Основная статистика
| CIK | 1572661 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Principal Exchange-Traded Funds - Principal U.S. Small-Cap ETF
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| May 30, 2025 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel May 30, 2025 Via EDGAR Aaron Brodsky Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| March 13, 2025 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 13, 2025 Via EDGAR Jay Williamson Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| November 6, 2024 |
SC 13G 1 yld110624.htm STRATEGIC PLANNING GROUP, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 PRINCIPAL EXCHANGE-TRADED FUNDS (Name of Issuer) EXCHANGE TRADED PRODUCT (Title of Class of Securities) 74255Y102 (CUSIP Number) September 30, 2024 (Date of Event which Requires Filing of this Statement) Check the approp |
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| October 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| October 18, 2024 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 18, 2024 Via EDGAR Aaron Brodsky Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| October 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| October 10, 2024 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel www. |
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| September 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| June 26, 2023 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel June 26, 2023 Via EDGAR Raymond Be, Esq. |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 2, 2023 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 2, 2023 Via EDGAR Ms. |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| February 24, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 07, 2023, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 24, 2023 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel February 24, 2023 Via EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR1D985067940922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
NPORT-EX 2 NPORTPE8A709048970922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR2D929345240922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR1E140642260922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR1B371315380922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR6B393153590922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87. |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR6D654052410922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
NPORT-EX 2 NPORTPR1A875715980922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| November 28, 2022 |
NPORT-EX 2 NPORTPREA604699460922.htm Schedule of Investments Principal Active High Yield ETF September 30, 2022 (unaudited) Principal BONDS — 87.80% Amount Value Aerospace & Defense — 1.10% Bombardier, Inc. 7.50%, 03/15/2025 (a) $ 634,000 $ 616,495 Triumph Group, Inc. 7.75%, 08/15/2025 (b) 2,431,000 1,857,790 $ 2,474,285 Airlines — 0.08% United Airlines 2016-1 Class B Pass Through Trust 3.65%, 07/ |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 25, 2022 |
Schedule of Investments Principal Active High Yield ETF March 31, 2022 (unaudited) COMMON STOCKS — 0. |
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| May 24, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| May 18, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| May 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| May 17, 2022 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel May 17, 2022 Via EDGAR Raymond Be, Esq. |
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| May 3, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| April 20, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| March 15, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| March 14, 2022 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 14, 2022 Via EDGAR Ms. |
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| March 14, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| March 4, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
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| March 4, 2022 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 4, 2022 Via EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D. |
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| November 23, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 23, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
NPORT-EX 2 NPORTPR2B735767240921.htm Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91.56% Amount Value Aerospace & Defense — 2.60% TransDigm, Inc. 4.88 %, 05/01/2029 $ 1,150,000 $ 1,152,139 6.38 %, 06/15/2026 1,150,000 1,186,409 7.50 %, 03/15/2027 422,000 442,045 Triumph Group, Inc. 7.75 %, 08/15/2025 (a) 3,144,000 3,110,123 8.88 %, 06/01/ |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| November 22, 2021 |
Schedule of Investments Principal Active High Yield ETF September 30, 2021 (unaudited) Principal BONDS — 91. |
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| October 27, 2021 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 27, 2021 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| September 2, 2021 |
