FUNDS INC Form NQ Filed 2013-01-28
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SECURITIES AND EXCHANGE COMMISSION FORM N-Q Quarterly schedule of portfolio holdings of registered management investment company filed on Form N-Q Filing Date: 2013-01-28 | Period of Report: 2012-11-30 SEC Accession No. 0000898745-13-000024 (HTML Version on secdatabase.com) FILER PRINCIPAL FUNDS INC Mailing Address Business Address PRINCIPAL FINANCIAL 650 8TH STREET CIK:898745| IRS No.: 000000000 | State of Incorp.:MD | Fiscal Year End: 1031 GROUP DES MOINES IA 50392-2080 Type: N-Q | Act: 40 | File No.: 811-07572 | Film No.: 13550514 DES MOINES IA 50392 515-248-4745 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 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 811-07572 Principal Funds, Inc. (Exact name of registrant as specified in charter) 711 High Street, Des Moines, IA 50392-2080 (Address of principal executive offices) Principal Management Corporation, Des Moines, IA 50392-2080 (Name and address of agent for service) Registrants telephone number, including area code:515-247-6783 Date of fiscal year end: August 31, 2013 Date of reporting period: November 30, 2012 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ITEM 1 SCHEDULE OF INVESTMENTS Schedule of Investments Blue Chip Fund November 30, 2012 (unaudited) COMMON STOCKS - 99.62% Shares Held Value(000 's) COMMON STOCKS (continued) Shares Held Value(000 's) Agriculture - 1.70% Holding Companies - Diversified - 1.54% Philip Morris International Inc 1,039 $ 93 Leucadia National Corp 3,800 $ 84 Banks - 4.10% Insurance - 9.89% US Bancorp 1,101 35 Aon PLC 970 55 (a) Wells Fargo & Co 5,723 189 Berkshire Hathaway Inc - Class B 3,046 268 $ 224 Brown & Brown Inc 1,146 31 Loews Corp 2,720 111 (a) Beverages - 8.96% Markel Corp 80 39 Anheuser-Busch InBev NV ADR 1,113 98 Progressive Corp/The 1,752 37 Coca-Cola Co/The 2,559 97 $ 541 Diageo PLC ADR 997 119 PepsiCo Inc 979 69 Internet - 5.30% (a) Pernod-Ricard SA ADR 4,680 107 Google Inc 285 199 (a) $ 490 Liberty Interactive Corp 2,726 53 (a) Liberty Ventures 184 11 (a) Building Materials - 0.81% VeriSign Inc 808 27 Martin Marietta Materials Inc 484 44 $ 290 Lodging - 0.91% Chemicals - 3.13% Wynn Resorts Ltd 447 50 Airgas Inc 407 36 Praxair Inc 1,259 135 $ 171 Media - 0.84% (a) Discovery Communications Inc - C Shares 820 46 Commercial Services - 4.13% ADT Corp/The 677 31 Mastercard Inc 270 132 Oil & Gas - 2.65% Moody's Corp 1,287 63 EOG Resources Inc 239 28 $ 226 Exxon Mobil Corp 1,322 117 $ 145 Computers - 4.97% Apple Inc 262 153 Pharmaceuticals - 1.52% International Business Machines Corp 624 119 Johnson & Johnson 1,192 83 $ 272 Cosmetics & Personal Care - 0.44% Pipelines - 4.08% Colgate-Palmolive Co 223 24 Kinder Morgan Inc/Delaware 4,620 156 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document (a) Kinder