SECURITIES AND EXCHANGE COMMISSION FORM N-PX Annual report of proxy voting record of registered management investment companies filed on Form N-PX Filing Date: 2014-08-29 | Period of Report: 2014-06-30 SEC Accession No. 0000898745-14-000839 (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-PX | Act: 40 | File No.: 811-07572 | Film No.: 141073898 DES MOINES IA 50392 515-248-4745 Copyright © 2014 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Due to file size constraints, this filing is being made in twenty-three related submissions containing the Fund's series with a fiscal year end of 10/31. Principal Funds, Inc. series with a fiscal year end of 08/31 will be included in a separate report This submission is #15 of 23 related submissions. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07572 Principal Funds, Inc. --------------------------------------------------------------------------------------------------------------- (Exact name of registrant as specified in charter) 655 9th Street, Des Moines, IA 50392 --------------------------------------------------------------------------------------------------------------- (Address of principal executive offices) (Zip code) JENNIFER A. MILLS Copy to: JOSHUA B. DERINGER The Principal Financial Group Drinker Biddle & Reath, LLP Des Moines, Iowa 50392 One Logan Square, Ste 2000 Philadelphia, PA 19103-6996 --------------------------------------------------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: 515-235-9154 Date of fiscal year end: 10/31 Date of reporting period: 07/01/2013 - 06/30/2014 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ============================== Money Market Fund =============================== There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period. =============== Overseas Fund (f/k/a International Value Fund I) =============== 3I GROUP PLC Ticker: III Security ID: G88473148 Meeting Date: JUL 18, 2013 Meeting Type: Annual Record Date: JUL 16, 2013 # Proposal Mgt Rec Vote Cast Sponsor 1 Accept Financial Statements and For For Management Statutory Reports 2 Approve Remuneration Report For Abstain Management 3 Approve Final Dividend For For Management 4 Re-elect Jonathan Asquith as Director For For Management 5 Re-elect Simon Borrows as Director For For Management 6 Re-elect Alistair Cox as Director For For Management 7 Re-elect Richard Meddings as Director For For Management 8 Re-elect Willem Mesdag as Director For For Management 9 Re-elect Sir Adrian Montague as For For Management Director 10 Re-elect Martine Verluyten as Director For For Management 11 Re-elect Julia Wilson as Director For For Management 12 Reappoint Ernst & Young LLP as Auditors For For Management 13 Authorise Board to Fix Remuneration of For For Management Auditors 14 Authorise EU Political Donations and For For Management Expenditure 15 Authorise Issue of Equity with For For Management Pre-emptive Rights 16 Authorise Issue of Equity without For For Management Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Pre-emptive Rights 17 Authorise Market Purchase of Ordinary For For Management Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Shares 18 Authorise Market Purchase of B Shares For For Management 19 Authorise the Company to Call EGM with For For Management Two Weeks' Notice A.P. MOELLER - MAERSK A/S Ticker: MAERSK B Security ID: K0514G135 Meeting Date: MAR 31, 2014 Meeting Type: Annual Record Date: MAR 24, 2014 # Proposal Mgt Rec Vote Cast Sponsor 1 Receive Report of Board None None Management 2 Accept Financial Statements and For For Management Statutory Reports 3 Approve Discharge of Management and For For Management Board 4 Approve Allocation of Income and For For Management Dividends of DKK 1,400 Per Share 5a Reelect Ane Maersk Mc-Kinney Moller as For For Management Director 5b Reelect Jan Leschly as Director For For Management 5c Reelect Robert Routs as Director For For Management 5d Reelect Arne Karlsson as Director For For Management 5e Reelect Sir John Bond as Director For For Management 5f Elect Robert Maersk Uggla as Director For For Management 5g Elect Niels Christiansen as Director For For Management 5h Elect Dorothee Blessing as Director For For Management 