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Principal Funds, Inc. 
 IA
  SEC # 898745

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7,390  SEC Filings
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  from  2/21/95  to  3/26/24  (2 Days Ago)

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Most-Recent Filing:    ‘NPORT-P’ — Monthly Portfolio Investments Report (Quarterly Release) by an Investment Company — Form N-PORT — for 1/31/24 — Filed as:  Filer / Offerer 
 
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involving  Principal Funds, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  6,891 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/26/24 New Document this Past Month!NPORT-PUpdate:  Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies — Form N-PORT  New Document this Past Month! 1,335
3/26/24 New Document this Past Month!NPORT-EXUpdate:  Portfolio Holdings Schedules by Investment Companies — Form N-PORT  New Document this Past Month! 677
3/18/24 New Document this Past Month!497KRegistration:  Prospectuses – Certain Open-End Investment Companies – Summary  New Document this Past Month! 2,430
3/18/24 New Document this Past Month!497Registration:  Definitive Materials  New Document this Past Month!  — Financial Reports
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1,516
3/13/24 New Document this Past Month!DEF 14CProxy:  Definitive Proxy Info Statements — Schedule 14C  New Document this Past Month! 68
3/11/24 New Document this Past Month!40-17GUpdate:  Fidelity Bonds for Investment Companies  New Document this Past Month! 31
3/7/24 New Document this Past Month!N-MFP2Update:  Monthly Portfolio Holdings Schedules by Money-Market Funds — Form N-MFP  New Document this Past Month! 196
3/4/24 New Document this Past Month!497JRegistration:  Certifications of No Change in Definitive Materials  New Document this Past Month! 78
2/27/24485BPOSRegistration:  Post-Effective Amendments of Form N-1 and N-1A Registrations — Financial Reports
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194
1/19/2424F-2NTUpdate:  Annual Notices of Securities Sold by Investment Companies — Form 24F-277
1/12/24N-CENUpdate:  Annual Reports by Investment Companies — Form N-CEN14
12/28/23N-CSRUpdate:  Annual Certified Shareholder Reports by Investment Companies — Form N-CSR56
8/31/23N-PXProxy:  Annual Proxy Voting Reports by Investment Companies — Form N-PX111
6/21/23N-CSRSUpdate:  Semi-Annual Certified Shareholder Reports by Investment Companies — Form N-CSR45
5/24/23POS EXRegistration:  Post-Effective Amendment of a Registration Statement – Additional Exhibits1
4/25/23CORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC
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91
3/27/23 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 24
3/6/23 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 17
2/24/23 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 14
12/14/22 OLD485APOSRegistration:  Post-Effective Amendments of Form N-1 and N-1A Registrations  OLD 103
10/4/22 OLDN-14Registration:  Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers — Form N-14  OLD 46
9/16/22 OLD485BXTRegistration:  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates  OLD 26
7/22/20 OLD40-APPRegistration:  Applications for Exemption Orders and Other Relief by Investment Companies  OLD 21
12/17/19 OLDAPP WDGSEC:  Withdrawal of an Application for an Exemption Order – ‘APP WD’ SEC Grant  OLD 1
7/11/19 OLDAPP WDRegistration:  Withdrawal of an Application for an Exemption Order or Other Relief  OLD 1
3/26/19 OLDN-QUpdate:  Quarterly Portfolio Holdings Schedules by Investment Companies — Form N-Q  OLD 48
11/9/18 OLDAWRegistration:  Amendment Withdrawal Requests  OLD 5
4/24/18 OLDNSAR-AUpdate:  Semi-Annual Reports by Investment Companies — Form N-SAR  OLD 37
12/29/17 OLDNSAR-BUpdate:  Annual Reports by Investment Companies — Form N-SAR  OLD 41
6/13/17 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 11
10/6/16 OLDN-MFP1Update:  Monthly Portfolio Holdings Schedules by Money-Market Funds — Form N-MFP  OLD 7
4/6/16 OLDN-MFPUpdate:  Monthly Portfolio Holdings Schedules by Money-Market Funds — Form N-MFP  OLD 66
2/11/16 OLDSC 13GOwnership:  Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G  OLD 1
9/8/14 OLDAPP ORDRSEC:  Application for an SEC Exemption Order – ‘40-APP’ SEC Order  OLD 1
8/11/14 OLDAPP NTCSEC:  Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices  OLD 2
11/18/11 OLDRWRegistration:  Registration Withdrawal Requests  OLD 6
9/8/11 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 3
2/2/10 OLD40-33Update:  Stockholder Derivative Actions Against Investment Companies and Affiliates  OLD 2
9/21/09 OLDDEL AMRegistration:  Registration Effectiveness-Delaying Amendments  OLD 2
3/13/09 OLDNO ACTSEC:  SEC No-Action Letters re: Shareholder Proposals  OLD 3
11/6/08 OLD497K3BUpdate:  Profiles of Certain Open-End Investment Companies  OLD 95
11/6/08 OLD497K2Update:  Profiles of Certain Open-End Investment Companies  OLD 6
10/2/08 OLDPRE 14CProxy:  Preliminary Proxy Info Statements — Schedule 14C  OLD 5
5/30/08 OLD497K1Update:  Profiles of Certain Open-End Investment Companies  OLD 19
10/10/06 OLDRW WDRegistration:  Withdrawal of a Registration Withdrawal Request  OLD 1
9/20/06 OLDN-14AERegistration:  Registration Statement by an Open-End Investment Company – Securities for a Merger (Automatic Effectiveness) — Form N-14  OLD 1
12/28/04 OLDN-30DUpdate:  Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies  OLD 22
4/5/02 OLDPRES14CProxy:  Preliminary Proxy Info Statement – Special Meeting — Schedule 14C  OLD 1
10/22/01 OLDS-6Registration:  Registration Statements by Unit Investment Trusts — Form S-6  OLD 2
3/30/01 OLDDEFS14AProxy:  Definitive Proxy Statement – Special Meeting — Schedule 14A  OLD 1
3/14/01 OLDPRES14AProxy:  Preliminary Proxy Statements – Special Meetings — Schedule 14A  OLD 3
11/16/00 OLD497ADUpdate:  Advertising by Certain Investment Companies  OLD 3
2/13/96 OLDN-30B-2Update:  Periodic and Interim Reports Mailed to Shareholders by Investment Companies  OLD 2