Principal Exchange-Traded Funds COVER 30 filename30.htm Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel September 2, 2021 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D.C. 20549 Re: Principal Exchange-Traded Funds File Numbers 333-201935, 811-23029 Post-Effective Amendment No. 101 to the Registration Statement on For |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24. |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24. |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24. |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| May 20, 2021 |
Schedule of Investments Principal International Multi-Factor ETF March 31, 2021 (unaudited) principalexchange-tradedfund.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Income ETF March 31, 2021 (unaudited) COMMON STOCKS — 24.40% Shares Held Value Advertising — 0.71% Interpublic Group of Cos Inc/The 56,880 $ 1,660,896 Apparel — 0.21% VF Corp 6,178 493,746 Auto Manufacturers — 0.41% PACCAR Inc 10,436 969,713 Auto Parts & Equipment — 0.28% Magna Int |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| April 26, 2021 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel April 26, 2021 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| February 12, 2021 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel February 12, 2021 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| February 9, 2021 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel February 9, 2021 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| November 18, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds September 30, 2020 (unaudited) Submission Proof - C:\Users\h370161\AppData\Local\Temp\SECPub.temp\Publish\1N-CSRS.xml Schedule of Investments Principal Active Global Dividend Income ETF September 30, 2020 (unaudited) COMMON STOCKS — 97.84% Shares Held Value Apparel — 4.66% LVMH Moet Hennessy Louis Vuitton SE 10,692 $ 5,006,812 NIKE Inc, Class B 65,198 8,184,957 $ 13,191,769 Auto Manufacturers — 1.91% PACCAR Inc 63,601 5,423,893 |
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| October 28, 2020 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 28, 2020 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| September 2, 2020 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel September 2, 2020 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
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| August 13, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: August 10, 2020 (Date of earliest event reported) PRINCIPAL EXCHANGE-TRADED FUNDS (Exact name of registrant as specified in its charter) Delaware 811-23029 See Below (State or other jurisdiction of incorporation) (Com |
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| August 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-201935 Issuer: Principal Exchange-Traded Funds Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is liste |
|
| June 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| June 12, 2020 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel June 12, 2020 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
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| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| May 27, 2020 |
Notes to Financial Statements Principal Exchange-Traded Funds March 31, 2020 (unaudited) Submission Proof - C:\Users\a035755\AppData\Local\Temp\SECPub.temp\Publish\etfN-Q.xml Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2020 (unaudited) COMMON STOCKS — 98.49% Shares Held Value Apparel — 3.77% LVMH Moet Hennessy Louis Vuitton SE 31,052 $ 11,590,976 NIKE Inc, Class B 136,373 11,283,502 $ 22,874,478 Auto Manufacturers — 2.13% PACCAR Inc 211,390 12,922,271 |
|
| October 30, 2019 |
PY / Principal Shareholder Yield Index ETF CORRESP - - Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 30, 2019 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| August 29, 2019 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel August 29, 2019 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| July 11, 2019 |
Principal Exchange-traded Funds 8-A12B - - 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| June 26, 2019 |
Principal Exchange-traded Funds CORRESP - - Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel June 26, 2019 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| June 11, 2019 |
Principal Exchange-traded Funds 25 - - 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-201935 Issuer: Principal Exchange-Traded Funds Exchange: The Nasdaq Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is l |
|
| May 31, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 31, 2019 (Date of earliest event reported) PRINCIPAL EXCHANGE-TRADED FUNDS (Exact name of registrant as specified in its charter) Delaware 001-37475 See Below (State or other jurisdiction (Commission file number |
|
