(Pursuant to Regulation 59A of SEBI (Mutual Funds) Regulations, 1996) Principal Emerging Bluechip Fund (An open-ended Equity Scheme)

Transcription

1 Principal Mutual Fund (CIN : U25000MH1991PTC064092) Investment Manager:Principal Pnb Asset Management Company Private Limited Exchange Plaza, B Wing, Ground Floor, NSE Building, Bandra Kurla Complex, Bandra (East), Mumbai Half Yearly Portfolio Statement of the Schemes of Principal Mutual Fund as on September 30, 2016 (Pursuant to Regulation 59A of SEBI (Mutual Funds) Regulations, 1996) Principal Large Cap Fund (An open-ended Equity Scheme) HDFC Bank Ltd INE040A01026 Banks 160,449 2, Housing Development Finance Corpn. Ltd INE001A01036 Finance 113,078 1, Maruti Suzuki India Ltd INE585B01010 Auto 21,671 1, ITC Ltd INE154A01025 Consumer Non Durables 473,766 1, State Bank of India INE062A01020 Banks 444,442 1, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 252,267 1, Tata Motors Ltd INE155A01022 Auto 198,185 1, IndusInd Bank Ltd INE095A01012 Banks 88,162 1, Power Grid Corporation of India Ltd INE752E01010 Power 595,883 1, Infosys Ltd INE009A01021 Software 99,253 1, Divi s Laboratories Ltd INE361B01024 Pharmaceuticals 78,927 1, Britannia Industries Ltd INE216A01022 Consumer Non Durables 29, Shree Cements Ltd INE070A01015 Cement 5, Kotak Mahindra Bank Ltd INE237A01028 Banks 113, Larsen & Toubro Ltd INE018A01030 Construction Project 60, ICICI Bank Ltd INE090A01021 Banks 330, Ultratech Cement Ltd INE481G01011 Cement 21, Abbott India Ltd INE358A01014 Pharmaceuticals 16, Tata Motors Ltd (A-DVR) IN9155A01020 Auto 224, The India Cements Ltd INE383A01012 Cement 445, HCL Technologies Ltd INE860A01027 Software 79, Reliance Industries Ltd INE002A01018 Petroleum Products 54, Tech Mahindra Ltd INE669C01036 Software 135, Bharat Petroleum Corporation Ltd INE029A01011 Petroleum Products 86, United Breweries Ltd INE686F01025 Consumer Non Durables 55, Natco Pharma Ltd INE987B01026 Pharmaceuticals 83, Castrol India Ltd INE172A01027 Petroleum Products 92, Yes Bank Ltd INE528G01019 Banks 33, Colgate Palmolive (India) Ltd INE259A01022 Consumer Non Durables 43, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 46, Tata Communications Ltd INE151A01013 Telecom - Services 67, Aditya Birla Nuvo Ltd INE069A01017 Services 24, Dish TV India Ltd INE836F01026 Media & Entertainment 352, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 245, The Federal Bank Ltd INE171A01029 Banks 431, Bank of Baroda INE028A01039 Banks 181, Tata Consultancy Services Ltd INE467B01029 Software 12, Shriram Transport Finance Company Ltd INE721A01013 Finance 25, Axis Bank Ltd INE238A01034 Banks 50, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 35, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 52, Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 26, Bajaj Finserv Ltd INE918I01018 Finance 6, Bharat Electronics Ltd INE263A01016 Industrial Capital Goods 10, Total 29, B) Derivatives NIFTY Index Future October 2016 Index Future (11,475) (991.51) (3.25) Total (991.51) (3.25) i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) 1, Net Assets 30, Principal Balanced Fund (An open-ended Balanced Scheme) Name of Instrument ISIN Industry / Ratings Quantity Market Value % of NAV HDFC Bank Ltd INE040A01026 Banks 11, ITC Ltd INE154A01025 Consumer Non Durables 41, ICICI Bank Ltd INE090A01021 Banks 38, State Bank of India INE062A01020 Banks 37, The India Cements Ltd INE383A01012 Cement 63, Castrol India Ltd INE172A01027 Petroleum Products 17, Tata Motors Ltd INE155A01022 Auto 15, Escorts Ltd INE042A01014 Auto 19, Reliance Industries Ltd INE002A01018 Petroleum Products 6, Dwarikesh Sugar Industries Ltd INE366A01033 Consumer Non Durables 30, Rico Auto Industries Ltd INE209B01025 Auto Ancillaries 111, Larsen & Toubro Ltd