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PNASX Principal SmallCap Growth I R1

  • Fund
  • PNASX
  • Price as of: Dec 14, 2018
  • $10.77
  • - $0.18
  • - 1.64%
  • Category
  • Small Cap Growth Equities

PNASX - Profile

Vitals

  • YTD Return -6.1%
  • 3 Yr Annualized Return 11.0%
  • 5 Yr Annualized Return 8.2%
  • Net Assets $1.75 B
  • Holdings in Top 10 11.9%

52 WEEK LOW AND HIGH

$10.77
$10.77
$13.44

Expenses

OPERATING RELATED FEES

  • Expense Ratio 1.88%

SALES FEES

  • Front Load N/A
  • Deferred Load N/A

BROKERAGE FEES

  • Turnover 52.30%

TRADING FEES

  • Max Redemption Fee N/A

Min Investment

Closed to new investors as of 2017-01-31

STANDARD (TAXABLE)

$0

IRA

N/A

Investment Themes

CATEGORY

Small Cap Growth Equities
  • Fund Type Open End Mutual Fund
  • Investment Style Small Growth

Distributions

  • YTD Total Return -6.1%
  • 3 Yr Annualized Total Return 11.0%
  • 5 Yr Annualized Total Return 8.2%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -1.42%
DIVIDENDS
  • Dividend Yield 0.0%
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name Principal SmallCap Growth Fund I
  • Fund Family Name Principal Funds
  • Inception Date Nov 01, 2004
  • Shares Outstanding N/A
  • Share Class Retirement
  • Currency USD
  • Domiciled Country United States
  • Manager Randy L. Welch

Fund Description

Under normal circumstances, the fund invests at least 80% of its net assets, plus any borrowings for investment purposes, in equity securities of companies with small market capitalizations at the time of purchase. The management invests up to 30% of the fund's assets in equity securities in an attempt to match or exceed the performance of the Russell 2000® Growth Index by purchasing securities in the index while slightly overweighting and underweighting certain individual equity securities relative to their weight in the index.

PNASX - Performance

Return Ranking - Trailing

Period PNASX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD -6.1% -81.5% 65.0% 46.19% 3
1 Yr 6.0% -22.5% 49.1% 57.35% 3
3 Yr 11.0% * -11.1% 24.3% 45.03% 3
5 Yr 8.2% * -13.9% 16.8% 51.42% 3
10 Yr 16.7% * -3.0% 21.3% 23.75% 2

* Annualized


Return Ranking - Calendar

Period PNASX Return Category Return Low Category Return High Rank in Category (%) Quintile
2017 16.8% -73.6% 37.0% 30.49% 2
2016 4.6% -49.0% 25.7% 58.54% 3
2015 -9.4% -70.7% 35.1% 46.08% 3
2014 -19.1% -41.2% 46.6% 89.98% 5
2013 26.1% -32.6% 61.3% 60.26% 4

Total Return Ranking - Trailing

Period PNASX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD -6.1% -100.0% 65.0% 45.70% 3
1 Yr 6.0% -31.1% 291.3% 51.43% 3
3 Yr 11.0% * -43.2% 166.8% 42.47% 3
5 Yr 8.2% * -13.9% 16.8% 48.40% 3
10 Yr 16.7% * 0.1% 21.3% 22.20% 2

* Annualized


Total Return Ranking - Calendar

Period PNASX Return Category Return Low Category Return High Rank in Category (%) Quintile
2017 16.8% -73.6% 37.0% 30.64% 2
2016 4.6% -49.0% 25.7% 60.68% 4
2015 0.4% -37.2% 66.8% 23.42% 2
2014 0.1% -23.4% 6103.1% 73.02% 4
2013 81.3% -32.6% 1073.2% 16.04% 1

NAV & Total Return History

PNASX - Holdings

Filings data as of: Oct 31, 2018

Concentration Analysis

PNASX Category Low Category High PNASX % Rank Quintile
Net Assets 1.75 B 412 K 24.6 B 5.98% 2
Number of Holdings 1250 1 3198 0.63% 1
Net Assets in Top 10 209 M -2.31 M 5.01 B 8.98% 2
Weighting of Top 10 11.9% 0.0% 100.1% 34.17% 5

Top 10 Holdings

  1. Bright Horizons Family Solutions Inc 1.73%
  2. Waste Connections Inc 1.52%
  3. Teladoc Health Inc 0.98%
  4. Five Below Inc 1.24%
  5. Planet Fitness Inc A 1.13%
  6. Catalent Inc 1.13%
  7. Etsy Inc 1.26%
  8. Vonage Holdings Corp 1.01%
  9. Ollie's Bargain Outlet Holdings Inc 0.96%
  10. Ciena Corp 0.95%

