As filed with the Securities and Exchange Commission on August 31, 2009. |
Registration No. 333-161012 |
U.S. SECURITIES AND EXCHANGE COMMISSION |
WASHINGTON, D.C. 20549 |
FORM N-14/A |
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] |
[XX] Pre-Effective Amendment No. 1 |
[ ] Post-Effective Amendment No. |
PRINCIPAL FUNDS, INC. |
f/k/a Principal Investors Fund, Inc. |
(Exact name of Registrant as specified in charter) |
680 8th Street, Des Moines, Iowa 50392-2080 |
(Address of Registrant's Principal Executive Offices) |
515-248-3842 |
(Registrant's Telephone Number, Including Area Code) |
Michael D. Roughton |
Counsel, Principal Funds, Inc. |
711 High Street |
Des Moines, Iowa 50392-2080 |
(Name and Address of Agent for Service) |
Copies of all communications to: |
John W. Blouch |
Dykema Gossett PLLC |
1300 I Street, N.W. |
Washington, D.C. 20005-3353 |
202-906-8714; 202-906-8669 (Fax) |
Approximate date of proposed public offering: As soon as practicable after this Registration Statement |
becomes effective. |
Title of Securities Being Registered: Class A, Class B, and Class C |
Shares common stock, par value $.01 per share. |
No filing fee is due because an indefinite number of shares have been registered in reliance on Section 24(f) |
under the Investment Company Act of 1940, as amended. |
It is proposed that this filing will become effective on September 23, 2009, pursuant to Rule 488 under the |
Securities Act of 1993. |
NOTE: This Pre-Effective Amendment No. 1 is being filed solely to delay the effective date of this Registration |
Statement. This Pre-Effective Amendment No. 1 is not intended to amend or supersede any information |
contained in the Registration Statement. |
PRINCIPAL FUNDS, INC. |
PART A |
PROSPECTUS/PROXY STATEMENT |
Part A is incorporated by reference to Part A of the Registration Statement on Form N-14 of |
Principal Funds, Inc. (“the Registrant”) under the Securities Act of 1933, as amended, filed |
with the Securities and Exchange Commission (“the SEC”) on August 4, 2009 (accession no. |
0000898745-09-000363) (“the Registration Statement”). |
PRINCIPAL FUNDS, INC. |
PART B |
STATEMENT OF ADDITIONAL INFORMATION |
Part B is incorporated by reference to Part B of the Registrant’s Registration Statement filed |
with the SEC on August 4, 2009. |
PRINCIPAL FUNDS, INC. |
PART C |
OTHER INFORMATION |
Part C is incorporated by reference to Part C of the Registrant’s Registration Statement filed |
with the SEC on August 4, 2009. |
SIGNATURES |
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the |
Registrant has duly caused this Pre-Effective Amendment to the Registration Statement to be signed on its |
behalf by the undersigned, duly authorized in the City of Des Moines and State of Iowa, on the 31st day of |
August, 2009. |
Principal Funds, Inc. |
(Registrant) |
/s/ R. C. Eucher |
R. C. Eucher |
Chairman of the Board and |
Chief Executive Officer |
Attest: |
/s/ Beth Wilson |
Beth Wilson |
Vice President and Secretary |
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below | ||
by the following persons in the capacities and on the dates indicated. | ||
Signature | Title | Date |
/s/ R. C. Eucher | ||
Chairman of the Board | August 31, 2009 | |
R. C. Eucher | and Chief Executive | |
Officer (Principal | ||
Executive Officer) | ||
/s/ L. A Rasmussen | ||
Vice President, | August 31, 2009 | |
L. A. Rasmussen | Controller and Chief | |
Financial Officer | ||
(Principal Financial | ||
Officer and Controller) | ||
/s/ N. M. Everett | ||
President and Director | August 31, 2009 | |
N. M. Everett | ||
/s/ M. J. Beer | ||
Executive Vice President | August 31, 2009 | |
M. J. Beer | ||
(E. Ballantine)* | ||
Director | August 31, 2009 | |
E. Ballantine | ||
(K. Blake)* | ||
Director | August 31, 2009 | |
K. Blake | ||
(C. Damos)* | ||
Director | August 31, 2009 | |
C. Damos | ||
(R. W. Gilbert)* | ||
Director | August 31, 2009 | |
R. W. Gilbert | ||
(M. A. Grimmett)* | ||
Director | August 31, 2009 | |
M. A. Grimmett | ||
(F. S. Hirsch)* | ||
Director | August 31, 2009 | |
F. S. Hirsch | ||
(W. C. Kimball)* | ||
Director | August 31, 2009 | |
W. C. Kimball |
(B. A. Lukavsky)* | |||
Director | August 31, 2009 | ||
B. A. Lukavsky | |||
(W. G. Papesh)* | |||
Director | August 31, 2009 | ||
W. G. Papesh | |||
(D. Pavelich)* | |||
Director�� | August 31, 2009 | ||
D. Pavelich | |||
*By | /s/ M. J. Beer | ||
M. J. Beer | |||
Executive Vice President | |||
*Pursuant to Powers of Attorney previously filed on | |||
August 4, 2009 |