5i Elect Renata Frolova as Director For For Management 5j Elect Palle Vestergaard Rasmussen as For For Management Director 6a Ratify KPMG 2014 P/S as Auditors For For Management 6b Ratify PricewaterhouseCoopers as For For Management Auditors 7a Approve Creation of DKK 17.6 Billion For For Management Pool of Capital with Preemptive Rights 7b Amend Guidelines for Incentive-Based For For Management Compensation Executive Management and Board 7c Approve Guidelines for Compensation For For Management for Executive Management and Board Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 7d Amend Articles Re: Company's Signature For For Management 7e Amend Articles Re: Number of Auditors For For Management 7f Amend Articles Re: Convening of AGM For For Management Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 7g Approve Publication of Annual Report For For Management in English 7h Require Company to Offer at AGM a Meal Against Against Shareholder Corresponding to Company's Outlook ABB LTD. Ticker: ABBN Security ID: 000375204 Meeting Date: APR 30, 2014 Meeting Type: Annual Record Date: MAR 24, 2014 # Proposal Mgt Rec Vote Cast Sponsor 1 Accounts and Reports For For Management 2 Remuneration Report For For Management 3 Ratification of Board and Management For For Management Acts 4 Allocation of Profits/Dividends For For Management 5 Increase in Conditional Capital For For Against Management Employee Incentive Plans 6 Amendments to Articles For For Management 7 Elect Roger Agnelli For For Management 8 Elect Matti Alahuhta For For Management 9 Elect Louis R. Hughes For For Management 10 Elect Michel de Rosen For For Management 11 Elect Michael Treschow For For Management 12 Elect Jacob Wallenberg For For Management 13 Elect Ying Yeh For For Management 14 Elect Hubertus von Grunberg as Chairman For For Management 15 Elect Michel de Rosen For For Management 16 Elect Michael Treschow For For Management 17 Elect Ying Yeh For For Management 18 Appointment of Independent Proxy For For Management 19 Appointment of Auditor For For Management ABB LTD. Ticker: ABBN Security ID: H0010V101 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Meeting Date: APR 30, 2014 Meeting Type: Annual Record Date: APR 22, 2014 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document # Proposal Mgt Rec Vote Cast Sponsor 1 Non-Voting Meeting Note N/A TNA Management 2 Non-Voting Meeting Note N/A TNA Management 3 Non-Voting Agenda Item N/A TNA Management 4 Accounts and Reports For TNA Management 5 Remuneration Report For TNA Management 6 Ratification of Board and Management For TNA Management Acts 7 Allocation of Profits/Dividends For TNA Management 8 Increase in Conditional Capital For For TNA Management Employee Incentive Plans 9 Amendments to Articles For TNA Management 10 Elect Roger Agnelli For TNA Management 11 Elect Matti Alahuhta For TNA Management 12 Elect Louis R. Hughes For TNA Management 13 Elect Michel de Rosen For TNA Management 14 Elect Michael Treschow For TNA Management 15 Elect Jacob Wallenberg For TNA Management 16 Elect Ying Yeh For TNA Management 17 Elect Hubertus von Grunberg as Chairman For TNA Management 18 Elect Michel de Rosen For TNA Management 19 Elect Michael Treschow For TNA Management 20 Elect Ying Yeh For TNA Management 21 Appointment of Independent Proxy For TNA Management 22 Appointment of Auditor For TNA Management 23 Transaction of Other Business For TNA Management ABB LTD. Ticker: ABBN Security ID: H0010V101 Meeting Date: APR 30, 2014 Meeting Type: Annual Record Date: # Proposal Mgt Rec Vote Cast Sponsor 1 Receive Financial Statements and None None Management Statutory Reports (Non-Voting) 2.1 Accept Financial Statements and For For Management Statutory Reports 2.2 Approve Remuneration Report For Against Management Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document (Non-Binding) 3 Approve Discharge of Board and Senior For For Management Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Management 4 Approve Allocation of Income and For For Management Dividends of CHF 0.70 per Share from Capital Contribution Reserves 5 Approve CHF 154.5 Million Pool of For Against Management Conditional Capital to Fund Equity Compensation to Employees