| May 31, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: May 31, 2019 (Date of earliest event reported) PRINCIPAL EXCHANGE-TRADED FUNDS (Exact name of registrant as specified in its charter) Delaware 001-37475 See Below (State or other jurisdiction (Commission file number) |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - NPORT-EX 1 NPORT297504769355911.htm Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manufacturers - 3.58% Nissan Motor Co |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - NPORT-EX 1 NPORT296924920661833.htm Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manufacturers - 3.58% Nissan Motor Co |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - NPORT-EX 1 NPORT297219024232667.htm Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manufacturers - 3.58% Nissan Motor Co |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98. |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - NPORT-EX 1 NPORT299086338704905.htm Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manufacturers - 3.58% Nissan Motor Co |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 29, 2019 |
Principal Exchange-traded Funds NPORT-EX - - petfpartffinal033119.htm - Generated by SEC Publisher for SEC Filing Schedule of Investments Principal Active Global Dividend Income ETF March 31, 2019 (unaudited) COMMON STOCKS - 98.22% Shares Held Value Aerospace & Defense - 1.38% Boeing Co/The 25,082 $ 9,566,776 Airlines - 0.65% Alaska Air Group Inc 80,824 4,535,843 Apparel - 1.78% LVMH Moet Hennessy Louis Vuitton SE 33,590 12,355,138 Auto Manu |
|
| May 16, 2019 |
Principal Exchange-traded Funds AW AW Principal Funds, Inc. 711 High Street, Des Moines, IA 50392 515 247 5111 tel May 16, 2019 VIA EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 RE: Principal Exchange-Traded Funds (the “Registrant”) (CIK 0001572661) Request for Withdrawal of Post-Effective Amendment; File No. 333-201935, 811-23029 Pursuant to Rule 477 under the Secur |
|
| April 22, 2019 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel April 22, 2019 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| April 9, 2019 |
Principal Exchange-traded Funds 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| April 5, 2019 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel April 5, 2019 Via EDGAR Ms. |
|
| April 1, 2019 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel April 1, 2019 Via EDGAR Mr. |
|
| March 6, 2019 |
Principal Exchange-traded Funds DEFA14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
|
| March 4, 2019 |
Principal Exchange-traded Funds DEF 14A DEF 14A 1 etfdef14aproxy2019filingbo.htm DEF 14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitiv |
|
| March 4, 2019 |
PY / Principal Shareholder Yield Index ETF CORRESP - - Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 4, 2019 Via EDGAR Ms. |
|
| February 22, 2019 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. |
|
| February 22, 2019 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel February 21, 2019 Via EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| February 13, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: February 7, 2019 (Date of earliest event reported) PRINCIPAL EXCHANGE-TRADED FUNDS (Exact name of registrant as specified in its charter) Delaware 811-23029 See Below (State or other jurisdiction (Commission file numb |
|
| January 22, 2019 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel January 22, 2019 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| November 28, 2018 |
formn-q09302018petf99cert.htm - Generated by SEC Publisher for SEC Filing Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
|
| November 28, 2018 |
Principal Exchange-traded Funds N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 finaletfnq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 801 Grand Avenue, Des Moines, IA 50309 (Address of principal executive offices) Princip |
|
| October 26, 2018 |
Principal Exchange-traded Funds CORRESP Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 26, 2018 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| September 25, 2018 |
Principal Exchange-traded Funds AW Principal Funds, Inc. 711 High Street, Des Moines, IA 50392 515 247 5111 tel September 25, 2018 VIA EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 RE: Principal Exchange-Traded Funds (the “Registrant”) (CIK 0001572661) Request for Withdrawal of Post-Effective Amendment File No. 333-201935, 811-23029 Pursuant to Rule 477 under the |
|
| August 31, 2018 |
Principal Exchange-Traded Funds COVER 19 filename19.htm Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel August 31, 2018 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D.C. 20549 Re: Principal Exchange-Traded Funds File Numbers 333-201935, 811-23029 Post-Effective Amendment No. 71 to the Registration Statement on Form N |
|
| May 29, 2018 |
Principal Exchange-traded Funds N-Q (Quarterly Schedule of Portfolio Holdings) formn-qpetf03312018.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 801 Grand Avenue, Des Moines, IA 50309 ( |
|
| May 29, 2018 |
EX-99.CERT 2 formn-q03312018petfexhibit99.htm Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which su |
|
| April 16, 2018 |
