Form D · Other Investment Fund
Ultra Short Enhanced Yield Fund, a series of Principal Global Investors Trust
Des Moines, IA · CIK 0001616060
Offering snapshot reported Jun 14, 2018 · SEC filing
- Reported sold
- $35M Indefinite offering
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 14, 2014 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.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 14, 2018 | Amendment | $35,001,000 | $0vs May 15, 2017 | 2 | SEC filing |
| May 15, 2017 | Amendment | $35,001,000 | $0vs May 13, 2016 | 2 | SEC filing |
| May 13, 2016 | Amendment | $35,001,000 | $0vs May 5, 2015 | 2 | SEC filing |
| May 5, 2015 | Amendment | $35,001,000 | $0vs Aug 7, 2014 | 2 | SEC filing |
| Aug 7, 2014 | Initial | $35,001,000 | 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
- 021-222495
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 Funds Distributor, Inc. | 43261 |
Source: Form D, filed Jun 14, 2018. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
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 |
|---|---|
| Michael Beer | Director, Executive |
| David Michael Blake | Director, Executive |
| Andrew Donohue | Executive |
| Patrick Gregory Halter | Director, Executive |
| Jeffrey Hiller | Executive |
| Jill Marie Hittner | Director, Executive |
| Daniel Houston | Director |
| James Patrick Mc Caughan | Director, Executive |
| Barbara Ann 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:Des Moines, IA, 50392