0001752724-23-001007.txt : 20230112 0001752724-23-001007.hdr.sgml : 20230112 20230112114126 ACCESSION NUMBER: 0001752724-23-001007 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20221031 FILED AS OF DATE: 20230112 DATE AS OF CHANGE: 20230112 EFFECTIVENESS DATE: 20230112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCIPAL FUNDS, INC. CENTRAL INDEX KEY: 0000898745 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-07572 FILM NUMBER: 23525357 BUSINESS ADDRESS: STREET 1: 711 HIGH STREET CITY: DES MOINES STATE: IA ZIP: 50392 BUSINESS PHONE: 515-235-1209 MAIL ADDRESS: STREET 1: PRINCIPAL FINANCIAL GROUP CITY: DES MOINES STATE: IA ZIP: 50392 FORMER COMPANY: FORMER CONFORMED NAME: PRINCIPAL FUNDS, INC DATE OF NAME CHANGE: 20211220 FORMER COMPANY: FORMER CONFORMED NAME: PRINCIPAL FUNDS INC DATE OF NAME CHANGE: 20080616 FORMER COMPANY: FORMER CONFORMED NAME: PRINCIPAL INVESTORS FUND INC DATE OF NAME CHANGE: 20001012 0000898745 S000006952 Core Plus Bond Fund fka Bond & Mortgage Securities Fund C000018956 R-1 PBOMX C000018957 R-2 PBMNX C000018958 R-3 PBMMX C000018959 R-5 PBMPX C000018960 R-4 PBMSX C000018961 Institutional Class PMSIX C000018962 J Class PBMJX C000018963 A Class PRBDX C000018964 B Class C000038772 Class C PBMCX C000182281 Class T PCYTX 0000898745 S000006992 Diversified International Fund C000019052 R-1 PDVIX C000019054 R-3 PINRX C000019055 R-5 PINPX C000019056 R-4 PINLX C000019057 Institutional Class PIIIX C000019058 Class J PIIJX C000019059 Class A PRWLX C000038774 Class C PDNCX C000210673 Class R-6 PDIFX 0000898745 S000006996 High Income Fund (f/k/a High Yield Fund I) C000019079 Institutional Class PYHIX C000123728 Class A PYHAX 0000898745 S000006997 Inflation Protection Fund C000019080 R-2 PBSAX C000019081 R-3 PIFPX C000019082 R-5 PBPPX C000019083 R-4 PIFSX C000019084 R-1 PISPX C000019085 Class J PIPJX C000019086 Institutional Class PIPIX C000019087 Class A PITAX C000038776 Class C PPOCX 0000898745 S000007013 Global Emerging Markets Fund (f/k/a International Emerging Markets Fund) C000019140 R-3 PEAPX C000019141 R-4 PESSX C000019142 R-5 PEPSX C000019143 R-1 PIXEX C000019144 Institutional Class PIEIX C000019145 Class J PIEJX C000019146 Class A PRIAX C000038777 Class C PMKCX C000175481 R-6 PIIMX 0000898745 S000007016 LargeCap S&P 500 Index Fund C000019167 R-1 PLPIX C000019168 R-2 PLFNX C000019169 R-3 PLFMX C000019170 R-5 PLFPX C000019171 R-4 PLFSX C000019172 Institutional Class PLFIX C000019173 Class J PSPJX C000019174 Class A PLSAX C000038779 Class C PLICX 0000898745 S000007075 MidCap Fund (f/k/a MidCap Blend Fund) C000019310 R-1 PMSBX C000019311 R-2 PMBNX C000019312 R-3 PMBMX C000019313 R-5 PMBPX C000019314 R-4 PMBSX C000019315 Institutional Class PCBIX C000019316 Class J PMBJX C000019317 Class A PEMGX C000038781 Class C PMBCX C000175482 R-6 PMAQX 0000898745 S000007077 LargeCap Growth Fund I C000019326 R-1 PCRSX C000019327 R-2 PPUNX C000019328 R-3 PPUMX C000019329 R-5 PPUPX C000019330 R-4 PPUSX C000019331 Institutional Class PLGIX C000019332 Class J PLGJX C000019333 Class A PLGAX C000149257 R-6 PLCGX 0000898745 S000007078 MidCap Growth Fund C000019335 R-2 PGPPX C000019336 R-3 PFPPX C000019337 R-5 PHPPX C000019338 R-4 PIPPX C000019339 R-1 PMSGX C000019340 Institutional Class PGWIX C000019341 Class J PMGJX 0000898745 S000007079 MidCap S&P 400 Index Fund C000019342 R-1 PMSSX C000019343 Institutional Class MPSIX C000019344 R-2 PMFNX C000019345 R-3 PMFMX C000019346 R-5 PMFPX C000019347 R-4 PMFSX C000019348 Class J PMFJX C000175483 R-6 PMAPX 0000898745 S000007081 Money Market Fund C000019362 Class J PMJXX C000019363 Class A PCSXX 0000898745 S000007083 International Fund I C000019371 R-2 PSPPX C000019372 R-3 PRPPX C000019373 