Form D · Other Investment Fund

Preferred Securities Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001593518

Offering snapshot reported Jun 14, 2018 · SEC filing

Reported sold: $154M
Investors reported: 10
Minimum accepted: $0
First sale: Nov 19, 2013

Fundraising history

Reported sold

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$118,812,173 → $154,092,173

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jun 14, 2018	Amendment	$154,092,173	$35,280,000vs May 15, 2017	10	SEC filing
May 15, 2017	Amendment	$118,812,173	$40,875,000vs May 13, 2016	10	SEC filing
May 13, 2016	Amendment	$77,937,173	$49,332,000vs Apr 29, 2015	9	SEC filing
Apr 29, 2015	Amendment	$28,605,173	$15,294,000vs Dec 18, 2014	4	SEC filing
Dec 18, 2014	Amendment	$13,311,173	$3,476,418vs Dec 9, 2013	4	SEC filing
Dec 9, 2013	Initial	$9,834,755	No comparison	2	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.1
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-207609

Sales compensation recipients

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Recipient	CRD	Associated 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 PREFERRED SECURITIES FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value: $73.3M
Beneficial owners: 7
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 805-5428934575

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
Name	Reported role
Michael Beer	Director, Executive
David Michael Blake	Director, Executive
Andrew Donohue	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
' Principal Global Investors	Promoter
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