$500K

Reported in Form ADV on May 31, 2017. 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 ERNST & YOUNG 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

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

Filing source

Form ADV 1105467 · May 31, 2017 · Schedule D 7.B.(1), fund 805-7018320778

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
David Michael Blake Director, Executive
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
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