SEC FORM 13F-HR/A
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
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
Oct 31, 2018 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| 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: |
PRINCIPAL FINANCIAL GROUP INC |
| Address: |
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: |
Jill Hittner |
| Title: |
Chief Financial Officer, Principal Global Investors, LLC |
| Phone: |
515-248-2153 |
| Signature, Place, and Date of Signing: |
| Jill Hittner |
Des Moines,
IA
|
09-03-2020 |
| [Signature] |
[City, State] |
[Date] |
|
| 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).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included Managers: |
4 |
|
|
|
Form 13F Information Table Entry Total: |
55 |
|
Form 13F Information Table Value Total: |
751,235 |
|
(thousands) |
|
| List of Other Included Managers: |
| Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
| [If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
|
No. |
Form 13F File Number |
Name |
|
1 |
028-1549 |
Principal Global Investors, LLC |
|
2 |
028-10400 |
Principal Real Estate Investors, LLC |
|
3 |
028-793 |
Principal Life Insurance Co |
|
4 |
028-10107 |
Principal Financial Services, Inc |
SEC FORM 13-F Information Table
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
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
Oct 31, 2018 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| ADC THERAPEUTICS SA |
SHS |
H0036K147 |
7,166 |
153,087 |
SH |
|
DFND |
1 3 4 |
153,087 |
0 |
0 |
| AON PLC |
SHS CL A |
G0403H108 |
280,304 |
1,455,366 |
SH |
|
DFND |
1 3 4 |
1,455,366 |
0 |
0 |
| AON PLC |
SHS CL A |
G0403H108 |
4,341 |
22,538 |
SH |
|
DFND |
1 4 |
22,538 |
0 |
0 |
| API GROUP CORP |
COM STK |
00187Y100 |
194 |
15,971 |
SH |
|
DFND |
1 4 |
15,971 |
0 |
0 |
| ARCH RESOURCES INC |
CL A |
03940R107 |
701 |
24,673 |
SH |
|
DFND |
1 3 4 |
24,673 |
0 |
0 |
| ARCONIC CORPORATION |
COM |
03966V107 |
9,985 |
716,771 |
SH |
|
DFND |
1 3 4 |
716,771 |
0 |
0 |
| ARCONIC CORPORATION |
COM |
03966V107 |
158 |
11,351 |
SH |
|
DFND |
1 4 |
11,351 |
0 |
0 |
| BELLICUM PHARMACEUTICALS INC |
COM NEW |
079481404 |
396 |
53,238 |
SH |
|
DFND |
1 3 4 |
53,238 |
0 |
0 |
| BRISTOW GROUP INC |
COM |
11040G103 |
694 |
49,845 |
SH |
|
DFND |
1 3 4 |
49,845 |
0 |
0 |
| BROOKFIELD INFRASTRUCTURE CO |
COM SB VTG SHS A |
11275Q107 |
56,117 |
1,232,251 |
SH |
|
DFND |
1 3 4 |
1,232,251 |
0 |
0 |
| BROOKFIELD INFRASTRUCTURE CO |
COM SB VTG SHS A |
11275Q107 |
206 |
4,529 |
SH |
|
DFND |
1 4 |
4,529 |
0 |
0 |
| CARLYLE GROUP INC |
COM |
14316J108 |
291 |
10,416 |
SH |
|
DFND |
1 4 |
10,416 |
0 |
0 |
| CARRIER GLOBAL CORPORATION |
COM |
14448C104 |
25,595 |
1,151,883 |
SH |
|
DFND |
1 3 4 |
1,151,883 |
0 |
0 |
| CARRIER GLOBAL CORPORATION |
COM |
14448C104 |
2,063 |
92,822 |
SH |
|
DFND |
1 4 |
92,822 |
0 |
0 |
| CHAMPIONX CORPORATION |
COM |
15872M104 |
207 |
21,192 |
SH |
|
DFND |
1 4 |
21,192 |
0 |
0 |
| CHAMPIONX CORPORATION |
COM |
15872M104 |
8,713 |
892,692 |
SH |
|
DFND |
1 3 4 |
892,692 |
0 |
0 |
| DIVERSIFIED HEALTHCARE TR |
COM SH BEN INT |
25525P107 |
7,862 |
1,776,817 |
SH |
|
DFND |
1 3 4 |
1,776,817 |
0 |
0 |
| DIVERSIFIED HEALTHCARE TR |
COM SH BEN INT |
25525P107 |
120 |
27,052 |
SH |
|
DFND |
1 4 |
27,052 |
0 |
0 |
| ENERPAC TOOL GROUP CORP |
CL A COM |
292765104 |
6,990 |
397,167 |
SH |
|
DFND |
1 3 4 |
397,167 |
0 |
0 |
| EQUITABLE HLDGS INC |
COM |
29452E101 |
503 |