INE018A01030 Construction Project 4, Infosys Ltd INE009A01021 Software 6, Bajaj Electricals Ltd INE193E01025 Consumer Durables 24, Tata Communications Ltd INE151A01013 Telecom - Services 10, Housing Development Finance Corpn. Ltd INE001A01036 Finance 4, Century Textiles & Industries Ltd INE055A01016 Cement 5, Maharashtra Seamless Ltd INE271B01025 Ferrous Metals 24, Neuland Laboratories Ltd INE794A01010 Pharmaceuticals 5, Jain Irrigation Systems Ltd INE175A01038 Industrial Products 51, Britannia Industries Ltd INE216A01022 Consumer Non Durables 1, Dewan Housing Finance Corporation Ltd INE202B01012 Finance 15, Bank of Baroda INE028A01039 Banks 26, Axis Bank Ltd INE238A01034 Banks 7, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 4, Maruti Suzuki India Ltd INE585B01010 Auto Hindustan Construction Company Ltd INE549A01026 Construction Project 116, Bombay Burmah Trading Corporation Ltd INE050A01025 Consumer Non Durables 6, JK Cement Ltd INE823G01014 Cement 4, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 8, NIIT Technologies Ltd INE591G01017 Software 8, Ultratech Cement Ltd INE481G01011 Cement Insecticides (India) Ltd INE070I01018 Pesticides 7, TV Today Network Ltd INE038F01029 Media & Entertainment 10, Birla Corporation Ltd INE340A01012 Cement 4, The Federal Bank Ltd INE171A01029 Banks 43, Jet Airways (India) Ltd INE802G01018 Transportation 6, Asahi India Glass Ltd INE439A01020 Auto Ancillaries 16, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 21, Indraprastha Gas Ltd INE203G01019 Gas 3, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 3, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 5, Kotak Mahindra Bank Ltd INE237A01028 Banks 3, HCL Technologies Ltd INE860A01027 Software 3, Bajaj Auto Ltd INE917I01010 Auto United Spirits Ltd INE854D01016 Consumer Non Durables Tata Consultancy Services Ltd INE467B01029 Software Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 9, Hero MotoCorp Ltd INE158A01026 Auto Natco Pharma Ltd INE987B01026 Pharmaceuticals 3, Navkar Corporation Ltd INE278M01019 Transportation 10, National Aluminium Company Ltd INE139A01034 Non - Ferrous Metals 41, Shriram Transport Finance Company Ltd INE721A01013 Finance 1, Chennai Super Kings Ltd@ INE852S01026 Media & Entertainment 30, *** Total 2, I ** 10.70% Aspire Home Finance INE658R07141 [ICRA]AA Corporation Ltd-M-05-Jun-2019 Total % Government of India Security-M-30-Sep-2030 IN Sovereign 100, Total I i) Treasury Bill T-BILL 91 DAY-M-15-Dec-2016 IN002016Y064 Sovereign 6, Total ii) Reverse Repo and CBLO Total Principal Dynamic Bond Fund - INF173K01GL9 Mutual Fund 2,936, Direct Plan - Total V. Cash & Cash Equivalents VI. Other Receivables - (Payables) (13.72) (0.36) Net Assets 3, Principal Emerging Bluechip Fund (An open-ended Equity Scheme) Eicher Motors Ltd INE066A01013 Auto 10,458 2, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 441,324 1, Britannia Industries Ltd INE216A01022 Consumer Non Durables 52,968 1, IndusInd Bank Ltd INE095A01012 Banks 141,900 1, Shree Cements Ltd INE070A01015 Cement 9,747 1, Divi s Laboratories Ltd INE361B01024 Pharmaceuticals 127,860 1, Bajaj Finance Ltd INE296A01024 Finance 151,380 1, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 161,745 1, Amara Raja Batteries Ltd INE885A01032 Auto Ancillaries 126,600 1, Kotak Mahindra Bank Ltd INE237A01028 Banks 156,600 1, Torrent Pharmaceuticals Ltd INE685A01028 Pharmaceuticals 74,808 1, HDFC Bank Ltd INE040A01026 Banks 94,908 1, ICICI Bank Ltd INE090A01021 Banks 444,600 1, Navin Fluorine International Ltd INE048G01018 Chemicals 50,400 1, AIA Engineering Ltd INE212H01026 Industrial Products 85,890 1, Motherson Sumi Systems Ltd INE775A01035 Auto Ancillaries 345,600 1, Indraprastha Gas Ltd INE203G01019 Gas 135,000 1, Sadbhav Engineering Ltd INE226H01026 Construction