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801 Grand Ave Des Moines, Iowa 50309 (800) 533-1390 FORM ADV Part 2B Principal Global Investors, LLC 801 Grand Ave Des Moines, Iowa 50309 (800) 533-1390 www.PrincipalGlobal.com March 29, 2018 Supervised Persons Principal Global Fixed Income (David Blake) General Account (Scott Bennett) Securitized Products & Rates (Bryan Davis, Zach Gassmann, Erika Isley, Ryan McCann) High Yield (Mark Denkinger, Darrin Smith, Josh Rank) Municipal (James Welch, James Noble) U.S. Multi-Strategy (Timothy Warrick, William Armstrong, Christina Paris, John Friedl, Scott Peterson) Investment Grade (Timothy Warrick, Randy Woodbury, Craig Dawson, Brad Stoermer) Emerging Markets Debt (Darryl Trunnel, Nicholas Varcoe) Global Strategies (Heath Sollars, Bill Armstrong, Darryl Trunnel, Tim Warrick, Randy Woodbury, Binay Chandgothia, Raj Singh) Cash & Short Term Management (Allison Hitchings, Tracy Reeg, Tim Warrick, Christina Paris, Scott Peterson) Currency (Mark Farrington) This brochure supplement provides information about the “Supervised Persons” of Principal Global Fixed Income and Currency that supplements the Principal Global Investors, LLC brochure. Principal Global Fixed Income and Currency are specialized investment groups within Principal Global Investors, LLC. You should have received a copy of that brochure. Please contact us at (800) 533-1390 if you did not receive the brochure or if you have any questions about the contents of this supplement. David Blake Principal Global Investors, LLC 801 Grand Ave., Des Moines, Iowa 50309 (800) 533-1390 / www.PrincipalGlobal.com Fixed Income This brochure supplement provides information about David Blake, a “supervised person” of Principal Global Investors Fixed Income team and supplements the Principal Global Investors, LLC brochure. You should have received a copy of that brochure. Please contact us using the information above if you did not receive the brochure or if you have any questions about the contents of this supplement. Item 2 -- Educational Background and Business Experience • Year of birth: 1966 • BSBA Finance, St. Louis University • MBA Business, St. Louis University • Senior Executive Director and Global Head of Fixed Income, Principal Global Investors, LLC, 02/04 to present Item 3 – Disciplinary Information The supervised person has not been involved in any legal events or subjected to any disciplinary actions which are material to Principal Global Investors’ clients or prospective clients. Item 4 – Other Business Activities No supervised person is actively engaged in any other investment-related businesses or other occupations. Item 5 – Additional Compensation The supervised person does not receive from Principal Global Investors, its clients or third parties, any special economic benefits, including sales awards, commissions, prizes or bonuses, which are based upon the number or amount of sales, client referrals or new accounts. The supervised person receives regular fixed salary and incentive-based compensation from Principal Global Investors. Item 6 – Supervision Principal Global Investors uses a team approach to monitor the advice provided by the supervised person. Each fixed income portfolio is reviewed daily by its Portfolio Manager and team members assigned to that portfolio. Jim McCaughan, President Global Asset Management, is responsible for supervising David Blake. He may be reached at (800) 533-1390 or via email [email protected]. Scott Bennett Principal Global Investors, LLC 801 Grand Ave., Des Moines, Iowa 50309 (800) 533-1390 / www.PrincipalGlobal.com General Account This brochure supplement provides information about Scott Bennett, a “supervised person” of Principal Global Investors Fixed Income team and supplements the Principal Global Investors, LLC brochure. You should have received a copy of that brochure. Please contact us using the information above if you did not receive the brochure or if you have any questions about the contents of this supplement. Item 2 -- Educational Background and Business Experience • Year of birth: 1964 • BA Finance, University of Iowa • MBA Finance, University of Iowa • Senior Portfolio Manager, Principal Global Investors, LLC, 03/06 to present Item 3 – Disciplinary Information The supervised person has not been involved in any legal events or subjected to any disciplinary actions which are material to Principal Global Investors’ clients or prospective clients. Item 4 – Other Business Activities No supervised person is actively engaged in any other investment-related businesses or other occupations. Item 5 – Additional Compensation The supervised person does not receive from Principal Global Investors, its clients or third parties, any special economic benefits, including sales awards, commissions, prizes or bonuses, which are based