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PSMCX Principal SmallCap C

  • Fund
  • PSMCX
  • Price as of: Dec 14, 2017
  • $22.13
  • - $0.23
  • - 1.03%
  • Category
  • Small Cap Blend Equities

PSMCX - Profile

Vitals

  • YTD Return 9.1%
  • 3 Yr Annualized Return 9.5%
  • 5 Yr Annualized Return 14.6%
  • Net Assets $640 M
  • Holdings in Top 10 15.2%

52 WEEK LOW AND HIGH

$22.13
$19.87
$22.64

Expenses

OPERATING RELATED FEES

  • Expense Ratio 2.08%

SALES FEES

  • Front Load N/A
  • Deferred Load 1.00%

BROKERAGE FEES

  • Turnover 59.10%

TRADING FEES

  • Max Redemption Fee N/A

Min Investment

STANDARD (TAXABLE)

$1,000

IRA

$1,000

Investment Themes

CATEGORY

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

Distributions

  • YTD Total Return 9.1%
  • 3 Yr Annualized Total Return 9.5%
  • 5 Yr Annualized Total Return 14.6%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -0.31%
DIVIDENDS
  • Dividend Yield N/A
  • Dividend Distribution Frequency Annually

Fund Details

  • Legal Name Principal SmallCap Fund
  • Fund Family Name Principal Funds
  • Inception Date Jan 16, 2007
  • Shares Outstanding N/A
  • Share Class C
  • Currency USD
  • Domiciled Country United States
  • Manager Brian W. Pattinson

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. For this fund, companies with small market capitalizations are those with market capitalizations within the range of companies comprising the Russell 2000® Index (as of December 31, 2016, this range was between approximately $20.4 million and $10.3 billion).

PSMCX - Performance

Return Ranking - Trailing

Period PSMCX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD 9.1% -72.0% 51.3% 37.45% 2
1 Yr 14.2% -34.4% 44.4% 65.58% 4
3 Yr 9.5% * -7.4% 15.8% 48.97% 3
5 Yr 14.6% * 2.6% 19.1% 36.44% 2
10 Yr 6.9% * 2.2% 13.1% 75.67% 4

* Annualized


Return Ranking - Calendar

Period PSMCX Return Category Return Low Category Return High Rank in Category (%) Quintile
2016 13.4% -49.6% 134.4% 68.40% 4
2015 -5.2% -59.6% 7.5% 16.12% 1
2014 -8.8% -36.1% 39.3% 79.38% 5
2013 35.9% -8.1% 59.7% 23.76% 2
2012 12.7% -11.0% 30.8% 41.71% 3

Total Return Ranking - Trailing

Period PSMCX Return Category Return Low Category Return High Rank in Category (%) Quintile
YTD 9.1% -72.0% 51.3% 37.74% 2
1 Yr 13.2% -34.0% 191.4% 62.36% 4
3 Yr 9.5% * -9.2% 15.8% 43.83% 3
5 Yr 14.6% * 2.2% 19.1% 33.33% 2
10 Yr 6.9% * 2.2% 13.1% 72.46% 4

* Annualized


Total Return Ranking - Calendar

Period PSMCX Return Category Return Low Category Return High Rank in Category (%) Quintile
2016 13.4% -49.6% 134.4% 72.89% 4
2015 -1.3% -37.6% 7.5% 16.18% 1
2014 3.7% -16.1% 60.1% 67.26% 4
2013 67.2% -0.9% 156.4% 14.43% 1
2012 20.8% -12.9% 161.3% 59.95% 3

NAV & Total Return History

PSMCX - Holdings

Filings data as of: Oct 31, 2017

Concentration Analysis

PSMCX Category Low Category High PSMCX % Rank Quintile
Net Assets 640 M 2.07 M 83.7 B 14.37% 2
Number of Holdings 151 2 3972 16.09% 3
Net Assets in Top 10 95.5 M 324 K 3.19 B 13.79% 2
Weighting of Top 10 15.2% 2.1% 178.4% 20.31% 3

Top 10 Holdings

  1. Synnex Corp 1.51%
  2. Aspen Technology Inc 1.59%
  3. Visteon Corp 1.48%
  4. Blackbaud Inc 1.70%
  5. Vishay Intertechnology Inc 1.50%
  6. Healthsouth Corp 1.42%
  7. Entegris Inc 1.73%
  8. CACI International Inc Class A 1.45%
  9. PRA Health Sciences Inc 1.45%
  10. Oshkosh Corp 1.42%