Project 369,000 1, MRF Ltd INE883A01011 Auto Ancillaries 1,998 1, SRF Ltd INE647A01010 Textile Products 55, Natco Pharma Ltd INE987B01026 Pharmaceuticals 165, Infosys Ltd INE009A01021 Software 94, State Bank of India INE062A01020 Banks 389, Petronet LNG Ltd INE347G01014 Gas 279, The Ramco Cements Ltd INE331A01037 Cement 152, Mold-Tek Packaging Ltd INE893J01029 Industrial Products 468, Kajaria Ceramics Ltd INE217B01028 Construction 64, Voltas Ltd INE226A01021 Construction Project 235, Tata Chemicals Ltd INE092A01019 Chemicals 169, Finolex Cables Ltd INE235A01022 Industrial Products 201, The India Cements Ltd INE383A01012 Cement 604, Gateway Distriparks Ltd INE852F01015 Transportation 345, City Union Bank Ltd INE491A01021 Banks 648, Atul Ltd INE100A01010 Chemicals 37, Symphony Ltd INE225D01027 Consumer Durables 74, Finolex Industries Ltd INE183A01016 Industrial Products 186, NBCC (India) Ltd INE095N01023 Construction 324, Vardhman Textiles Ltd INE825A01012 Textiles - Cotton 75, UPL Ltd INE628A01036 Pesticides 118, Bharat Financial Inclusion Ltd INE180K01011 Finance 90, Dynamatic Technologies Ltd INE221B01012 Auto Ancillaries 25, Orient Cement Ltd INE876N01018 Cement 351, Gabriel India Ltd INE524A01029 Auto Ancillaries 639, Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 294, Triveni Engineering & Industries Ltd INE256C01024 Consumer Non Durables 1,188, Gujarat State Petronet Ltd INE246F01010 Gas 435, Indian Oil Corporation Ltd INE242A01010 Petroleum Products 115, Yes Bank Ltd INE528G01019 Banks 53, Manpasand Beverages Ltd INE122R01018 Consumer Non Durables 88, S. P. Apparels Ltd INE212I01016 Textile Products 192, Orient Paper & Industries Ltd INE592A01026 Consumer Durables 784, Sun TV Network Ltd INE424H01027 Media & Entertainment 123, Cummins India Ltd INE298A01020 Industrial Products 67, Aditya Birla Nuvo Ltd INE069A01017 Services 45, KEC International Ltd INE389H01022 Construction Project 468, Dwarikesh Sugar Industries Ltd INE366A01033 Consumer Non Durables 240, Cyient Ltd INE136B01020 Software 118, Pidilite Industries Ltd INE318A01026 Chemicals 80, Bata India Ltd INE176A01028 Consumer Durables 108, FAG Bearings India Ltd INE513A01014 Industrial Products 13, Hindalco Industries Ltd INE038A01020 Non - Ferrous Metals 339, Crompton Greaves Consumer Electricals Ltd INE299U01018 Consumer Durables 328, Ramkrishna Forgings Ltd INE399G01015 Industrial Products 135, Cholamandalam Investment and INE121A01016 Finance 39, Finance Company Ltd Navkar Corporation Ltd INE278M01019 Transportation 237, Tata Communications Ltd INE151A01013 Telecom - Services 77, Hindustan Construction Company Ltd INE549A01026 Construction Project 1,080, Transport Corporation of India Ltd INE688A01022 Transportation 150, Total 61, TCI Express Ltd INE586V01016 Transportation 75, Total C) Derivatives United Spirits Ltd - October 2016 Stock Future 14, Total i) Reverse Repo and CBLO 1, Total 1, II Principal Cash Management Fund - INF173K01DA9 Mutual Fund 9, Total IV. Cash & Cash Equivalents V. Other Receivables - (Payables) (690.99) (1.09) Net Assets 63, Principal Personal Tax Saver Fund (An open-ended Equity Linked Savings Scheme) HDFC Bank Ltd INE040A01026 Banks 171,253 2, Housing Development Finance Corpn. Ltd INE001A01036 Finance 122,256 1, Maruti Suzuki India Ltd INE585B01010 Auto 23,130 1, ITC Ltd INE154A01025 Consumer Non Durables 505,657 1, State Bank of India INE062A01020 Banks 474,492 1, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 269,256 1, IndusInd Bank Ltd INE095A01012 Banks 94,955 1, Power Grid Corporation of India Ltd INE752E01010 Power 640,329 1, Tata Motors Ltd INE155A01022 Auto 210,563 1, Infosys Ltd INE009A01021 Software 105,934 1, Divi s Laboratories Ltd INE361B01024 Pharmaceuticals 84,338 1, Britannia Industries Ltd INE216A01022 