Principal Exchange-traded Funds 8-A12B 8-A12B 1 etfform8-a12bxinvestmentgr.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) |
|
| April 13, 2018 |
Principal Exchange-traded Funds CORRESP Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel April 13, 2018 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| January 19, 2018 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel January 19, 2018 Via EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| November 22, 2017 |
I, Michael J. Beer, certify that: EX-99.CERT 2 formn-q09302017petf99cert.htm Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such |
|
| November 22, 2017 |
Principal Exchange-traded Funds - etfninethirtyseventeennq.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 801 Grand Avenue, Des Moines, IA 50 |
|
| November 6, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| October 27, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 27, 2017 Via EDGAR Alison White Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| October 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| August 31, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel August 31, 2017 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| August 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| August 29, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel August 29, 2017 Via EDGAR Mr. |
|
| July 6, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| July 6, 2017 |
Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel July 6, 2017 Via EDGAR Trace Rakestraw Sumeera Younis Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| May 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 801 Grand Avenue, Des Moines, IA 50309 (Address of principal executive offices) Principal Global Investors, |
|
| May 30, 2017 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mi |
|
| May 8, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| May 8, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel May 8, 2017 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| March 27, 2017 |
Principal Exchange-traded Funds CORRESP - - Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 27, 2017 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| March 27, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel March 27, 2017 Via EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| February 22, 2017 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel February 22, 2017 Via EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| November 29, 2016 |
EX-99.CERT 2 d277577dex99cert.htm EX-99 Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such sta |
|
| November 29, 2016 |
Principal Exchange-traded Funds - N-Q N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 711 High Street, Des Moines, IA 50392 (Address of principal executive offices) Principal Management Corporation, 711 High Street, Des Moines, IA 50392 (Name and address of agent for service) Registrant’s telephone number, including area code: 515-247-6783 Date of fiscal year end: June 30, 2017 Date of reporting period: September 30, 2016 Schedule of Investments Principal EDGE Active Income ETF September 30, 2016 (unaudited) COMMON STOCKS - 28. |
|
| October 27, 2016 |
Principal Exchange-traded Funds CORRESP - - Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel October 27, 2016 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| September 20, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| September 19, 2016 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 September 19, 2016 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| August 18, 2016 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel August 18, 2016 Via EDGAR Mr. |
|
| August 17, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 711 High S |
|
| July 14, 2016 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel July 14, 2016 Via EDGAR Trace Rakestraw Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington D. |
|
| July 7, 2016 |
Principal Exchange-Traded Funds Principal Exchange-Traded Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel July 7, 2016 Via EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| May 27, 2016 |
Certifications Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mi |
|
| May 27, 2016 |
Principal Exchange-traded Funds - N-Q N-Q 1 d164833dnq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 655 9th Street, Des Moines, IA 50392 (Address of principal executive offices) Princ |
|
| May 23, 2016 |
Principal Funds 711 High Street, Des Moines, IA 50392 515 247 5111 tel May 23, 2016 Via EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| May 5, 2016 |
May 5, 2016 Via EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| March 21, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 655 9th St |
|
| November 25, 2015 |
Principal Exchange-traded Funds - PRINCIPAL EDGE ACTIVE INCOME ETF N-Q N-Q 1 d30229dnq.htm PRINCIPAL EDGE ACTIVE INCOME ETF N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-23029 Principal Exchange-Traded Funds (Exact name of registrant as specified in charter) 655 9th Street, Des Moines, IA 50392 (Address of pr |