Letters: 
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12/29/20 OLDCOVERComment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC85

Form-Specific Documents: 
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3/26/24 New Exhibit this Past Month!NPORT-EXPortfolio Holdings Schedules — Form N-PORT  New Exhibit this Past Month! 677

General Exhibits: 
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11/8/11 OLDEX-14Codes of Ethics  OLD 4

Additional Exhibits: 
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2/27/24EX-99  &  EX-99.*Miscellaneous Exhibits, such as Press ReleasesEX-99.*  Form-Specific Exhibits...  Form N-14:  10 Distribution Plans — Rule 12b-1 – ICA’40;  1 Opinion of Counsel re: Internal Revenue Service (IRS) Rulings;  19 Opinions of Counsel re: Legality;  22 Opinions of Counsel re: Tax Matters;  21 Other Consents;  19 Powers of Attorney — Form N-1A:  35 Articles of Incorporation/Organization;  6 Bylaws;  172 Codes of Ethics;  1 Custodian Agreement;  73 Distribution Plans — Rule 12b-1 – ICA’40;  16 Initial Subscription Agreements;  125 Investment Advisor Contracts;  8 Multiple-Classes Plans — Rule 18f-3 – ICA’40;  6 Opinions of Counsel re: Legality;  32 Other Material Contracts;  46 Other Opinions;  16 Underwriter Contracts — Form N-6:  1 Initial Subscription Agreement — Form N-CSR:  119 Certifications — §302 – SOA’02;  73 Certifications — §906 – SOA’02;  38 Codes of Ethics — Form N-SAR:  28 Accountants’ Reports re: Internal Controls;  1 Certification — §302 – SOA’02;  2 Legal Proceedings;  22 Matters Submitted to Votes of Security Holders;  47 Mergers Info;  716 Other Disclosures;  83 Transactions Effected — Rule 10f-3 – ICA’40  (1,758 total)3,347

Investment Company Exhibits: 
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1/12/24INTERNAL CONTROL RPTAccountants’ Reports re: Internal Controls14
1/12/24EXEMPT ORDER INFOInfo Pursuant to SEC Exemption Orders10
7/9/19 OLDOTHER REQUIRED INFOOther Info  OLD 4

Financials: 
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3/18/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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2,271
3/18/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 1,470
3/18/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 26
3/18/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
251
3/18/22 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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213
11/8/11 OLDEX-16Letters re: Changes in Accountants  OLD 3
11/8/11 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 3
6/13/11 OLDEX-100.*XBRL Data {Voluntary}  (XBRL Files)  OLD 6
8/16/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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56

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3/18/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 18,888

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


1 Related Manager who also Reported Holdings for this Manager

As Of
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/4/2012/31/19  NA of 779  NA  
 CA
 
Corient Capital Partners, LLC

Funds / Series  and their  Classes / Contracts

   As Of   Fund / Series — Filings for F/S#...
     Class / Contract — Filings for C/C#...    Symbol
 
2024: 3/18/24 Blue Chip FundS#37378
 Class AC#131723PBLAX
 Class CC#131724PBLCX
 Class JC#193661PBCJX
 Institutional ClassC#115413PBCKX
 R-3C#167694PGBEX
 R-4C#167695PGBFX
 R-5C#167696PGBGX
 R-6C#176331PGBHX
 Class TC#182255PBLTX
 Class PC#131725PBLPX
 3/18/24 Bond Market Index FundS#27178
 Class JC#85837PBIJX
 Institutional ClassC#82026PNIIX
 R-1C#82027PBIMX
 R-3C#82029PBOIX
 R-4C#82030PBIPX
 R-5C#82031PBIQX
 R-2C#82028PBINX
 3/26/24 California Municipal FundS#14232
 Class AC#38715SRCMX
List all Funds / Series and their Classes / Contracts


Forms
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, Documents
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& Exhibits
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 in  9 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
9/8/11 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 9

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8/30/11 OLDGRAPHICPhoto, Image or Graph  OLD 1


        

Filings History

Year    # of Filings
In descending order
2024 211
2023 522
2022 489
2021 527
2020 614
2019 361
2018 413
2017 515
2016 361
2015 314
2014 546
2013 340
2012 378
2011 415
2010 299
2009 215
2008 96
2007 152
2006 149
2005 86
2004 83
2003 80
2002 78
2001 78
2000 22
1999 8
1998 9
1997 16
1996 9
1995 4

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