Consumer Non Durables 31,337 1, Shree Cements Ltd INE070A01015 Cement 5,877 1, Kotak Mahindra Bank Ltd INE237A01028 Banks 122, Larsen & Toubro Ltd INE018A01030 Construction Project 64, ICICI Bank Ltd INE090A01021 Banks 354, Ultratech Cement Ltd INE481G01011 Cement 22, Abbott India Ltd INE358A01014 Pharmaceuticals 17, Tata Motors Ltd (A-DVR) IN9155A01020 Auto 241, The India Cements Ltd INE383A01012 Cement 475, HCL Technologies Ltd INE860A01027 Software 85, Reliance Industries Ltd INE002A01018 Petroleum Products 57, Tech Mahindra Ltd INE669C01036 Software 144, Bharat Petroleum Corporation Ltd INE029A01011 Petroleum Products 91, United Breweries Ltd INE686F01025 Consumer Non Durables 60, Natco Pharma Ltd INE987B01026 Pharmaceuticals 86, Castrol India Ltd INE172A01027 Petroleum Products 99, Colgate Palmolive (India) Ltd INE259A01022 Consumer Non Durables 47, Yes Bank Ltd INE528G01019 Banks 36, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 49, Tata Communications Ltd INE151A01013 Telecom - Services 72, Aditya Birla Nuvo Ltd INE069A01017 Services 26, Dish TV India Ltd INE836F01026 Media & Entertainment 384, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 267, The Federal Bank Ltd INE171A01029 Banks 460, Bank of Baroda INE028A01039 Banks 194, Tata Consultancy Services Ltd INE467B01029 Software 13, Shriram Transport Finance Company Ltd INE721A01013 Finance 27, Axis Bank Ltd INE238A01034 Banks 53, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 38, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 56, Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 28, Bajaj Finserv Ltd INE918I01018 Finance 7, Bharat Electronics Ltd INE263A01016 Industrial Capital Goods 11, Apollo Tyres Ltd # Auto Ancillaries *** Total 31, Punjab Wireless Systems Ltd INE181A01010 Telecom - Equipment & 8, *** Accessories Virtual Dynamics Software Ltd INE406B01019 IT Consulting & Services 200, *** Total 0.00 *** i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (172.09) (0.53) Net Assets 32, Principal Growth Fund (An open-ended Equity Scheme) HDFC Bank Ltd INE040A01026 Banks 177,956 2, ITC Ltd INE154A01025 Consumer Non Durables 626,601 1, ICICI Bank Ltd INE090A01021 Banks 559,685 1, State Bank of India INE062A01020 Banks 543,759 1, The India Cements Ltd INE383A01012 Cement 839,225 1, Tata Motors Ltd INE155A01022 Auto 225,596 1, Reliance Industries Ltd INE002A01018 Petroleum Products 103,666 1, Castrol India Ltd INE172A01027 Petroleum Products 210,941 1, Larsen & Toubro Ltd INE018A01030 Construction Project 68, Infosys Ltd INE009A01021 Software 89, Maruti Suzuki India Ltd INE585B01010 Auto 16, Housing Development Finance Corpn. Ltd INE001A01036 Finance 62, Tata Communications Ltd INE151A01013 Telecom - Services 150, Escorts Ltd INE042A01014 Auto 223, Bajaj Electricals Ltd INE193E01025 Consumer Durables 323, Bombay Burmah Trading Corporation Ltd INE050A01025 Consumer Non Durables 130, Dewan Housing Finance Corporation Ltd INE202B01012 Finance 257, Britannia Industries Ltd INE216A01022 Consumer Non Durables 21, Bank of Baroda INE028A01039 Banks 434, Jain Irrigation Systems Ltd INE175A01038 Industrial Products 811, Century Textiles & Industries Ltd INE055A01016 Cement 70, KEC International Ltd INE389H01022 Construction Project 527, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 72, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 144, United Spirits Ltd INE854D01016 Consumer Non Durables 23, Ultratech Cement Ltd INE481G01011 Cement 13, The Federal Bank Ltd INE171A01029 Banks 702, Abbott India Ltd INE358A01014 Pharmaceuticals 10, Birla Corporation Ltd INE340A01012 Cement 66, Asahi India Glass Ltd INE439A01020 Auto Ancillaries 249, JK Cement Ltd INE823G01014 Cement 53, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 99, Kalpataru