|
| November 25, 2015 |
EX-99.CERT 2 d30229dex99cert.htm CERTIFICATION Exhibit 99.CERT CERTIFICATIONS I, Michael J. Beer, certify that: 1. I have reviewed this report on Form N-Q of Principal Exchange-Traded Funds 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which s |
|
| June 26, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECUITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Principal Exchange-Traded Funds (Exact Name of Registrant as Specified in Its Charter) Delaware (See below) (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 655 9th St |
|
| June 18, 2015 |
VIA EDGAR June 18, 2015 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
|
| June 18, 2015 |
June 18, 2015 Principal Exchange-Traded Funds Des Moines, IA 50392-0200 RE: Registration Statement on Form N-1A Pursuant to Securities Act of 1933 Registration No. |
|
| June 18, 2015 |
Principal Exchange-traded Funds CORRESP - - CORRESP 1 filename1.htm June 18, 2015 via EDGAR Karen Rossotto Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Principal Exchange-Traded Funds Registration Statement on Form N-1A Pre-Effective Amendment No. 2 File No. 333-201935 REQUEST FOR ACCELERATION Dear Ms. Rossotto: Pursuant to Rule 461 under the Securities Act |
|
| June 18, 2015 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION JUNE 18, 2015 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION JUNE 18, 2015 Securities Act of 1933 File No. |
|
| June 18, 2015 |
Principal Exchange-traded Funds CORRESP - - BY EDGAR TRANSMISSION June 18, 2015 Ms. Karen Rossotto Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Principal Exchange-Traded Funds (the “Trust”) Response to SEC Staff Comments on Registration Statement on Form N-1A File Nos. 333-201935; 811-23029 This letter responds, on behalf of Principal Exchange-Traded Funds (t |
|
| June 18, 2015 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the caption ?Independent Registered Public Accounting Firm? in the Statement of Additional Information, and to the use of our report dated June 18, 2015, with respect to the financial statements of Principal Exchange Traded Funds as of May 21, 2015 filed with the Securities and Exchange Commission in this Pre-Effective Amendment No. |
|
| June 18, 2015 |
May 21, 2015 Mr. Mike Beer Chief Executive Officer and President Principal Exchange-Traded Funds, Inc. Principal Financial Group Des Moines, IA 50392-2080 Dear Mr. Beer: Principal Financial Services, Inc. intends to purchase the following shares (the ?Shares?): Principal Exchange-Traded Funds Purchase Amount Shares Purchased Principal EDGE Active Income ETF $100,000 2,500 Each share of Principal E |
|
| April 21, 2015 |
PRINCIPAL FUNDS, INC. DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDS PRINCIPAL FUNDS, INC. DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDS DISTRIBUTION PLAN AND AGREEMENT made as of , 2015, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware Trust (the "Fund"), and ALPS Distributors, Inc., a Colorado Corporation (the " Distributor "). 1. This Distribution and Service Plan (the ?Plan?), when effective in accordance with its terms, shall be the |
|
| April 21, 2015 |
CODE OF ETHICS October 1, 2013 CODE OF ETHICS October 1, 2013 Principal Global Investors, LLC (?PGI?), Principal Real Estate Investors, LLC (?PrinREI?), and Principal Enterprise Capital, LLC (?PEC?) (collectively, the ?Advisers?) have adopted this Code of Ethics (the ?Code?). |
|
| April 21, 2015 |
CODE OF ETHICS August 30, 2012 EX-99.16 9 v782184exp16.htm EDGE ASSET MGMT CODE OF ETHICS CODE OF ETHICS August 30, 2012 This Code of Ethics (the ?Code?) has been adopted by Edge Asset Management, Inc. (the ?Advisor?), effective August 30, 2012. The principal objectives of the Code are: (i) to provide policies and procedures consistent with applicable laws and regulations, including Rule 17j-1 under the Investment Company Act o |
|
| April 21, 2015 |
Custodian Agreement This Agreement is made as of , 2015 by and between Principal Exchange-Traded Funds, a statutory trust organized and existing under the laws of Delaware (the ?Fund?), and State Street Bank and Trust Company, a Massachusetts trust company (the ?Custodian?). |
|
| April 21, 2015 |
DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of , 20, by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the ?Fund?), and ALPS Distributors, Inc. |
|
| April 21, 2015 |
PRINCIPAL EXCHANGE-TRADED FUNDS MANAGEMENT AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDS MANAGEMENT AGREEMENT AGREEMENT to be effective , 2015, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the ?Fund?) and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the ?Manager?). |
|
| April 21, 2015 |
PRINCIPAL EXCHANGE-TRADED FUNDS SUB?ADVISORY AGREEMENT PRINCIPAL GLOBAL INVESTORS, LLC SUB-ADVISED SERIES AGREEMENT executed as of , 2015 by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called ?the Manager?), and PRINCIPAL GLOBAL INVESTORS, LLC. |
|
| April 21, 2015 |
PRINCIPAL EXCHANGE-TRADED FUNDS PARTICIPANT AGREEMENT This Participant Agreement (the ?Agreement?) is entered into by and among ALPS Distributors, Inc. |
