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Semiannual Report, February

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Semiannual Report, February PRINCIPAL FUNDS Institutional, J, & R Share Classes Semiannual Report February 28,201 Rev. 01/2017 FACTS WHAT DOES PRINCIPAL FUNDS, INC. DO WITH YOUR PERSONAL INFORMATION? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you Why? how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. The types of personal information we collect and share depend on the product or service you have with us. This information can include: • Social Security number and income What? • Assets and transaction history • Account transactions and account balances When you are no longer our customer, we continue to share your information as described in this notice [R [ How? R whether you can limit this sharing. REASONS WE CAN SHARE YOUR PERSONAL DOES PRINCIPAL CAN YOU LIMIT THIS INFORMATION FUNDS, INC. SHARE? SHARING? For our everyday business purposes—such as to process your transactions, maintain your account(s), Yes No respond to court orders and legal investigations, or report to credit bureaus For our marketing purposes—to offer our products and Yes No services to you [ No !R [R— Yes No information about your transactions and experiences [R— No !R information about your creditworthiness " No !R Questions? Call 1-800-222-5852 or go to www.principalfunds.com/customer-support/contact-us EE11865PFI Page 2 Who we are Who is providing this notice? Principal Funds, Inc. and Principal Funds Distributor, Inc. What we do How does Principal Funds, To protect your personal information from unauthorized access and use, we Inc. protect my personal use security measures that comply with federal law. These measures include information? [ How does Principal Funds, We collect your personal information, for example, when you Inc. collect my personal # information? # • Give us your contact information or show your government issued ID [ other companies. R"# Federal law gives you the right to limit only # RN creditworthiness # [ # [ State laws and individual companies may give you additional rights to limit sharing. [ % &'[ [ # ()* + &' [ # ()" to you. - %[[ [ # ()"R/ Other important information EE11865PFI | 01/2017 Table of Contents Financial Statements …………………………………………………. 1 Notes to Financial Statements ………………………………………. 34 Schedules of Investments …………………………………………… 67 Financial Highlights (Includes performance information) ………... 202 Shareholder Expense Example …………………………………….. 218 Supplemental Information ………………………………………………… 2 2 1 STATEMENTS OF ASSETS AND LIABILITIES PRINCIPAL FUNDS,INC. February 28, 2017 (unaudited) Bond Market Diversified Real Amounts in thousands, except per share amounts Blue Chip Fund Index Fund Asset Fund(a) Investment in securities--at cost ............................................................... $ 1,378,799 $ 2,041,629 $ 4,017,611 Foreign currency--at cost ....................................................................... $ – $ – $ 19,445 Assets Investment in securities--at value ............................................................... $ 1,636,849 $ 2,032,432 $ 4,174,490 Foreign currency--at value ....................................................................... – – 19,435 Cash .............................................................................................. – – 7,590 Deposits with counterparty ....................................................................... – 161 3,779 Receivables: Dividends and interest...................................................................... 1,931 10,391 7,240 Expense reimbursement from Manager .................................................... 2 44 107 Expense reimbursement from Distributor .................................................. – 1 – Foreign currency contracts ................................................................ – – 6,304 Fund shares sold ............................................................................ 1,486 217 4,635 Investment securities sold .................................................................. 6,638 28,430 31,779 OTC swap agreements--at value (premiums paid $0, $0 and $0).......................... – – 764 Unrealized gain on unfunded loan commitments .......................................... – – 26 Variation margin on financial derivative instruments ..................................... – – 7,546 Prepaid expenses ................................................................................. – 14 – Total Assets 1,646,906 2,071,690 4,263,695 Liabilities Accrued management and investment advisory fees............................................. 839 369 2,574 Accrued administrative service fees ............................................................. – 3 – Accrued distribution fees ......................................................................... 31 11 53 Accrued service fees ............................................................................. – 15 – Accrued transfer agent fees ...................................................................... 20 21 397 Accrued directors' expenses ...................................................................... 1 2 1 Accrued professional fees ........................................................................ 12 16 63 Accrued other expenses .......................................................................... 18 – 120 Cash overdraft .................................................................................... – 1 – Payables: Dividends and interest on securities sold short ............................................ – 1 – Foreign currency contracts ................................................................. – – 6,366 Fund shares redeemed ...................................................................... 1,553 2,765 17,589 Investment securities purchased ........................................................... 8,608 139,454 125,546 Options and swaptions contracts written (premiums received $0, $0 and $881) .......... – – 452 Short sales (proceeds received $0, $431 and $0) .......................................... – 433 – OTC swap agreements--at value (premiums received $0, $0 and $0) ..................... – – 226 Variation margin on financial derivative instruments ..................................... – – 1,508 Total Liabilities 11,082 143,091 154,895 Net Assets Applicable to Outstanding Shares ................................................. $ 1,635,824 $ 1,928,599 $ 4,108,800 Net Assets Consist of: Capital shares and additional paid-in-capital .................................................... $ 1,353,203 $ 1,942,297 $ 4,372,840 Accumulated undistributed (overdistributed) net investment income (loss)..................... 776 3,346 27,427 Accumulated undistributed (overdistributed) net realized gain (loss) ........................... 23,795 (7,845) (450,757) Net unrealized appreciation (depreciation) of investments ...................................... 258,050 (9,199) 159,417 Net unrealized appreciation (depreciation) on translation of assets and liabilities in foreign currency .......................................................................................... – – (127) Total Net Assets $ 1,635,824 $ 1,928,599 $ 4,108,800 Capital Stock (par value: $.01 per share): Shares authorized ................................................................................ 1,150,000 710,000 1,825,000 Net Asset Value Per Share: Class A: Net Assets .............................................................................. $ 48,971 N/A $ 111,717 Shares Issued and Outstanding ............................................................. 2,715 10,010 Net Asset Value per share .................................................................. $ 18.04 $ 11.16 Maximum Offering Price .................................................................. $ 19.09 $ 11.59 Class C: Net Assets .............................................................................. $ 29,900 N/A $ 27,867 Shares Issued and Outstanding ............................................................. 1,698 2,541 Net Asset Value per share .................................................................. $ 17.61(b) $ 10.97(b) Class J: Net Assets ............................................................................... N/A $ 30,688 N/A Shares Issued and Outstanding ............................................................. 2,857 Net Asset Value per share .................................................................. $ 10.74(b) Class P: Net Assets ............................................................................... $ 26,364 N/A $ 168,382 Shares Issued and Outstanding ............................................................. 1,453 15,090 Net Asset Value per share .................................................................. $ 18.15 $ 11.16 Institutional: Net Assets .......................................................................... $ 1,530,515 $ 1,816,878 $ 3,772,260 Shares Issued and Outstanding ............................................................. 84,236 166,374 337,661 Net Asset Value per share .................................................................. $ 18.17 $ 10.92 $ 11.17 R-1: Net Assets ................................................................................... N/A $ 1,986 N/A Shares Issued and Outstanding ............................................................. 185 Net
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