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Name

As of 11/21/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Principal U.S. Small-Cap ETF

PSC | Active ETF

$54.74

$502 M

0.79%

$0.43

0.38%

Vitals

YTD Return

19.8%

1 yr return

33.2%

3 Yr Avg Return

5.1%

5 Yr Avg Return

13.3%

Net Assets

$502 M

Holdings in Top 10

7.1%

52 WEEK LOW AND HIGH

$53.9
$41.34
$56.35

Expenses

OPERATING FEES

Expense Ratio 0.38%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 93.10%

Redemption Fee N/A

Min Investment

Standard (Taxable)

N/A

IRA

N/A

Fund Classification

Fund Type

Exchange Traded Fund

Name

As of 11/21/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Principal U.S. Small-Cap ETF

PSC | Active ETF

$54.74

$502 M

0.79%

$0.43

0.38%

PSC - Profile

Distributions

  • YTD Total Return 19.8%
  • 3 Yr Annualized Total Return 5.1%
  • 5 Yr Annualized Total Return 13.3%
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio 1.39%
DIVIDENDS
  • Dividend Yield 0.8%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    Principal U.S. Small-Cap ETF
  • Fund Family Name
    Principal Funds
  • Inception Date
    Sep 21, 2016
  • Shares Outstanding
    16250001
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Jeffrey Schwarte

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 U.S. 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 September 30, 2024, the market capitalization range of the companies in the Russell 2000 Index was between approximately $8.8 million to $15.4 billion.
For security selection and portfolio construction, Principal Global Investors, LLC ("PGI") uses a proprietary quantitative model designed to identify and rank equity securities (including growth and value stock) of small-capitalization companies in the Russell 2000 Index that PGI believes display (i) value characteristics (companies with low share prices relative to their fundamental value), (ii) higher quality (companies that possess higher quality characteristics relative to their peers, measured by profitability, earnings quality, balance sheet strength, and solvency), and (iii) higher momentum (companies that have share prices and earnings that are trending up). In weighting securities, the model first weights the preceding three characteristics approximately equally and then seeks to assign greater weight to securities that PGI determines are more liquid (meaning the securities that would be the easiest to trade without significantly impacting their value based on recent average trading volumes) and less volatile (meaning the share price of the security has a lower degree of fluctuation over time).
The Fund's holdings are expected to be rebalanced at least annually. However, PGI may make any adjustments to the model and Fund holdings at its discretion. In constructing and revising the model and managing the Fund’s investments, PGI uses insights from diverse sources, including internal investment research, industry reports, and data from third-party consultants and other service providers, to develop and refine its investment themes and identify and take advantage of trends that may impact the Fund and its holdings.
Note:    "Russell 2000" is a trademark of FTSE Russell Company and has been licensed by Principal. The Fund is not sponsored, endorsed, sold, or promoted by FTSE Russell Company, and FTSE Russell Company makes no representation regarding the advisability of investing in the Fund.
Read More

PSC - Performance

Return Ranking - Trailing

Period PSC Return Category Return Low Category Return High Rank in Category (%)
YTD 19.8% -3.6% 37.7% 20.38%
1 Yr 33.2% 0.0% 47.7% 23.58%
3 Yr 5.1%* -14.0% 42.6% 20.27%
5 Yr 13.3%* -12.6% 34.1% 6.60%
10 Yr N/A* -2.9% 18.1% 53.77%

* Annualized

Return Ranking - Calendar

Period PSC Return Category Return Low Category Return High Rank in Category (%)
2023 17.6% -19.9% 29.0% 18.75%
2022 -17.6% -59.3% 118.2% 28.00%
2021 30.6% -31.6% 39.3% 1.93%
2020 11.5% -51.0% 39.5% 48.41%
2019 17.2% -5.6% 37.8% 73.71%

Total Return Ranking - Trailing

Period PSC Return Category Return Low Category Return High Rank in Category (%)
YTD 19.8% -3.6% 37.7% 20.38%
1 Yr 33.2% 0.0% 47.7% 23.58%
3 Yr 5.1%* -14.0% 42.6% 20.27%
5 Yr 13.3%* -12.6% 34.1% 6.60%
10 Yr N/A* -2.9% 18.1% N/A

* Annualized

Total Return Ranking - Calendar

Period PSC Return Category Return Low Category Return High Rank in Category (%)
2023 18.5% -11.7% 31.8% 23.11%
2022 -15.9% -45.2% 123.7% 38.29%
2021 32.5% 0.0% 45.6% 6.58%
2020 13.3% -50.5% 46.9% 46.23%
2019 18.9% 2.2% 40.9% 92.75%