R-5 PTPPX C000019374 R-4 PUPPX C000019375 R-1 PPISX C000019376 Institutional Class PINIX C000142630 Class A PFAFX C000175484 R-6 PIIDX 0000898745 S000007122 LargeCap Value Fund III C000019458 R-1 PESAX C000019459 R-2 PPSNX C000019460 R-3 PPSFX C000019461 R-5 PPSRX C000019462 R-4 PPSSX C000019463 Institutional Class PLVIX C000019464 Class J PLVJX 0000898745 S000007125 MidCap Growth Fund III C000019479 R-1 PHASX C000019480 R-2 PPQNX C000019481 R-3 PPQMX C000019482 R-5 PPQPX C000019483 R-4 PPQSX C000019484 Institutional Class PPIMX C000019485 Class J PPQJX 0000898745 S000007169 SmallCap Value Fund II C000019584 R-2 PKARX C000019585 R-3 PJARX C000019586 R-5 PLARX C000019587 R-4 PSTWX C000019588 R-1 PCPTX C000019589 Institutional Class PPVIX C000076717 Class J PSMJX C000142632 Class A PSVAX C000149259 R-6 PSMVX 0000898745 S000007173 MidCap Value Fund I C000019613 R-2 PABUX C000019614 R-3 PMPRX C000019615 R-5 PABVX C000019616 R-4 PABWX C000019617 R-1 PLASX C000019618 Institutional Class PVMIX C000076718 Class J PVEJX C000210674 A PCMVX C000210675 Class R-6 PCMSX 0000898745 S000007175 SmallCap Growth Fund I C000019625 R-1 PNASX C000019626 R-2 PPNNX C000019627 R-3 PPNMX C000019628 R-5 PPNPX C000019629 R-4 PPNSX C000019630 Institutional Class PGRTX C000019631 Class J PSIJX C000149260 R-6 PCSMX 0000898745 S000007201 Principal LifeTime 2010 Fund C000019699 R-1 PVASX C000019700 R-2 PTANX C000019701 R-3 PTAMX C000019702 R-5 PTAPX C000019703 R-4 PTASX C000019704 Institutional Class PTTIX C000019705 Class J PTAJX C000019706 Class A PENAX 0000898745 S000007203 SmallCap S&P 600 Index Fund C000019714 R-1 PSAPX C000019715 R-2 PSSNX C000019716 R-3 PSSMX C000019717 R-5 PSSPX C000019718 R-4 PSSSX C000019719 Institutional Class PSSIX C000019720 Class J PSSJX C000175485 R-6 PSPIX 0000898745 S000007207 Principal LifeTime 2020 Fund C000019740 R-1 PWASX C000019741 R-2 PTBNX C000019742 R-3 PTBMX C000019743 R-5 PTBPX C000019744 R-4 PTBSX C000019745 Institutional Class PLWIX C000019746 Class J PLFJX C000019747 Class A PTBAX 0000898745 S000007208 Principal LifeTime 2030 Fund C000019749 R-1 PXASX C000019750 R-2 PTCNX C000019751 R-3 PTCMX C000019752 R-5 PTCPX C000019753 R-4 PTCSX C000019754 Institutional Class PMTIX C000019755 Class J PLTJX C000019756 Class A PTCAX 0000898745 S000007209 Principal LifeTime 2040 Fund C000019758 R-1 PYASX C000019759 R-2 PTDNX C000019760 R-3 PTDMX C000019761 R-5 PTDPX C000019762 R-4 PTDSX C000019763 Institutional Class PTDIX C000019764 Class J PTDJX C000019765 Class A PTDAX 0000898745 S000007210 Principal LifeTime 2050 Fund C000019767 R-1 PZASX C000019769 R-2 PTENX C000019770 R-3 PTERX C000019771 R-5 PTEFX C000019772 R-4 PTESX C000019773 Institutional Class PPLIX C000019774 Class J PFLJX C000019775 Class A PPEAX 0000898745 S000007211 Principal LifeTime Strategic Income Fund C000019776 R-1 PLAIX C000019778 R-2 PLSNX C000019779 R-3 PLSMX C000019780 R-5 PLSPX C000019781 R-4 PLSSX C000019782 Institutional Class PLSIX C000019783 Class J PLSJX C000019784 Class A PALTX 0000898745 S000007212 Real Estate Securities Fund C000019785 R-1 PRAEX C000019786 R-2 PRENX C000019787 R-3 PRERX C000019788 R-5 PREPX C000019789 R-4 PRETX C000019790 Institutional Class PIREX C000019791 Class J PREJX C000019792 Class A PRRAX C000038802 Class C PRCEX C000175486 R-6 PFRSX 0000898745 S000007214 SmallCap Fund (fka SmallCap Blend Fund) C000019802 R-1 PSABX C000019803 R-2 PSBNX C000019804 R-3 PSBMX C000019805 R-5 PSBPX C000019806 R-4 PSBSX C000019807 Institutional Class PSLIX C000019808 Class J PSBJX 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PRINCIPAL FUNDS’ CCO ANNUAL CERTIFICATION Pursuant to Item G. 1. a.v of Form N- CEN For the year ended December 31, 2021    