Morgan Inc/Delaware - Warrants 1,000 4 Williams Cos Inc/The 1,931 63 Distribution & Wholesale - 1.77% $ 223 Fastenal Co 1,153 48 WW Grainger Inc 252 49 Real Estate - 3.91% $ 97 Brookfield Asset Management Inc 5,227 182 (a) CBRE Group Inc 1,710 32 Diversified Financial Services - 7.74% $ 214 American Express Co 1,852 103 BlackRock Inc 582 115 Retail - 11.38% (a) Charles Schwab Corp/The 4,592 60 AutoZone Inc 116 44 LPL Financial Holdings Inc 1,030 29 Burger King Worldwide Inc 2,610 45 (a) Visa Inc 772 116 CarMax Inc 2,076 75 $ 423 McDonald's Corp 1,829 159 (a) O'Reilly Automotive Inc 458 43 Electronics - 1.83% Starbucks Corp 3,274 170 Gentex Corp/MI 2,195 39 TJX Cos Inc 538 24 (a) Sensata Technologies Holding NV 1,067 33 Wal-Mart Stores Inc 593 43 Tyco International Ltd 1,004 28 Yum! Brands Inc 280 19 $ 100 $ 622 Food - 7.99% Semiconductors - 0.59% Mondelez International Inc 1,327 34 Microchip Technology Inc 1,061 32 Nestle SA ADR 3,480 228 Unilever NV - NY shares 4,618 175 $ 437 Software - 5.23% Microsoft Corp 5,259 140 Healthcare - Products - 1.70% Oracle Corp 4,552 146 Becton Dickinson and Co 490 38 $ 286 CR Bard Inc 224 22 (a) IDEXX Laboratories Inc 353 33 Telecommunications - 0.88% $ 93 Motorola Solutions Inc 888 48 Healthcare - Services - 0.84% (a) Laboratory Corp of America Holdings 542 46 See accompanying notes. 1 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Schedule of Investments Blue Chip Fund November 30, 2012 (unaudited) COMMON STOCKS (continued) Shares Held Value(000 's) Transportation - 0.79% Expeditors International of Washington Inc1,136 $ 43 TOTAL COMMON STOCKS $ 5,447 Total Investments $ 5,447 Other Assets in Excess of Liabilities, Net - 0.38% $ 21 TOTAL NET ASSETS - 100.00% $ 5,468 (a) Non-Income Producing Security Portfolio Summary (unaudited) Sector Percent Consumer, Non-cyclical 27.28 % Financial 25.63 % Consumer, Cyclical 14.08 % Technology 10.79 % Communications 7.02 % Energy 6.74 % Industrial 3.42 % Basic Materials 3.13 % Diversified 1.53 % Other Assets in Excess of Liabilities, Net 0.38 % TOTAL NET ASSETS 100.00 % See accompanying notes. 2 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Schedule of Investments Bond Market Index Fund November 30, 2012 (unaudited) Principal Principal Amount BONDS- 32.46 % Amount (000's) Value(000 's) BONDS (continued) Value(000 's) (000's) Advertising - 0.02% Airlines (continued) Omnicom Group Inc UAL 2009-2A Pass Through Trust 4.45%, 08/15/2020 $ 372 $ 414 9.75%, 01/15/2017 $ 592 $ 683 $ 1,630 Automobile Asset Backed Securities - Aerospace & Defense - 0.36% 0.15% Boeing Co/The Ally Auto Receivables Trust 3.75%, 11/20/2016 149 165 0.79%, 09/15/2015 800 802 AmeriCredit Automobile Receivables 5.88%, 02/15/2040 446 617 Trust 7.95%, 08/15/2024 400 600 2011-3 Exelis Inc 1.17%, 01/08/2016 400 402 4.25%, 10/01/2016 372 389 Ford Credit Auto Owner