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Name

As of 05/19/2023

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 SmallCap Fund

PSMCX | Fund

$18.72

$1.24 B

0.00%

1.96%

Vitals

YTD Return

3.3%

1 yr return

-1.3%

3 Yr Avg Return

6.4%

5 Yr Avg Return

-3.3%

Net Assets

$1.24 B

Holdings in Top 10

15.9%

52 WEEK LOW AND HIGH

$18.8
$17.03
$20.54

Expenses

OPERATING FEES

Expense Ratio 1.96%

SALES FEES

Front Load N/A

Deferred Load 1.00%

TRADING FEES

Turnover 38.00%

Redemption Fee N/A

Min Investment

Standard (Taxable)

$1,000

IRA

N/A

Fund Classification

Fund Type

Open End Mutual Fund

Name

As of 05/19/2023

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 SmallCap Fund

PSMCX | Fund

$18.72

$1.24 B

0.00%

1.96%

PSMCX - Profile

Distributions

  • YTD Total Return 3.3%
  • 3 Yr Annualized Total Return 6.4%
  • 5 Yr Annualized Total Return -3.3%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio -1.18%
DIVIDENDS
  • Dividend Yield 0.0%
  • 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
    Phil Nordhus

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, 2021, this range was between approximately $31.6 million and $14.0 billion). Those managing the Fund’s investments seek to invest in securities of companies that they believe have improving and sustainable business fundamentals, rising investor expectations, and attractive relative valuations.
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PSMCX - Performance

Return Ranking - Trailing

Period PSMCX Return Category Return Low Category Return High Rank in Category (%)
YTD 3.3% -29.2% 152.4% 4.08%
1 Yr -1.3% -43.9% 161.5% 11.07%
3 Yr 6.4%* -21.6% 36.4% 33.33%
5 Yr -3.3%* -23.1% 10.2% 48.73%
10 Yr 0.5%* -10.8% 15.6% 50.28%

* Annualized

Return Ranking - Calendar

Period PSMCX Return Category Return Low Category Return High Rank in Category (%)
2023 -21.1% -71.0% 118.2% 55.94%
2022 3.9% -17.3% 18.6% 59.87%
2021 5.5% -25.4% 350.1% 19.66%
2020 4.3% -31.9% 8.4% 65.90%
2019 -5.8% -62.1% 21.1% 74.77%

Total Return Ranking - Trailing

Period PSMCX Return Category Return Low Category Return High Rank in Category (%)
YTD 3.3% -29.2% 152.4% 4.08%
1 Yr -1.3% -43.9% 161.5% 11.07%
3 Yr 6.4%* -21.6% 36.4% 33.33%
5 Yr -3.3%* -23.1% 10.2% 56.34%
10 Yr 0.5%* -7.3% 15.6% 75.00%

* Annualized

Total Return Ranking - Calendar

Period PSMCX Return Category Return Low Category Return High Rank in Category (%)
2023 -21.1% -71.0% 118.2% 55.94%
2022 3.9% -17.3% 18.6% 59.87%
2021 5.5% -25.4% 28.2% 19.66%
2020 4.3% -31.9% 8.4% 66.07%
2019 -5.8% -19.9% 26.5% 82.45%

NAV & Total Return History

PSMCX - Holdings

Concentration Analysis

PSMCX Category Low Category High PSMCX % Rank
Net Assets 1.24 B 1.48 M 120 B 24.76%
Number of Holdings 165 2 2519 46.86%
Net Assets in Top 10 202 M 6 K 4.6 B 23.99%
Weighting of Top 10 15.94% 2.6% 100.0% 48.86%

Top 10 Holdings

  1. Principal Government Money Market Instl 3.22%
  2. Caesars Entertainment Inc 1.66%
  3. PDC Energy Inc 1.64%
  4. Carvana Co Class A 1.61%
  5. Rexford Industrial Realty Inc 1.58%
  6. Darling Ingredients Inc 1.57%
  7. First Industrial Realty Trust Inc 1.45%
  8. The Beauty Health Co Ordinary Shares - Class A 1.45%
  9. Mastec Inc 1.44%
  10. Bj's Wholesale Club Holdings Inc 1.38%

Asset Allocation

Weighting Return Low Return High PSMCX % Rank
Stocks 		96.66% 25.32% 100.32% 75.68%
Cash 		3.34% -79.10% 74.68% 22.87%
Preferred Stocks 		0.00% 0.00% 5.85% 18.36%
Other 		0.00% -8.80% 6.95% 19.32%
Convertible Bonds 		0.00% 0.00% 3.17% 17.39%
Bonds 		0.00% 0.00% 72.07% 17.55%

Stock Sector Breakdown

Weighting Return Low Return High PSMCX % Rank
Industrials 		17.31% 2.46% 37.42% 42.44%
Technology 		15.39% 0.00% 54.70% 30.57%
Financial Services 		15.26% 0.00% 35.52% 55.12%
Healthcare 		13.64% 0.00% 26.53% 46.83%
Consumer Cyclical 		13.60% 0.99% 47.79% 15.77%
Real Estate 		7.55% 0.00% 29.43% 46.18%
Energy 		5.17% 0.00% 37.72% 67.64%
Consumer Defense 		5.13% 0.00% 18.87% 27.15%
Utilities 		3.17% 0.00% 18.58% 26.34%
Basic Materials 		3.06% 0.00% 18.66% 87.32%
Communication Services 		0.71% 0.00% 14.85% 91.22%

Stock Geographic Breakdown

Weighting Return Low Return High PSMCX % Rank
US 		94.30% 24.89% 100.00% 70.69%
Non US 		2.36% 0.00% 36.31% 33.82%

PSMCX - Expenses

Operational Fees

PSMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.96% 0.03% 2.78% 5.86%
Management Fee 0.73% 0.00% 1.50% 47.99%
12b-1 Fee 1.00% 0.00% 1.00% 84.97%
Administrative Fee N/A 0.01% 0.45% N/A

Sales Fees

PSMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 0.00% 5.75% N/A
Deferred Load 1.00% 1.00% 5.00% 17.24%

Trading Fees

PSMCX 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.

PSMCX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 38.00% 0.20% 314.00% 37.83%

PSMCX - Distributions

Dividend Yield Analysis

PSMCX Category Low Category High PSMCX % Rank
Dividend Yield 0.00% 0.00% 28.82% 39.74%

Dividend Distribution Analysis

PSMCX Category Low Category High Category Mod
Dividend Distribution Frequency Annually Annually Quarterly Annually

Net Income Ratio Analysis

PSMCX Category Low Category High PSMCX % Rank
Net Income Ratio -1.18% -2.40% 2.49% 97.38%

Capital Gain Distribution Analysis

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

Distributions History

View More +

PSMCX - Fund Manager Analysis

Managers

Phil Nordhus

Start Date

Tenure

Tenure Rank

May 19, 2006

16.04

16.0%

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.

Brian Pattinson

Start Date

Tenure

Tenure Rank

Jul 20, 2011

10.87

10.9%

Brian is a portfolio manager at Principal Global Equities. Brian leads the global small-cap team which encompasses international small-cap and U.S. small-cap strategies. He serves as the lead portfolio manager for the firm's international portfolios while providing oversight to the U.S. small-cap team. Brian also leads the global small-cap team’s research and development efforts. He joined the firm in 1994 and became a portfolio manager in 2001. Brian 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.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 49.61 7.0 2.58

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