Power Transmission Ltd INE220B01022 Power 169, Hindustan Construction Company Ltd INE549A01026 Construction Project 1,231, Balrampur Chini Mills Ltd INE119A01028 Consumer Non Durables 397, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 327, RBL Bank Ltd INE976G01028 Banks 145, Indraprastha Gas Ltd INE203G01019 Gas 54, Yes Bank Ltd INE528G01019 Banks 33, Axis Bank Ltd INE238A01034 Banks 77, Canara Bank INE476A01014 Banks 134, DLF Ltd INE271C01023 Construction 282, Union Bank of India INE692A01016 Banks 287, Bajaj Auto Ltd INE917I01010 Auto 13, City Union Bank Ltd INE491A01021 Banks 294, Kotak Mahindra Bank Ltd INE237A01028 Banks 49, Jet Airways (India) Ltd INE802G01018 Transportation 80, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 51, Tata Consultancy Services Ltd INE467B01029 Software 15, Ashoka Buildcon Ltd INE442H01029 Construction Project 217, Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 156, Hero MotoCorp Ltd INE158A01026 Auto 10, HCL Technologies Ltd INE860A01027 Software 44, IRB Infrastructure Developers Ltd INE821I01014 Construction 144, Navkar Corporation Ltd INE278M01019 Transportation 174, Natco Pharma Ltd INE987B01026 Pharmaceuticals 54, National Aluminium Company Ltd INE139A01034 Non - Ferrous Metals 689, Prestige Estates Projects Ltd INE811K01011 Construction 158, Rattanindia Power Ltd INE399K01017 Power 3,622, Shriram Transport Finance Company Ltd INE721A01013 Finance 23, The Ramco Cements Ltd INE331A01037 Cement 43, Gateway Distriparks Ltd INE852F01015 Transportation 100, Cox & Kings Ltd INE008I01026 Transportation 99, Milestone Global Ltd** INE151H01018 Construction 100, Chennai Super Kings INE852S01026 Media & Entertainment 511, *** Total 38, Noble Brothers Impex Ltd Personal Products 93, *** Balmer Lawrie Freight Containers Ltd Travel 54, *** Mukerian Papers Ltd INE348C01011 Paper Products 50, *** Crescent Finstock Ltd INE147E01013 Diversified Financial Services 39, *** Precision Fasteners Ltd INE604A01011 Auto Ancillaries *** Sangam Health Care Products Ltd INE431E01011 Health Care Equipment 200, *** Virtual Dynamics Software Ltd INE406B01019 IT Consulting & Services 176, *** Total 0.02 *** i) Reverse Repo and CBLO 2, Total 2, III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (193.88) (0.47) Net Assets 40, Principal Index Fund - Nifty (An open-ended Index Scheme) Name of Instrument ISIN Industry / Rating Quantity Market Value % of NAV HDFC Bank Ltd INE040A01026 Banks 9, Housing Development Finance Corpn. Ltd INE001A01036 Finance 7, Infosys Ltd INE009A01021 Software 9, ITC Ltd INE154A01025 Consumer Non Durables 39, Reliance Industries Ltd INE002A01018 Petroleum Products 7, ICICI Bank Ltd INE090A01021 Banks 26, Tata Consultancy Services Ltd INE467B01029 Software 2, Larsen & Toubro Ltd INE018A01030 Construction Project 3, Tata Motors Ltd INE155A01022 Auto 8, Axis Bank Ltd INE238A01034 Banks 7, Kotak Mahindra Bank Ltd INE237A01028 Banks 5, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 5, State Bank of India INE062A01020 Banks 14, Maruti Suzuki India Ltd INE585B01010 Auto Mahindra & Mahindra Ltd INE101A01026 Auto 2, Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 3, IndusInd Bank Ltd INE095A01012 Banks 2, Asian Paints Ltd INE021A01026 Consumer Non Durables 2, Oil & Natural Gas Corporation Ltd INE213A01029 Oil 8, HCL Technologies Ltd INE860A01027 Software 2, Hero MotoCorp Ltd INE158A01026 Auto Bharti Airtel Ltd INE397D01024 Telecom - Services 6, Yes Bank Ltd INE528G01019 Banks 1, Coal India Ltd INE522F01014 Minerals-Mining 5, Ultratech Cement Ltd INE481G01011 Cement Dr. Reddy s Laboratories Ltd INE089A01023 Pharmaceuticals Power Grid Corporation of India Ltd INE752E01010 Power 10, Bajaj Auto Ltd INE917I01010 Auto NTPC Ltd INE733E01010 Power 11, Lupin Ltd INE326A01037 