26,076 |
SH |
|
DFND |
1 3 4 |
26,076 |
0 |
0 |
| EQUITABLE HLDGS INC |
COM |
29452E101 |
654 |
33,888 |
SH |
|
DFND |
1 4 |
33,888 |
0 |
0 |
| ESSENTIAL UTILS INC |
COM |
29670G102 |
43,760 |
1,036,000 |
SH |
|
DFND |
1 3 4 |
1,033,117 |
0 |
2,883 |
| ESSENTIAL UTILS INC |
COM |
29670G102 |
787 |
18,638 |
SH |
|
DFND |
1 4 |
18,638 |
0 |
0 |
| GS ACQUISITION HLDGS CORP II |
UNIT 99/99/9999 |
36258Q204 |
18,000 |
1,800,000 |
SH |
|
DFND |
1 3 4 |
1,800,000 |
0 |
0 |
| HOWMET AEROSPACE INC |
COM |
443201108 |
8,595 |
542,290 |
SH |
|
DFND |
1 3 4 |
542,290 |
0 |
0 |
| HOWMET AEROSPACE INC |
COM |
443201108 |
521 |
32,899 |
SH |
|
DFND |
1 4 |
32,899 |
0 |
0 |
| INGERSOLL RAND INC |
COM |
45687V106 |
812 |
28,882 |
SH |
|
DFND |
1 4 |
28,882 |
0 |
0 |
| INGERSOLL RAND INC |
COM |
45687V106 |
13,680 |
486,480 |
SH |
|
DFND |
1 3 4 |
486,480 |
0 |
0 |
| LAREDO PETROLEUM INC |
COM |
516806205 |
942 |
67,944 |
SH |
|
DFND |
1 3 4 |
67,944 |
0 |
0 |
| NABORS INDUSTRIES LTD |
SHS |
G6359F137 |
1,877 |
50,706 |
SH |
|
DFND |
1 3 4 |
50,706 |
0 |
0 |
| OTIS WORLDWIDE CORP |
COM |
68902V107 |
32,729 |
575,654 |
SH |
|
DFND |
1 3 4 |
575,654 |
0 |
0 |
| OTIS WORLDWIDE CORP |
COM |
68902V107 |
1,935 |
34,030 |
SH |
|
DFND |
1 4 |
34,030 |
0 |
0 |
| OVINTIV INC |
COM |
69047Q102 |
116 |
12,139 |
SH |
|
DFND |
1 3 4 |
12,139 |
0 |
0 |
| OVINTIV INC |
COM |
69047Q102 |
285 |
29,863 |
SH |
|
DFND |
1 4 |
29,863 |
0 |
0 |
| PERDOCEO ED CORP |
COM |
71363P106 |
8,252 |
518,018 |
SH |
|
DFND |
1 3 4 |
518,018 |
0 |
0 |
| PERDOCEO ED CORP |
COM |
71363P106 |
182 |
11,435 |
SH |
|
DFND |
1 4 |
11,435 |
0 |
0 |
| PPD INC |
COM |
69355F102 |
230 |
8,580 |
SH |
|
DFND |
1 4 |
8,580 |
0 |
0 |
| PRECIGEN INC |
COM |
74017N105 |
173 |
34,742 |
SH |
|
DFND |
1 3 4 |
34,742 |
0 |
0 |
| PRECIGEN INC |
COM |
74017N105 |
51 |
10,251 |
SH |
|
DFND |
1 4 |
10,251 |
0 |
0 |
| PREMIER FINANCIAL CORP |
COM |
74052F108 |
284 |
16,071 |
SH |
|
DFND |
1 3 4 |
16,071 |
0 |
0 |
| PRIMO WATER CORPORATION |
COM |
74167P108 |
245 |
17,822 |
SH |
|
DFND |
1 4 |
17,822 |
0 |
0 |
| RAYTHEON TECHNOLOGIES CORP |
COM |
75513E101 |
128,478 |
2,085,003 |
SH |
|
DFND |
1 3 4 |
2,085,003 |
0 |
0 |
| RAYTHEON TECHNOLOGIES CORP |
COM |
75513E101 |
1,958 |
31,771 |
SH |
|
DFND |
1 4 |
31,771 |
0 |
0 |
| ROYALTY PHARMA PLC |
SHS CL A |
G7709Q104 |
534 |
11,000 |
SH |
|
DFND |
1 3 4 |
11,000 |
0 |
0 |
| SCHRODINGER INC |
COM |
80810D103 |
209 |
2,279 |
SH |
|
DFND |
1 4 |
2,279 |
0 |
0 |
| SUPER MICRO COMPUTER INC |
COM |
86800U104 |
519 |
18,292 |
SH |
|
DFND |
1 3 4 |
18,292 |
0 |
0 |
| T-MOBILE US INC |
RIGHT 07/27/2020 |
872590112 |
141 |
841,461 |
SH |
|
DFND |
1 3 4 |
831,766 |
0 |
9,695 |
| T-MOBILE US INC |
RIGHT 07/27/2020 |
872590112 |
3 |
20,815 |
SH |
|
DFND |
1 4 |
20,815 |
0 |
0 |
| TRANE TECHNOLOGIES PLC |
SHS |
G8994E103 |
32,743 |
367,984 |
SH |
|
DFND |
1 3 4 |
367,984 |
0 |
0 |
| TRANE TECHNOLOGIES PLC |
SHS |
G8994E103 |
1,772 |
19,917 |
SH |
|
DFND |
1 4 |
19,917 |
0 |
0 |
| UFP INDUSTRIES INC |
COM |
90278Q108 |
23,820 |
481,111 |
SH |
|
DFND |
1 3 4 |
481,111 |
0 |
0 |
| UFP INDUSTRIES INC |
COM |
90278Q108 |
465 |
9,402 |
SH |
|
DFND |
1 4 |
9,402 |
0 |
0 |
| VERTIV HOLDINGS CO |
COM CL A |
92537N108 |
402 |
29,648 |
SH |
|
DFND |
1 4 |
29,648 |
0 |
0 |
| XPERI HOLDING CORP |
COM |
98390M103 |
186 |
12,625 |
SH |
|
DFND |
1 4 |
12,625 |
0 |
0 |
| XPERI HOLDING CORP |
COM |
98390M103 |
13,289 |
900,317 |
SH |
|
DFND |
1 3 4 |
900,317 |
0 |
0 |
