Form D · Other Investment Fund

Small-Cap Growth Equity Fund, a series of Principal Global Investors Trust

Des Moines, IA · CIK 0001381358

Offering snapshot reported May 13, 2016 · SEC filing

Reported sold: $213M
Investors reported: 15
Minimum accepted: $0
First sale: Jun 25, 2007

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$197,879,944 → $213,075,944

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 13, 2016	Amendment	$213,075,944	$15,196,000vs Apr 29, 2015	15	SEC filing
Apr 29, 2015	Amendment	$197,879,944	$179,000vs Feb 24, 2014	15	SEC filing
Feb 24, 2014	Amendment	$197,700,944	$61,800,000vs Feb 22, 2013	15	SEC filing
Feb 22, 2013	Amendment	$135,900,944	$25,871,000vs Mar 1, 2012	15	SEC filing
Mar 1, 2012	Amendment	$110,029,944	$70,881,759vs Feb 23, 2011	14	SEC filing
Feb 23, 2011	Amendment	$39,148,185	No comparison	10	SEC filing
Feb 5, 2010	Amendment	$1,500,000	No comparison	4	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: $756K
Finders' fees: $0
Form D file number: 021-96620

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 GROWTH EQUITY FUND

Investment adviser: PRINCIPAL GLOBAL INVESTORS, LLC

Gross asset value: $0
Beneficial owners: 0
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 805-5506318425

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
David Michael Blake	Director, 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
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