Pharmaceuticals 1, Eicher Motors Ltd INE066A01013 Auto Bharat Petroleum Corporation Ltd INE029A01011 Petroleum Products 2, Grasim Industries Ltd INE047A01013 Cement Wipro Ltd INE075A01022 Software 2, Zee Entertainment Enterprises Ltd INE256A01028 Media & Entertainment 2, Cipla Ltd INE059A01026 Pharmaceuticals 2, Tech Mahindra Ltd INE669C01036 Software 2, Tata Steel Ltd INE081A01012 Ferrous Metals 3, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 1, Adani Ports and Special Economic Zone Ltd INE742F01042 Transportation 4, Bosch Ltd INE323A01026 Auto Ancillaries Hindalco Industries Ltd INE038A01020 Non - Ferrous Metals 5, Ambuja Cements Ltd INE079A01024 Cement 3, Bharti Infratel Ltd INE121J01017 Telecom - Equipment & 2, Accessories GAIL (India) Ltd INE129A01019 Gas 2, Tata Motors Ltd (A-DVR) IN9155A01020 Auto 2, Bank of Baroda INE028A01039 Banks 4, ACC Ltd INE012A01025 Cement Tata Power Company Ltd INE245A01021 Power 8, Bharat Heavy Electricals Ltd INE257A01026 Industrial Capital Goods 4, Idea Cellular Ltd INE669E01016 Telecom - Services 5, Total 1, i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (1.55) (0.11) Net Assets 1, pg - 1

2 Principal Index Fund - Midcap (An open-ended Index Scheme) Piramal Enterprises Ltd INE140A01024 Pharmaceuticals MRF Ltd INE883A01011 Auto Ancillaries Container Corporation of India Ltd INE111A01017 Transportation Cairn India Ltd INE910H01017 Oil 2, Siemens Ltd INE003A01024 Industrial Capital Goods Pidilite Industries Ltd INE318A01026 Chemicals Petronet LNG Ltd INE347G01014 Gas 1, Power Finance Corporation Ltd INE134E01011 Finance 4, Punjab National Bank INE160A01022 Banks 3, Apollo Hospitals Enterprise Ltd INE437A01024 Healthcare Services Bharat Financial Inclusion Ltd INE180K01011 Finance Mahindra & Mahindra Financial Services Ltd INE774D01024 Finance 1, Cadila Healthcare Ltd INE010B01027 Pharmaceuticals 1, Havells India Ltd INE176B01034 Consumer Durables 1, Tata Chemicals Ltd INE092A01019 Chemicals Rural Electrification Corporation Ltd INE020B01018 Finance 3, Voltas Ltd INE226A01021 Construction Project 1, Page Industries Ltd INE761H01022 Textile Products Exide Industries Ltd INE302A01020 Auto Ancillaries 2, NMDC Ltd INE584A01023 Minerals-Mining 4, Amara Raja Batteries Ltd INE885A01032 Auto Ancillaries Torrent Pharmaceuticals Ltd INE685A01028 Pharmaceuticals The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 3, The Ramco Cements Ltd INE331A01037 Cement Reliance Infrastructure Ltd INE036A01016 Power TVS Motor Company Ltd INE494B01023 Auto 1, Bharat Electronics Ltd INE263A01016 Industrial Capital Goods Vakrangee Ltd INE051B01021 Software 1, Emami Ltd INE548C01032 Consumer Non Durables GlaxoSmithKline Consumer Healthcare Ltd INE264A01014 Consumer Non Durables Oracle Financial Services Software Ltd INE881D01027 Software Reliance Capital Ltd INE013A01015 Finance DLF Ltd INE271C01023 Construction 2, Procter & Gamble Hygiene and Health Care Ltd INE179A01014 Consumer Non Durables Biocon Ltd INE376G01013 Pharmaceuticals Apollo Tyres Ltd # INE438A01022 Auto Ancillaries 1, United Breweries Ltd INE686F01025 Consumer Non Durables Rajesh Exports Ltd INE343B01030 Consumer Durables ABB India Ltd INE117A01022 Industrial Capital Goods Strides Shasun Ltd INE939A01011 Pharmaceuticals Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 1, Tata Global Beverages Ltd INE192A01025 Consumer Non Durables 2, NHPC Ltd INE848E01016 Power 11, Canara Bank INE476A01014 Banks The Karur Vysya Bank Ltd INE036D01010 Banks Oil India Ltd INE274J01014 Oil Indraprastha Gas Ltd INE203G01019 Gas MindTree Ltd INE018I01017 Software CRISIL Ltd INE007A01025 Finance Century Textiles & Industries Ltd INE055A01016 Cement Kansai Nerolac Paints Ltd INE531A01024 Consumer Non Durables Sun TV Network Ltd INE424H01027 Media & Entertainment