Principal Securities, Inc. Asset Management

Principal Securities, Inc.

$4.14 Trillion
Q3 2024

Stock List

Stock	Market Cap.	Holding Value (Reported)	# of Shares.	Last Trade	Trade History
PAX Patria Investments LTD	$640M	$9.81 Million 0.0% of portfolio	878	Q1 2024 Added 43.7%
SII Sprott Inc.	$1.08B	$9.14 Million 0.0% of portfolio	211	Q4 2023 New
TPG Tpg Inc.	$4.86B	$9.09 Million 0.0% of portfolio	158	Q3 2024 Added 75.56%
NZF Nuveen Municipal Credit Income Fund	$0	$7.78 Million 0.0% of portfolio	594	Q3 2024 Reduced 94.2%
QQQX Nuveen Nasdaq 100 Dynamic Overwrite Fund	$0	$7.54 Million 0.0% of portfolio	300	Q2 2024 Reduced 21.05%
BTO John Hancock Financial Opportunities Fund	$0	$7.46 Million 0.0% of portfolio	225	Q4 2023 New
AMG Affiliated Managers Group, Inc.	$7.21B	$6.58 Million 0.0% of portfolio	37	Q3 2024 Added 516.67%
PHYS Sprott Physical Gold Trust	$0	$6.42 Million 0.0% of portfolio	315	Q4 2023 New
EMO Clear Bridge Energy Midstream Opportunity Fund Inc.	$0	$6.41 Million 0.0% of portfolio	152	Q3 2024 Reduced 5.0%
BME Black Rock Health Sciences Trust	$0	$6.16 Million 0.0% of portfolio	147	Q1 2024 Reduced 14.53%
BEN Franklin Resources Inc	$9.88B	$5.96 Million 0.0% of portfolio	296	Q3 2024 Reduced 77.46%
PSLV Sprott Physical Silver Trust	$0	$5.77 Million 0.0% of portfolio	552	Q2 2024 Reduced 26.6%
IGR Cbre Global Real Estate Income Fund	$0	$5.51 Million 0.0% of portfolio	838	Q3 2024 Added 8.83%
CLM Cornerstone Strategic Value Fund Inc	$0	$5.38 Million 0.0% of portfolio	700	Q4 2023 New
VBF Invesco Bond Fund	$0	$4.92 Million 0.0% of portfolio	289	Q3 2024 Added 35.05%
PGP Pimco Global Stocks Plus & Income Fund	$0	$4.15 Million 0.0% of portfolio	495	Q3 2024 Reduced 43.04%
PFLT Pennant Park Floating Rate Capital Ltd.	$0	$3.65 Million 0.0% of portfolio	315	Q3 2024 Added 215.0%
DMO Western Asset Mortgage Opportunity Fund Inc.	$0	$3.51 Million 0.0% of portfolio	293	Q3 2024 Reduced 45.34%
AWP Aberdeen Global Premier Properties Fund	$0	$2.8 Million 0.0% of portfolio	607	Q3 2024 Added 2.88%
VRTS Virtus Investment Partners, Inc.	$1.53B	$2.72 Million 0.0% of portfolio	13	Q2 2024 Reduced 7.14%
VGM Invesco Trust For Investment Grade Municipals	$0	$2.64 Million 0.0% of portfolio	250	Q4 2023 New
NIE Virtus Allianz Gi Equity & Convertible Income Fund	$0	$2.35 Million 0.0% of portfolio	102	Q4 2023 New
NCV Virtus Allianz Gi Convertible & Income Fund	$0	$2.16 Million 0.0% of portfolio	616	Q3 2024 Reduced 45.34%
IFN India Fund Inc	$0	$2.09 Million 0.0% of portfolio	110	Q4 2023 New
BCX Black Rock Resources & Commodities Strategy Trust	$0	$1.63 Million 0.0% of portfolio	170	Q1 2024 New
HFRO Highland Income Fund\Ma	$0	$1.15 Million 0.0% of portfolio	188	Q3 2024 Added 74.07%
THQ Tekla Healthcare Opportunities Fund	$0	$1.1 Million 0.0% of portfolio	50	Q1 2024 Reduced 50.0%
HRZN Horizon Technology Finance Corp	$0	$884,000 0.0% of portfolio	83	Q2 2024 Reduced 18.63%
OCCI Ofs Credit Company, Inc.	$0	$689,000 0.0% of portfolio	93	Q3 2024 Reduced 99.95%
GRX Gabelli Healthcare & Wellness Rx Trust	$0	$548,000 0.0% of portfolio	50	Q4 2023 New
NOAH Noah Holdings LTD	$673M	$210,000 0.0% of portfolio	17	Q4 2023 New
MIN Mfs Intermediate Income Trust	$0	$35,000 0.0% of portfolio	13	Q4 2023 New

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