Asset Allocation

Weighting Category Low Category High PSMCX % Rank Quintile
Stocks
98.90% 19.31% 100.10% 8.43% 2
Cash
1.10% -40.35% 80.69% 24.14% 4
Preferred Stocks
0.00% 0.00% 0.63% 2.49% 3
Other
0.00% -14.76% 9.17% 7.28% 3
Convertible Bonds
0.00% 0.00% 0.99% 1.15% 2
Bonds
0.00% -0.14% 41.97% 5.56% 3

Stock Sector Breakdown

Weighting Category Low Category High PSMCX % Rank Quintile
Technology
18.63% 0.00% 72.95% 6.90% 1
Financial Services
16.80% 0.00% 34.61% 18.20% 3
Industrials
16.26% 0.13% 47.65% 17.62% 3
Consumer Cyclical
13.32% 0.00% 40.75% 17.24% 3
Healthcare
12.38% 0.00% 21.51% 11.88% 2
Real Estate
7.70% 0.00% 41.00% 10.34% 2
Basic Materials
5.90% 0.00% 22.57% 16.86% 3
Utilities
3.74% 0.00% 22.37% 4.21% 1
Energy
3.24% 0.00% 23.98% 14.75% 3
Consumer Defense
0.93% 0.00% 22.01% 27.39% 5
Communication Services
0.00% 0.00% 10.80% 20.31% 5

Stock Geographic Breakdown

Weighting Category Low Category High PSMCX % Rank Quintile
US
98.90% 0.88% 99.67% 2.49% 1
Non US
0.00% 0.00% 93.36% 30.08% 5

PSMCX - Expenses

Operational Fees

PSMCX Fees (% of AUM) Category Low Category High Rank in Category (%) Quintile
Expense Ratio 2.08% 0.04% 10.03% 10.73% 5
Management Fee 0.75% 0.00% 1.50% 5.75% 3
12b-1 Fee 1.00% 0.00% 1.00% 0.29% 5
Administrative Fee N/A 0.00% 0.40% N/A N/A

Sales Fees

PSMCX Fees (% of AUM) Category Low Category High PSMCX Rank Quintile
Front Load N/A 0.00% 5.75% N/A N/A
Deferred Load 1.00% 1.00% 5.00% 5.95% 2

Trading Fees

PSMCX Fees (% of AUM) Category Low Category High PSMCX Rank Quintile
Max Redemption Fee N/A 1.00% 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.

PSMCX Fees (% of AUM) Category Low Category High PSMCX Rank Quintile
Turnover 59.10% 4.00% 778.00% 12.48% 3

PSMCX - Distributions

Dividend Yield Analysis

PSMCX Category Low Category High PSMCX % Rank Quintile
Dividend Yield N/A 0.00% 2.78% N/A N/A

Dividend Distribution Analysis

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

Dividend Payout History


Net Income Ratio Analysis

PSMCX Category Low Category High PSMCX % Rank Quintile
Net Income Ratio -0.31% -1.95% 2.83% 32.76% 4

Capital Gain Distribution Analysis

PSMCX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Daily Annually

PSMCX - Managers

Brian W. Pattinson

Manager

Start Date

Jul 20, 2011

Tenure

6.37

Tenure Rank

8.2%

Brian is a portfolio manager for Principal Global Equities. He leads the global small-cap team which encompasses global, international and U.S. small-cap strategies. Brian serves as the lead portfolio manager for the firm's international and global small cap portfolios while providing oversight to the U.S. small-cap team. He also is a key contributor to the firm’s research and development efforts. Brian joined the firm in 1994 and became a portfolio manager in 2001. He received an MBA and a bachelor’s degree in finance from the University of Iowa. Brian has earned the right to use the Chartered Financial Analyst designation. He is a member of the CFA Society of Iowa and the CFA Institute.


Phil Nordhus

Manager

Start Date

May 19, 2006

Tenure

11.54

Tenure Rank

3.4%

Phil is a portfolio manager for Principal Global Equities. He serves as lead portfolio manager for the firm's U.S. small-cap equity portfolios. In addition, his responsibilities include leadership of the small-cap analyst team. Phil joined the firm in 1990 and was previously in corporate acquisitions and divestitures before moving to the equity group in 2000. He received an MBA from Drake University and a bachelor's degree in economics from Kansas State University. Phil has earned the right to use the Chartered Financial Analyst designation and is a member of the CFA Institute.


Tenure Analysis

Category Low

0.1

Category High

26.3

Category Average

5.98

Category Mode

2.9