SRF Ltd INE647A01010 Textile Products Arvind Ltd INE034A01011 Textile Products L&T Finance Holdings Ltd INE498L01015 Finance 2, Gujarat Pipavav Port Ltd INE517F01014 Transportation 1, Steel Authority of India Ltd INE114A01011 Ferrous Metals 5, Reliance Communications Ltd INE330H01018 Telecom - Services 5, Natco Pharma Ltd INE987B01026 Pharmaceuticals Ajanta Pharma Ltd INE031B01049 Pharmaceuticals Gujarat State Petronet Ltd INE246F01010 Gas 1, Dewan Housing Finance Corporation Ltd INE202B01012 Finance Suzlon Energy Ltd INE040H01021 Industrial Capital Goods 15, Mphasis Ltd INE356A01018 Software Jubilant Life Sciences Ltd INE700A01033 Pharmaceuticals IPCA Laboratories Ltd INE571A01020 Pharmaceuticals CESC Ltd INE486A01013 Power Tata Communications Ltd INE151A01013 Telecom - Services Sanofi India Ltd INE058A01010 Pharmaceuticals The Great Eastern Shipping Company Ltd INE017A01032 Transportation IRB Infrastructure Developers Ltd INE821I01014 Construction Thermax Ltd INE152A01029 Industrial Capital Goods Godrej Industries Ltd INE233A01035 Consumer Non Durables Dish TV India Ltd INE836F01026 Media & Entertainment 1, Union Bank of India INE692A01016 Banks 1, Reliance Power Ltd INE614G01033 Power 3, Interglobe Aviation Ltd INE646L01027 Transportation Alembic Pharmaceuticals Ltd INE901L01018 Pharmaceuticals Torrent Power Ltd INE813H01021 Power DCB Bank Ltd INE503A01015 Banks 1, Bata India Ltd INE176A01028 Consumer Durables The South Indian Bank Ltd INE683A01023 Banks 6, Persistent Systems Ltd INE262H01013 Software GMR Infrastructure Ltd INE776C01039 Construction Project 11, Jubilant Foodworks Ltd INE797F01012 Consumer Non Durables Crompton Greaves Ltd INE067A01029 Industrial Capital Goods 1, Sintex Industries Ltd INE429C01035 Industrial Products 1, NCC Ltd INE868B01028 Construction Project 1, Jindal Steel & Power Ltd INE749A01030 Ferrous Metals 1, CEAT Ltd INE482A01020 Auto Ancillaries Bank of India INE084A01016 Banks 1, IDBI Bank Ltd INE008A01015 Banks 1, Wockhardt Ltd INE049B01025 Pharmaceuticals JSW Energy Ltd INE121E01018 Power 1, Adani Power Ltd INE814H01011 Power 5, Tata Elxsi Ltd INE670A01012 Software Sun Pharma Advanced Research Co. Ltd INE232I01014 Pharmaceuticals Housing Development & Infrastructure Ltd INE191I01012 Construction 1, Adani Enterprises Ltd INE423A01024 Trading 1, Just Dial Ltd INE599M01018 Software Total i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) Net Assets Principal Cash Management Fund (An open-ended Liquid Scheme) ** 10.25% Reliance Capital Ltd-M-20-Dec-2016 INE013A07YK1 BWR AAA 135 1, Total 1, The South Indian Bank Ltd-M-30-Nov-2016 INE683A16IY6 CARE A1+ 7,200 7, DCB Bank Ltd-M-17-Nov-2016 INE503A16DQ3 [ICRA]A1+ 7,000 6, IDFC Bank Ltd-M-25-Nov-2016 INE092T16223 [ICRA]A Total 14, JM Financial Products Ltd-M-07-Oct-2016 INE523H14XK2 [ICRA]A1+ 1,040 5, Aadhar Housing Finance Ltd-M-28-Oct-2016 INE538L14409 CRISIL A , Kribhco Shyam Fertilizers Ltd-M-09-Dec-2016 INE486H14649 CRISIL A , Cox & Kings Ltd-M-18-Nov-2016 INE008I14FJ1 CARE A , HCL Infosystems Ltd-M-29-Nov-2016 INE236A14GJ3 [ICRA]A , Kribhco Shyam Fertilizers Ltd-M-06-Dec-2016 INE486H14631 CRISIL A , HCL Infosystems Ltd-M-18-Oct-2016 INE236A14GD6 [ICRA]A , Total 24, TBILL 91 DAY-M-29-Dec-2016 IN002016X264 Sovereign 27,500,000 27, TBILL 91 DAY-M-01-Dec-2016 IN002016X223 Sovereign 16,200,000 16, TBILL 91 DAY-M-03-Nov-2016 IN002016X181 Sovereign 14,500,000 14, TBILL 91 DAY-M-20-Oct-2016 IN002016X165 Sovereign 4, Total 57, iv) Reverse Repo and CBLO Total III. Cash & Cash Equivalents 2.72 *** IV. Other Receivables - (Payables) (9,396.03) (10.61) Net Assets 88, Principal Tax Savings Fund (An open-ended Equity Linked Savings Scheme) HDFC Bank Ltd INE040A01026 Banks 126,082 1, ITC Ltd INE154A01025 Consumer Non Durables 436,716 1, ICICI Bank Ltd