upon the number or amount of sales, client referrals or new accounts. The supervised person receives regular fixed salary and incentive-based compensation from Principal Global Investors. Item 6 – Supervision Principal Global Investors uses a team approach to monitor the advice provided by the supervised person. Each fixed income portfolio is reviewed daily by its Portfolio Manager and team members assigned to that portfolio. David Blake, Sr. Executive Director & Global Head of Fixed Income, is responsible for supervising Scott Bennett. He may be reached at (800) 533-1390 or via email [email protected] Bryan Davis Principal Global Investors, LLC 801 Grand Ave., Des Moines, Iowa 50309 (800) 533-1390 / www.PrincipalGlobal.com Securitized Products & Rates This brochure supplement provides information about Bryan Davis, a “supervised person” of Principal Global Investors Fixed Income team and supplements the Principal Global Investors, LLC brochure. You should have received a copy of that brochure. Please contact us using the information above if you did not receive the brochure or if you have any questions about the contents of this supplement. Item 2 -- Educational Background and Business Experience • Year of birth: 1968 • BA Finance, University of Iowa • Portfolio Manager/Trader, Principal Global Investors, LLC, 01/08 to present Item 3 – Disciplinary Information The supervised person has not been involved in any legal events or subjected to any disciplinary actions which are material to Principal Global Investors’ clients or prospective clients. Item 4 – Other Business Activities No supervised person is actively engaged in any other investment-related businesses or other occupations. Item 5 – Additional Compensation The supervised person does not receive from Principal Global Investors, its clients or third parties, any special economic benefits, including sales awards, commissions, prizes or bonuses, which are based upon the number or amount of sales, client referrals or new accounts. The supervised person receives regular fixed salary and incentive-based compensation from Principal Global Investors. Item 6 – Supervision Principal Global Investors uses a team approach to monitor the advice provided by the supervised person. Each fixed income portfolio is reviewed daily by its Portfolio Manager and team members assigned to that portfolio. Bill Armstrong, Portfolio Manager, is responsible for supervising Bryan Davis. He may be reached at (800) 533-1390 or via email [email protected]. Zach Gassmann Principal Global Investors, LLC 801 Grand Ave., Des Moines, Iowa 50309 (800) 533-1390 / www.PrincipalGlobal.com Securitized Products & Rates This brochure supplement provides information about Zach Gassmann, a “supervised person” of Principal Global Investors Fixed Income team and supplements the Principal Global Investors, LLC brochure. You should have received a copy of that brochure. Please contact us using the information above if you did not receive the brochure or if you have any questions about the contents of this supplement. Item 2 -- Educational Background and Business Experience • Year of birth: 1976 • BA, Accounting, Simpson College • MA, Financial Management, Drake University • Portfolio Manager/Trader, Principal Global Investors, LLC, 03/16 to present • Senior Fixed Income Analyst, Principal Global Investors, LLC 03/11 to 03/16 Item 3 – Disciplinary Information The supervised person has not been involved in any legal events or subjected to any disciplinary actions which are material to Principal Global Investors’ clients or prospective clients. Item 4 – Other Business Activities No supervised person is actively engaged in any other investment-related businesses or other occupations. Item 5 – Additional Compensation The supervised person does not receive from Principal Global Investors, its clients or third parties, any special economic benefits, including sales awards, commissions, prizes or bonuses, which are based upon the number or amount of sales, client referrals or new accounts. The supervised person receives regular fixed salary and incentive-based compensation from Principal Global Investors. Item 6 – Supervision Principal Global Investors uses a team approach to monitor the advice provided by the supervised person. Each fixed income portfolio is reviewed daily by its Portfolio Manager and team members assigned to that portfolio. Bill Armstrong, Portfolio Manager, is responsible for supervising Zach Gassmann. He may be reached at (800) 533-1390 or via email [email protected]. Erika Isley Principal Global Investors, LLC 801 Grand Ave., Des Moines, Iowa 50309 (800) 533-1390 / www.PrincipalGlobal.com Securitized Products & Rates This brochure supplement provides information about Erika Isley, a “supervised
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