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: |
03-31-2021 |
| 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
|
05-24-2021 |
| [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: |
36 |
|
Form 13F Information Table Value Total: |
378,657 |
|
(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 |
| APA CORPORATION |
COM |
03743Q108 |
461 |
25,776 |
SH |
|
DFND |
1 4 |
25,776 |
0 |
0 |
| APA CORPORATION |
COM |
03743Q108 |
7,678 |
428,922 |
SH |
|
DFND |
1 3 4 |
428,922 |
0 |
0 |
| ATOTECH LTD |
COM |
G0625A105 |
30,504 |
1,506,356 |
SH |
|
DFND |
1 3 4 |
1,506,356 |
0 |
0 |
| BM TECHNOLOGIES INC |
CL A COM |
05591L107 |
401 |
34,448 |
SH |
|
DFND |
1 3 4 |
34,448 |
0 |
0 |
| COURSERA INC |
COM |
22266M104 |
5,850 |
150,000 |
SH |
|
DFND |
1 3 4 |
150,000 |
0 |
0 |
| DESIGN THERAPEUTICS INC |
COM |
25056L103 |
3,212 |
107,408 |
SH |
|
DFND |
1 3 4 |
107,408 |
0 |
0 |
| DIGITALOCEAN HLDGS INC |
COM |
25402D102 |
30,199 |
716,814 |
SH |
|
DFND |
1 3 4 |
716,814 |
0 |
0 |
| DIME CMNTY BANCSHARES INC |
COM |
25432X102 |
7,935 |
263,284 |
SH |
|
DFND |
1 3 4 |
263,284 |
0 |
0 |
| DIVERSEY HLDGS LTD |
ORD SHS |
G28923103 |
37,368 |
2,540,323 |
SH |
|
DFND |
1 3 4 |
2,540,323 |
0 |
0 |
| IMMUNITYBIO INC |
COM |
45256X103 |
570 |
23,990 |
SH |
|
DFND |
1 3 4 |
23,990 |
0 |
0 |
| IMMUNOCORE HLDGS PLC |
ADS |
45258D105 |
5,260 |
123,572 |
SH |
|
DFND |
1 3 4 |
123,572 |
0 |
0 |
| LUMEN TECHNOLOGIES INC |
COM |
550241103 |
16,965 |
1,270,820 |
SH |
|
DFND |
1 3 4 |
1,270,820 |
0 |
0 |
| LUMEN TECHNOLOGIES INC |
COM |
550241103 |
990 |
74,171 |
SH |
|
DFND |
1 4 |
74,171 |
0 |
0 |
| MODIVCARE INC |
COM |
60783X104 |
13,031 |
87,977 |
SH |
|
DFND |
1 3 4 |
87,977 |
0 |
0 |
| MODIVCARE INC |
COM |
60783X104 |
382 |
2,579 |
SH |
|
DFND |
1 4 |
2,579 |
0 |
0 |
| NOV INC |
COM |
62955J103 |
6,046 |
440,672 |
SH |
|
DFND |
1 3 4 |
440,672 |
0 |
0 |
| NOV INC |
COM |
62955J103 |
364 |
26,504 |
SH |
|
DFND |
1 4 |
26,504 |
0 |
0 |
| OLINK HLDG AB |
SPONSORED ADS |
680710100 |
11,268 |
313,013 |
SH |
|
DFND |
1 3 4 |
313,013 |
0 |
0 |
| OLO INC |
CL A |
68134L109 |
2,872 |
108,828 |
SH |
|
DFND |
1 3 4 |
108,828 |
0 |
0 |
| ON24 INC |
COM |
68339B104 |
14,637 |
301,739 |
SH |
|
DFND |
1 3 4 |
301,739 |
0 |
0 |
| ORTHO CLINICAL DIAGNOSTICS H |
ORD SHS |
G6829J107 |
324 |
16,805 |
SH |
|
DFND |
1 4 |
16,805 |
0 |
0 |
| PETCO HEALTH & WELLNESS CO I |
COM |
71601V105 |
24,115 |
1,088,235 |
SH |
|
DFND |
1 3 4 |
1,088,235 |
0 |
0 |
| QUALTRICS INTL INC |
COM CL A |
747601201 |
11,364 |
345,308 |
SH |
|
DFND |
1 3 4 |
345,308 |
0 |
0 |
| RLX TECHNOLOGY INC |
SPONSORED ADS |
74969N103 |
12,389 |
1,195,852 |
SH |
|
DFND |
1 3 4 |
1,195,852 |
0 |
0 |
| SHOALS TECHNOLOGIES GROUP IN |
CL A |
82489W107 |
3,782 |
108,749 |
SH |
|
DFND |
1 3 4 |
108,749 |
0 |
0 |
| SHOALS TECHNOLOGIES GROUP IN |
CL A |
82489W107 |
213 |
6,132 |
SH |
|
DFND |
1 4 |
6,132 |
0 |
0 |
| SIGNIFY HEALTH INC |
CL A COM |
82671G100 |
15,890 |
543,031 |
SH |
|
DFND |
1 3 4 |
543,031 |
0 |
0 |
| SIRIUSPOINT LTD |
COM |
G8192H106 |
6,813 |
669,887 |
SH |
|
DFND |
1 3 4 |
669,887 |
0 |
0 |
| SL GREEN RLTY CORP |
COM |
78440X804 |
334 |
4,767 |
SH |
|
DFND |
1 4 |
4,767 |
0 |
0 |
| SL GREEN RLTY CORP |
COM |
78440X804 |
16,947 |
242,138 |
SH |
|
DFND |
1 3 4 |
242,138 |
0 |
0 |
| SOCIEDAD QUIMICA Y MINERA DE |
RIGHT 04/19/2021 |
833636111 |
65 |
20,842 |
SH |
|
DFND |
1 3 4 |
20,842 |
0 |
0 |
| SUN CTRY AIRLS HLDGS INC |
COM |
866683105 |
3,283 |
95,759 |
SH |
|
DFND |
1 3 4 |
95,759 |
0 |
0 |
| TRAVEL PLUS LEISURE CO |
COM |
894164102 |
19,381 |
316,881 |
SH |
|
DFND |
1 3 4 |
316,881 |
0 |
0 |
| TRAVEL PLUS LEISURE CO |
COM |
894164102 |
351 |
5,741 |
SH |
|
DFND |
1 4 |
5,741 |
0 |
0 |
| TRAVEL PLUS LEISURE CO |
COM |
894164102 |
66,753 |
1,091,450 |
SH |
|
DFND |
2 3 4 |
1,091,450 |
0 |
0 |
| VIANT TECHNOLOGY INC |
COM CL A |
92557A101 |
660 |
12,471 |
SH |
|
DFND |
1 3 4 |
12,471 |
0 |
0 |