I, as the Chief Compliance Officer for Principal Funds, Inc. and Principal Variable Contracts Funds, Inc. (collectively, the “Funds”) certify that the Funds and Principal Global Investors, LLC have established procedures reasonably designed to achieve compliance with the terms and conditions of their application to participate in a joint lending and borrowing facility, which application was granted by order of the Securities and Exchange Commission dated October 25, 2011 (the “Application”) . This includes procedures designed to achieve the following objectives:   a) that the Interfund Loan Rate will be higher than the Repo Rate, but lower than the Bank Loan Rate;

(b)      compliance with the collateral requirements as set forth in the Application;   (c)      compliance with the percentage limitations on interfund borrowing and lending;   (d)      allocation of interfund borrowing and lending demand in an equitable manner and in  

accordance with procedures established by the Board of each Fund; and

(e) that the Interfund Loan Rate does not exceed the interest rate on any third party borrowings of a borrowing Fund at the time of the Interfund Loan.

Capitalized terms that are used but not defined herein have the meanings given them in the Application.

Teri R. Root

Chief Compliance Officer – Principal Funds

INTERNAL CONTROL RPT 3 Internatl_Control_EY.htm INTERNAL CONTROL_EY Report of Independent Registered Public Accounting Firm

To the Shareholders and Board of Directors of Principal Funds, Inc.

In planning and performing our audits of the financial statements of each of the funds comprising Principal Funds, Inc. funds listed in Exhibit A attached hereto (collectively, the “Funds”) as of and for the year ended October 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.

The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with U.S. generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds’ annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds’ internal control over financial reporting and their operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2022.

This report is intended solely for the information and use of management and the Board of Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ Ernst & Young LLP

Minneapolis, Minnesota

December 22, 2022

 

Exhibit A

California Municipal Fund Core Fixed Income Fund Core Plus Bond Fund Diversified Income Fund (formerly Global Diversified Income Fund) Diversified International Fund Equity Income Fund

Finisterre Emerging Markets Total Return Bond Fund Global Emerging Markets Fund (formerly International Emerging Markets Fund) Global Real Estate Securities Fund Government & High Quality Bond Fund Government Money Market Fund High Income Fund High Yield Fund

Inflation Protection Fund International Fund I LargeCap Growth Fund I LargeCap S&P 500 Index Fund LargeCap Value Fund III MidCap Fund MidCap Growth Fund MidCap Growth Fund III MidCap S&P 400 Index Fund MidCap Value Fund I Money Market Fund

Overseas Fund Principal Capital Appreciation Fund Principal LifeTime 2010 Fund Principal LifeTime 2015 Fund Principal LifeTime 2020 Fund Principal LifeTime 2025 Fund Principal LifeTime 2030 Fund Principal LifeTime 2035 Fund Principal LifeTime 2040 Fund Principal LifeTime 2045 Fund Principal LifeTime 2050 Fund Principal LifeTime 2055 Fund Principal LifeTime 2060 Fund Principal LifeTime 2065 Fund Principal LifeTime Hybrid 2015 Fund Principal LifeTime Hybrid 2020 Fund Principal LifeTime Hybrid 2025 Fund Principal LifeTime Hybrid 2030 Fund Principal LifeTime Hybrid 2035 Fund Principal LifeTime Hybrid 2040 Fund Principal LifeTime Hybrid 2045 Fund Principal LifeTime Hybrid 2050 Fund Principal LifeTime Hybrid 2055 Fund Principal LifeTime Hybrid 2060 Fund Principal LifeTime Hybrid 2065 Fund Principal LifeTime Hybrid Income Fund Principal LifeTime Strategic Income Fund

Real Estate Securities Fund SAM Balanced Portfolio SAM Conservative Balanced Portfolio SAM Conservative Growth Portfolio SAM Flexible Income Portfolio SAM Strategic Growth Portfolio Short-Term Income Fund SmallCap Fund SmallCap Growth Fund I SmallCap S&P 600 Index Fund SmallCap Value Fund II Tax-Exempt Bond Fund