Asset Allocation

Weighting Category Low Category High PNASX % Rank Quintile
Stocks
96.58% 0.00% 115.95% 19.53% 4
Cash
3.42% -1.63% 100.00% 12.28% 2
Preferred Stocks
0.00% 0.00% 10.15% 2.83% 3
Other
0.00% -15.51% 7.69% 10.55% 3
Convertible Bonds
0.00% 0.00% 28.89% 1.42% 2
Bonds
0.00% -25.38% 87.78% 2.05% 2

Stock Sector Breakdown

Weighting Category Low Category High PNASX % Rank Quintile
Technology
25.14% 0.89% 81.51% 15.91% 3
Healthcare
18.29% 0.00% 55.08% 20.79% 3
Industrials
17.15% 0.85% 29.99% 13.54% 2
Consumer Cyclical
14.66% 0.34% 28.09% 14.80% 2
Financial Services
7.36% -2.87% 27.33% 20.63% 3
Consumer Defense
5.63% -1.21% 11.16% 8.66% 2
Communication Services
2.94% -0.97% 6.07% 2.68% 1
Basic Materials
2.76% 0.00% 17.99% 26.93% 4
Energy
1.43% 0.00% 16.85% 24.88% 4
Real Estate
0.58% -0.36% 14.22% 25.04% 4
Utilities
0.04% -0.44% 5.00% 12.28% 2

Stock Geographic Breakdown

Weighting Category Low Category High PNASX % Rank Quintile
US
93.12% 0.00% 100.30% 20.79% 3
Non US
3.46% 0.00% 92.36% 13.23% 2

PNASX - Expenses

Operational Fees

PNASX Fees (% of AUM) Category Low Category High Rank in Category (%) Quintile
Expense Ratio 1.88% 0.06% 27.39% 14.17% 4
Management Fee 1.08% 0.05% 1.50% 1.89% 5
12b-1 Fee 0.35% 0.00% 1.00% 1.91% 3
Administrative Fee 0.28% 0.00% 0.40% 1.64% 5

Sales Fees

PNASX Fees (% of AUM) Category Low Category High PNASX Rank Quintile
Front Load N/A 0.00% 5.75% N/A N/A
Deferred Load N/A 1.00% 5.50% N/A N/A

Trading Fees

PNASX Fees (% of AUM) Category Low Category High PNASX Rank Quintile
Max Redemption Fee N/A 0.00% 2.00% N/A N/A

Turnover Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

PNASX Fees (% of AUM) Category Low Category High PNASX Rank Quintile
Turnover 52.30% 0.47% 818.00% 14.65% 3

PNASX - Distributions

Dividend Yield Analysis

PNASX Category Low Category High PNASX % Rank Quintile
Dividend Yield 0.0% 0.00% 2.36% 40.23% 4

Dividend Distribution Analysis

PNASX Category Low Category High Category Mode
Dividend Distribution Frequency Annually Annually Monthly Annually

Dividend Payout History


Net Income Ratio Analysis

PNASX Category Low Category High PNASX % Rank Quintile
Net Income Ratio -1.42% -20.74% 1.79% 29.45% 5

Capital Gain Distribution Analysis

PNASX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Semi-Annually Annually

PNASX - Managers

Randy L. Welch

Manager

Start Date

Jun 02, 2009

Tenure

9.5

Tenure Rank

7.4%

Mr. Welch is a Vice President of Principal Management Corporation. Mr. Welch joined the Principal Financial Group in 1989 and oversees the functions of the Investment Services group, which includes investment manager research, investment consulting, performance analysis, and investment communication. He is also responsible for the due diligence program that monitors investment managers used by the Principal Funds. Mr. Welch is an affiliate member of the Chartered Financial Analysts (CFA) Institute. Mr. Welch earned a B.A. in Business/ Finance from Grand View College and an M.B.A. from Drake University.


James W. Fennessey

Manager

Start Date

Jun 02, 2009

Tenure

9.5

Tenure Rank

7.4%

Mr. Fennessey, CFA, Vice President of Principal Management Corporation. Mr. Fennessey joined the Principal Financial Group in 2000. He is the Head of the Manager Research Team that is responsible for analyzing, interpreting and coordinating investment performance data and evaluation of the investment managers under the due diligence program that monitors investment managers used by the Principal Funds and is a member of the Principal Funds Investment Committee. Fennessey earned a B.S. in Business Administration, with an emphasis in Finance, and a minor in Economics from Truman State University. He has earned the right to use the Chartered Financial Analyst designation.


Tenure Analysis

Category Low

0.0

Category High

46.0

Category Average

7.25

Category Mode

0.5