Trust L-3 Communications Corp 1.15%, 06/15/2017 500 507 (a) 4.95%, 02/15/2021 223 253 1.35%, 12/15/2016 371 377 Lockheed Martin Corp Santander Drive Auto Receivables Trust 2012-4 3.35%, 09/15/2021 298 318 5.50%, 11/15/2039 52 63 1.04%, 08/15/2016 400 403 5.72%, 06/01/2040 75 97 $ 2,491 Northrop Grumman Corp 3.50%, 03/15/2021 223 242 Automobile Manufacturers - 0.05% Raytheon Co Daimler Finance North America LLC 3.13%, 10/15/2020 223 239 8.50%, 01/18/2031 298 467 4.88%, 10/15/2040 446 523 Ford Motor Co United Technologies Corp 7.45%, 07/16/2031 300 377 1.20%, 06/01/2015 300 305 $ 844 Automobile Parts & Equipment - 3.10%, 06/01/2022 200 215 0.05% 4.50%, 04/15/2020 216 256 Johnson Controls Inc 4.50%, 06/01/2042 500 569 3.75%, 12/01/2021 223 239 4.88%, 05/01/2015 500 550 5.00%, 03/30/2020 186 214 5.38%, 12/15/2017 298 360 5.25%, 12/01/2041 372 429 5.70%, 04/15/2040 149 199 $ 882 6.13%, 07/15/2038 52 71 $ 6,031 Banks- 4.92% Abbey National Treasury Services Agriculture - 0.34% PLC/London Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Altria Group Inc 2.88%, 04/25/2014 149 152 4.13%, 09/11/2015 104 113 American Express Centurion Bank 4.75%, 05/05/2021 372 424 0.88%, 11/13/2015 300 300 9.25%, 08/06/2019 558 777 Bank of America Corp 9.70%, 11/10/2018 223 315 1.50%, 10/09/2015 300 301 9.95%, 11/10/2038 220 364 3.63%, 03/17/2016 520 552 10.20%, 02/06/2039 30 51 3.70%, 09/01/2015 385 407 Archer-Daniels-Midland Co 4.50%, 04/01/2015 485 518 (a) 4.48%, 03/01/2021 372 428 4.75%, 08/01/2015 75 81 5.38%, 09/15/2035 149 180 5.42%, 03/15/2017 50 55 Bunge Ltd Finance Corp 5.63%, 07/01/2020 520 614 4.10%, 03/15/2016 223 240 5.65%, 05/01/2018 745 863 Lorillard Tobacco Co 5.70%, 01/24/2022 520 633 8.13%, 06/23/2019 104 133 5.88%, 02/07/2042 372 470 8.13%, 05/01/2040 75 101 6.00%, 09/01/2017 775 902 Philip Morris International Inc 6.50%, 08/01/2016 260 302 1.13%, 08/21/2017 200 200 7.38%, 05/15/2014 300 326 2.50%, 05/16/2016 372 393 7.63%, 06/01/2019 300 384 2.90%, 11/15/2021 149 155 Bank of Montreal 4.38%, 11/15/2041 149 161 2.50%, 01/11/2017 372 392 4.50%, 03/26/2020 379 446 Bank of New York Mellon Corp/The 5.65%, 05/16/2018 75 92 0.70%, 10/23/2015 200 200 6.88%, 03/17/2014 780 844 1.20%, 02/20/2015 520 526 Reynolds American Inc 3.55%, 09/23/2021 149 163 7.63%, 06/01/2016 260 312 5.50%, 12/01/2017 93 109 $ 5,729 Bank of Nova Scotia Airlines - 0.10% 1.85%, 01/12/2015 149 153 American Airlines 2011-1 Class A 2.38%, 12/17/2013 149 152 Pass Through Trust 2.90%, 03/29/2016 298 317 (b) 5.25%, 07/31/2022 474 498 Barclays Bank PLC Continental Airlines 2010-A 2.38%, 01/13/2014 446 453 4.75%, 01/12/2021 142 154 2.75%, 02/23/2015 372 385 Delta Air Lines 2007-1 Class A Pass 5.00%, 09/22/2016 160 180 Through Trust 5.13%, 01/08/2020 100 114 6.82%, 08/10/2022 264 295 5.14%, 10/14/2020 498 520 6.75%, 05/22/2019 300 365 See accompanying notes.