0001126328-20-000181
13F-HR/A
0001126328-20-000181;, ;, 13F-HR/A
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72e74b11-a2d2-4533-b825-efd84e16bafa 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
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