PSC - Holdings

Concentration Analysis

PSC Category Low Category High PSC % Rank
Net Assets 502 M 555 K 145 B 48.21%
Number of Holdings 506 2 2445 25.80%
Net Assets in Top 10 46.6 M 124 K 9.87 B 67.80%
Weighting of Top 10 7.12% 3.1% 100.1% 88.09%

Top 10 Holdings

  1. Sprouts Farmers Market, Inc. 0.78%
  2. Hims Hers Health, Inc. 0.77%
  3. Carpenter Technology Corp. 0.75%
  4. Hamilton Lane, Inc. 0.75%
  5. Jackson Financial, Inc. 0.73%
  6. Brinker International, Inc. 0.73%
  7. UMB Financial Corp. 0.70%
  8. Mr. Cooper Group, Inc. 0.65%
  9. Applied Industrial Technologies, Inc. 0.63%
  10. Axos Financial, Inc. 0.63%

Asset Allocation

Weighting Return Low Return High PSC % Rank
Stocks 		99.72% 7.51% 107.74% 10.17%
Cash 		0.72% 0.00% 42.24% 73.45%
Preferred Stocks 		0.00% 0.00% 6.06% 51.98%
Other 		0.00% -0.07% 49.08% 70.81%
Convertible Bonds 		0.00% 0.00% 3.17% 51.51%
Bonds 		0.00% 0.00% 87.66% 54.99%

Stock Sector Breakdown

Weighting Return Low Return High PSC % Rank
Financial Services 		16.52% 0.00% 35.52% 32.76%
Healthcare 		15.85% 0.00% 26.53% 26.10%
Industrials 		13.92% 2.46% 37.42% 92.38%
Technology 		13.58% 0.00% 43.95% 55.43%
Consumer Cyclical 		12.11% 0.99% 47.79% 30.48%
Real Estate 		8.22% 0.00% 29.43% 37.52%
Energy 		6.64% 0.00% 37.72% 37.14%
Basic Materials 		4.02% 0.00% 18.66% 66.10%
Consumer Defense 		3.96% 0.00% 18.87% 58.48%
Utilities 		2.97% 0.00% 18.58% 34.67%
Communication Services 		2.21% 0.00% 14.85% 64.00%

Stock Geographic Breakdown

Weighting Return Low Return High PSC % Rank
US 		99.72% 2.58% 107.74% 9.79%
Non US 		0.00% 0.00% 97.07% 58.76%

PSC - Expenses

Operational Fees

PSC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.38% 0.01% 38.30% 87.71%
Management Fee 0.38% 0.00% 1.50% 17.01%
12b-1 Fee N/A 0.00% 1.00% N/A
Administrative Fee N/A 0.01% 0.45% N/A

Sales Fees

PSC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 3.50% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

PSC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 1.00% 2.00% N/A

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.

PSC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 93.10% 1.00% 314.00% 87.12%

PSC - Distributions

Dividend Yield Analysis

PSC Category Low Category High PSC % Rank
Dividend Yield 0.79% 0.00% 42.47% 50.47%

Dividend Distribution Analysis

PSC Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annually SemiAnnual Annual

Net Income Ratio Analysis

PSC Category Low Category High PSC % Rank
Net Income Ratio 1.39% -2.40% 2.49% 1.90%

Capital Gain Distribution Analysis

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

Distributions History

View More +

PSC - Fund Manager Analysis

Managers

Jeffrey Schwarte

Start Date

Tenure

Tenure Rank

Sep 21, 2016

5.69

5.7%

Jeff is a portfolio manager at Principal Global Equities. Jeff is an active member in the group’s research and development activities. He joined the equities group in 2000 as an analyst and named a portfolio manager in 2001. He has been with Principal since 1993. He received a bachelor's degree in accounting from the University of Northern Iowa. Jeff has earned the right to use the CFA designation. He is a Certified Internal Auditor and a Fellow of the Life Management Institute (FLMI). Jeff is a member of the CFA Society of Iowa and the CFA Institute.

Aaron Siebel

Start Date

Tenure

Tenure Rank

Mar 03, 2020

2.24

2.2%

Aaron J. Siebel has been with Principal® since 2005. He earned a BA in Finance from the University of Iowa in 2005.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 49.61 7.18 2.58

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