Form D · Other Investment Fund

Real Estate Securities Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001381354

Offering snapshot reported Jun 14, 2018 · SEC filing

Reported sold: $76M
Investors reported: 12
Minimum accepted: $0
First sale: Jan 13, 2005

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$71,439,693 → $75,988,593

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jun 14, 2018	Amendment	$75,988,593	$4,548,900vs May 15, 2017	12	SEC filing
May 15, 2017	Amendment	$71,439,693	$65,266,606vs May 13, 2016	12	SEC filing
May 13, 2016	Amendment	$6,173,087	-$23,292,950vs May 5, 2015	12	SEC filing
May 5, 2015	Amendment	$29,466,037	$0vs Feb 24, 2014	11	SEC filing
Feb 24, 2014	Amendment	$29,466,037	$10,067,096vs Feb 22, 2013	11	SEC filing
Feb 22, 2013	Amendment	$19,398,941	$0vs Mar 1, 2012	8	SEC filing
Mar 1, 2012	Amendment	$19,398,941	$2,940,000vs Feb 23, 2011	8	SEC filing
Feb 23, 2011	Amendment	$16,458,941	$0vs Feb 5, 2010	8	SEC filing
Feb 5, 2010	Amendment	$16,458,941	No comparison	8	SEC filing
Nov 6, 2006	Paper	Not reported	No comparison	Not reported	SEC filing

Offering details

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

Sales commissions: $56K
Finders' fees: $0
Form D file number: 021-96624

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 REAL ESTATE SECURITIES FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value: $35.4M
Beneficial owners: 2
ADV minimum commitment: $500K

Reported in Form ADV on Mar 27, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

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 1405760 · Mar 27, 2020 · Schedule D 7.B.(1), fund 805-6903973881

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
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