Form D · Other Investment Fund
Small-Cap Equity Fund, a series of Principal Global Investors Trust
Des Moines, IA · CIK 0001381357
Offering snapshot reported May 13, 2016 · SEC filing
- Reported sold
- $8.22M Indefinite offering
- Investors reported
- 6 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 13, 2000 As reported in this filing
Fundraising history
Reported soldDates 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$3,900,000 → $8,219,559
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 13, 2016 | Amendment | $8,219,559 | $4,319,559vs May 5, 2015 | 6 | SEC filing |
| May 5, 2015 | Amendment | $3,900,000 | $0vs Dec 18, 2014 | 6 | SEC filing |
| Dec 18, 2014 | Amendment | $3,900,000 | $0vs Feb 22, 2013 | 6 | SEC filing |
| Feb 22, 2013 | Amendment | $3,900,000 | $0vs Mar 1, 2012 | 6 | SEC filing |
| Mar 1, 2012 | Amendment | $3,900,000 | $2,400,000vs Feb 23, 2011 | 6 | SEC filing |
| Feb 23, 2011 | Amendment | $1,500,000 | -$4,318,559vs Feb 5, 2010 | 6 | SEC filing |
| Feb 5, 2010 | Amendment | $5,818,559 | No comparison | 6 | SEC filing |
| Nov 6, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 3C, 3C.1
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-96621
Certain investors in this fund simultaneously invest in other funds within the same series trust. In such instances commissions are accounted for under a single fund rather than distributed across all funds in which the investor participates.
Sales compensation recipients
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| Recipient | CRD | Associated 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 SMALL 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
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 805-3431428315
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.
| Name | Reported role |
|---|---|
| David Michael Blake | Director, Executive |
| Timothy Michael 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 |
| Minoo Seraji Spellerberg | Executive |
| Karen Elizabeth Shaff | Director, Executive |
| Larry David Zimpleman | Director |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Des Moines, IA, 50392