|
| April 21, 2015 |
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENT FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENT AGREEMENT made this day of , 2015 by and between Principal Exchange-Traded Funds, Inc. (the ?Fund?) and Principal Management Corporation (the ?Advisor?) (together, the ?Parties?). The Advisor has contractually agreed to limit the Fund?s expenses, (excluding interest expense, expenses related to fund investments, acquire |
|
| April 21, 2015 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION APRIL 21, 2015 N-1A/A 1 filingbody-2.htm PRE-EFF AMDT #1 - PRINCIPAL EXCHANGE-TRADED FUNDS AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION APRIL 21, 2015 Securities Act of 1933 File No. 333-201935 Investment Company Act of 1940 File No. 811-23029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 X Pre-Effective Amendment |
|
| April 21, 2015 |
TRANSFER AGENCY AND SERVICE AGREEMENT TRANSFER AGENCY AND SERVICE AGREEMENT THIS AGREEMENT is made as of the day of , 2014, by and between STATE STREET BANK AND TRUST COMPANY, Massachusetts trust company having its principal office and place of business at One Lincoln Street, Boston, Massachusetts 02111 (?State Street? or the ?Transfer Agent?), and Principal Exchange-Traded Funds , a Delaware statutory trust having its principal office and place of business at 711 High Street, Des Moines, Iowa 50392-2080 (the ?Trust?). |
|
| April 21, 2015 |
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS SUB?ADVISORY AGREEMENT EDGE ASSET MANAGEMENT, INC. |
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| April 21, 2015 |
VIA EDGAR April 21, 2015 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D. |
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| April 21, 2015 |
Principal Exchange-traded Funds CORRESP - - BY EDGAR TRANSMISSION April 21, 2015 Ms. Karen Rossotto Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Principal Exchange-Traded Funds (the “Trust”) Response to SEC Staff Comments on Registration Statement on Form N-1A File Nos. 333-201935; 811-23029 We have reviewed the registration statement on Form N-1A for the Tru |
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| April 21, 2015 |
Code of Ethics for Principal Exchange Traded Funds Principal Funds, Inc. Principal Variable Contracts Funds, Inc. Principal Management Corporation (?PMC?) Principal Financial Advisors, Inc. (?PFA?) Principal Funds Distributor (?PFD?) The entities are collectively known as the ?Fund Entities." 1 Code of Ethics Revision Date This version of the Code of Ethics is effective as of March 10, 2015. Purpo |
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| February 6, 2015 |
AGREEMENT AND DECLARATION OF TRUST OF PRINCIPAL EXCHANGE-TRADED FUNDS A Delaware Statutory Trust TABLE OF CONTENTS Page ARTICLE I NAME AND DEFINITIONS 1 Section 1. |
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| February 6, 2015 |
BY-LAWS PRINCIPAL EXCHANGE-TRADED FUNDS BY-LAWS OF PRINCIPAL EXCHANGE-TRADED FUNDS These By-laws of Principal Exchange-Traded Funds (the “Trust”) are subject to the Trust’s Agreement and Declaration of Trust dated March 5, 2013, as from time to time amended, supplemented or restated (the “Declaration of Trust”). |
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| February 6, 2015 |
Principal Exchange-traded Funds N-1A - - INITIAL N-1A FILING FOR PRINCIPAL EDGE ACTIVE INCOME ETF AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION FEBRUARY 6, 2015. Securities Act of 1933 File No. Investment Company Act of 1940 File No. 811-23029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 S Pre-Effective Amendment No. £ Post-Effective Amendment No. £ and/or REGISTRATION STATEMENT UNDER THE INVEST |
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| February 6, 2015 |
Ex-99(j)(ii) on February 6, 2015 (Accession No. 0001572661-15-000008) Principal Exchange-Traded Funds POWER OF ATTORNEY-Registration Statement on Form N-1A (File No. |
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| February 6, 2015 |
Principal Exchange-traded Funds COVER - - COVER 6 filename6.htm February 6, 2015 Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington D.C. 20549 RE: Initial filing of Registration Statement for Principal Exchange-Traded Funds on Form N-1A Principal Exchange-Traded Funds (the “Registrant”) is filing an Initial Registration Statement pursuant to the Securities Act of 1933, as amended (the “1933 Ac |
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| February 6, 2015 |
CERTIFICATE OF TRUST This Certificate of Trust of Principal Exchange-Traded Funds (the "Trust") is being duly executed and filed on behalf of the Trust by the undersigned, as Trustee of the Trust and not individually, to form a statutory trust under the Delaware Statutory Trust Act (12 Del. |
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| February 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(A) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the U.S. Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connectio |
