0001126328-20-000181
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0001126328-20-000181
13F-HR/A
0001126328-20-000181;, ;, 13F-HR/A
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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F OMB APPROVAL OMB Number: 3235-0006 Expires: July 31, 2015 Estimated average burden hours per response: 23.8 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06-30-2020 Check here if Amendment: X Amendment Number: 1 This Amendment (Check only one.): is a restatement. X adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Address: PRINCIPAL FINANCIAL GROUP INC 711 HIGH STREET DES MOINES IA 50392 Form 13F File Number: 028-10106 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Title: Phone: Jill Hittner Chief Financial Officer, Principal Global Investors, LLC 515-248-2153 Signature, Place, and Date of Signing: Jill Hittner [Signature] Des Moines, IOWA [City, State] Do you wish to provide information pursuant to Special Instruction 5? 09-03-2020 [Date] Yes X No Report Type (Check only one.): X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Report Summary: Number of Other Included Managers: Form 13F Information table Entry Total: Form 13F Information table Value Total: Form 13F Summary Page 4 55 751,235 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F number(s) of all institutional investement managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name CIK 1 028-1549 2 028-10400 3 028-793 4 028-10107 Principal Global Investors, LLC Principal Real Estate Investors, LLC Principal Life Insurance Co Principal Financial Services, Inc NAME OF ISSUER COLUMN 1 ADC THERAPEUTICS SA AON PLC AON PLC API GROUP CORP ARCH RESOURCES INC ARCONIC CORPORATION ARCONIC CORPORATION BELLICUM PHARMACEUTICALS INC BRISTOW GROUP INC BROOKFIELD INFRASTRUCTURE CO BROOKFIELD INFRASTRUCTURE CO CARLYLE GROUP INC CARRIER GLOBAL CORPORATION CARRIER GLOBAL CORPORATION CHAMPIONX CORPORATION CHAMPIONX CORPORATION DIVERSIFIED HEALTHCARE TR DIVERSIFIED HEALTHCARE TR ENERPAC TOOL GROUP CORP EQUITABLE HLDGS INC EQUITABLE HLDGS INC ESSENTIAL UTILS INC ESSENTIAL UTILS INC GS ACQUISITION HLDGS CORP II HOWMET AEROSPACE INC HOWMET AEROSPACE INC INGERSOLL RAND INC INGERSOLL RAND INC LAREDO PETROLEUM INC NABORS INDUSTRIES LTD OTIS WORLDWIDE CORP OTIS WORLDWIDE CORP OVINTIV INC OVINTIV INC PERDOCEO ED CORP PERDOCEO ED CORP PPD INC PRECIGEN INC PRECIGEN INC PREMIER FINANCIAL CORP PRIMO WATER CORPORATION RAYTHEON TECHNOLOGIES CORP RAYTHEON TECHNOLOGIES CORP ROYALTY PHARMA PLC SCHRODINGER INC SUPER MICRO COMPUTER INC T-MOBILE US INC T-MOBILE US INC TRANE TECHNOLOGIES PLC TRANE TECHNOLOGIES PLC UFP INDUSTRIES INC UFP INDUSTRIES INC FORM 13F INFORMATION TABLE COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 TITLE OF CLASS CUSIP VALUE (x$1000) SHRS OR PRN AMT SH / PRN SHS H0036K147 7,166 153,087 SH SHS CL A G0403H108 280,304 1,455,366 SH SHS CL A G0403H108 4,341 22,538 SH COM STK 00187Y100 194 15,971 SH CL A 03940R107 701 24,673 SH COM 03966V107 9,985 716,771 SH COM 03966V107 158 11,351 SH COM NEW 079481404 396 53,238 SH COM 11040G103 694 49,845 SH COM SB VTG SHS A 11275Q107 56,117 1,232,251 SH COM SB VTG SHS A 11275Q107 206 4,529 SH COM 14316J108 291 10,416 SH COM 14448C104 25,595 1,151,883 SH COM 14448C104 2,063 92,822 SH COM 15872M104 207 21,192 SH COM 15872M104 8,713 892,692 SH COM SH BEN INT 25525P107 7,862 1,776,817 SH COM SH BEN INT 25525P107 120 27,052 SH CL A COM 292765104 6,990 397,167 SH COM 29452E101 503 26,076 SH COM 29452E101 654 33,888 SH COM 29670G102 43,760 1,036,000 SH COM 29670G102 787 18,638 SH UNIT 99/99/9999 36258Q204 18,000 1,800,000 SH COM 443201108 8,595 542,290 SH COM 443201108 521 32,899 SH COM 45687V106 812 28,882 SH COM 45687V106 13,680 486,480 SH COM 516806205 942 67,944 SH SHS G6359F137 1,877 50,706 SH COM 68902V107 32,729 575,654 SH COM 68902V107 1,935 34,030 SH COM 69047Q102 116 12,139 SH COM 69047Q102 285 29,863 SH COM 71363P106 8,252 518,018 SH COM 71363P106 182 11,435 SH COM 69355F102 230 8,580 SH COM 74017N105 173 34,742 SH COM 74017N105 51 10,251 SH COM 74052F108 284 16,071 SH COM 74167P108 245 17,822 SH COM 75513E101 128,478 2,085,003 SH COM 75513E101 1,958 31,771 SH SHS CL A G7709Q104 534 11,000 SH COM 80810D103 209 2,279 SH COM 86800U104 519 18,292 SH RIGHT 07/27/2020 872590112 141 841,461 SH RIGHT 07/27/2020 872590112 3 20,815 SH SHS G8994E103 32,743 367,984 SH SHS G8994E103 1,772 19,917 SH COM 90278Q108 23,820 481,111 SH COM 90278Q108 465 9,402 SH PUT / CALL - - - - COLUMN 6 COLUMN 7 INVESTMENT DISCRETION OTHER MANAGER DFND DFND DFND DFND DFND DFND DFND DFND DFND 1 3 4 1 3 4 1 4 1 4 1 3 4 1 3 4 1 4 1 3 4 1 3 4 DFND 1 3 4 DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND DFND 1 4 1 4 1 3 4 1 4 1 4 1 3 4 1 3 4 1 4 1 3 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 3 4 1 4 1 4 1 3 4 1 3 4 1 3 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 4 1 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 3 4 1 4 1 3 4 1 4 1 3 4 1 4 COLUMN 8 VOTING AUTHORITY SOLE SHARED NONE 153,087 0 0 1,455,366 0 0 22,538 0 0 15,971 0 0 24,673 0 0 716,771 0 0 11,351 0 0 53,238 0 0 49,845 0 0 1,232,251 0 0 4,529 10,416 1,151,883 92,822 21,192 892,692 1,776,817 27,052 397,167 26,076 33,888 1,033,117 18,638 1,800,000 542,290 32,899 28,882 486,480 67,944 50,706 575,654 34,030 12,139 29,863 518,018 11,435 8,580 34,742 10,251 16,071 17,822 2,085,003 31,771 11,000 2,279 18,292 831,766 20,815 367,984 19,917 481,111 9,402 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 2,883 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 9,695 0 0 0 0 0 0 0 0 0 0 VERTIV HOLDINGS CO XPERI HOLDING CORP XPERI HOLDING CORP COM CL A COM COM 92537N108 98390M103 98390M103 402 29,648 SH 186 12,625 SH 13,289 900,317 SH - DFND 1 4 - DFND 1 4 - DFND 1 3 4 29,648 0 0 12,625 0 0 900,317 0 0