INE090A01021 Banks 391, State Bank of India INE062A01020 Banks 380, Tata Motors Ltd INE155A01022 Auto 158, The India Cements Ltd INE383A01012 Cement 585, Reliance Industries Ltd INE002A01018 Petroleum Products 72, Castrol India Ltd INE172A01027 Petroleum Products 147, Larsen & Toubro Ltd INE018A01030 Construction Project 47, Infosys Ltd INE009A01021 Software 63, Maruti Suzuki India Ltd INE585B01010 Auto 11, Housing Development Finance Corpn. Ltd INE001A01036 Finance 44, Tata Communications Ltd INE151A01013 Telecom - Services 105, Escorts Ltd INE042A01014 Auto 156, Bajaj Electricals Ltd INE193E01025 Consumer Durables 226, Jain Irrigation Systems Ltd INE175A01038 Industrial Products 592, Bombay Burmah Trading Corporation Ltd INE050A01025 Consumer Non Durables 91, Britannia Industries Ltd INE216A01022 Consumer Non Durables 15, Dewan Housing Finance Corporation Ltd INE202B01012 Finance 180, Bank of Baroda INE028A01039 Banks 303, Century Textiles & Industries Ltd INE055A01016 Cement 49, KEC International Ltd INE389H01022 Construction Project 370, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 50, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 102, United Spirits Ltd INE854D01016 Consumer Non Durables 16, Ultratech Cement Ltd INE481G01011 Cement 9, The Federal Bank Ltd INE171A01029 Banks 496, Abbott India Ltd INE358A01014 Pharmaceuticals 7, Birla Corporation Ltd INE340A01012 Cement 46, Asahi India Glass Ltd INE439A01020 Auto Ancillaries 174, JK Cement Ltd INE823G01014 Cement 37, Kalpataru Power Transmission Ltd INE220B01022 Power 122, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 69, Hindustan Construction Company Ltd INE549A01026 Construction Project 865, Indraprastha Gas Ltd INE203G01019 Gas 38, Balrampur Chini Mills Ltd INE119A01028 Consumer Non Durables 278, RBL Bank Ltd INE976G01028 Banks 102, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 227, Yes Bank Ltd INE528G01019 Banks 23, Axis Bank Ltd INE238A01034 Banks 53, DLF Ltd INE271C01023 Construction 197, Canara Bank INE476A01014 Banks 93, Kotak Mahindra Bank Ltd INE237A01028 Banks 35, Union Bank of India INE692A01016 Banks 200, Bajaj Auto Ltd INE917I01010 Auto 9, City Union Bank Ltd INE491A01021 Banks 205, Jet Airways (India) Ltd INE802G01018 Transportation 56, Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 115, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 36, Tata Consultancy Services Ltd INE467B01029 Software 10, Ashoka Buildcon Ltd INE442H01029 Construction Project 153, IRB Infrastructure Developers Ltd INE821I01014 Construction 105, Hero MotoCorp Ltd INE158A01026 Auto 7, HCL Technologies Ltd INE860A01027 Software 31, Navkar Corporation Ltd INE278M01019 Transportation 123, Natco Pharma Ltd INE987B01026 Pharmaceuticals 38, National Aluminium Company Ltd INE139A01034 Non - Ferrous Metals 491, Prestige Estates Projects Ltd INE811K01011 Construction 115, Rattanindia Power Ltd INE399K01017 Power 2,533, Shriram Transport Finance Company Ltd INE721A01013 Finance 16, The Ramco Cements Ltd INE331A01037 Cement 30, Gateway Distriparks Ltd INE852F01015 Transportation 69, Cox & Kings Ltd INE008I01026 Transportation 70, Chennai Super Kings INE852S01026 Media & Entertainment 374, *** Apollo Tyres Ltd # Auto Ancillaries 2, *** Total 27, # Lloyds Steel Industries Ltd Ferrous Metals 400, *** Total 0.00 *** ii) Reverse Repo and CBLO 1, Total 1, III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (69.11) (0.24) Net Assets 28, Principal Equity Savings Fund (An open-ended Equity Scheme) % of NAV Maruti Suzuki India Ltd INE585B01010 Auto Birla Corporation Ltd INE340A01012 Cement 5, Britannia Industries Ltd INE216A01022 Consumer Non Durables 1, The India Cements Ltd INE383A01012 Cement 26, Rico Auto Industries Ltd INE209B01025 Auto Ancillaries 60, ITC Ltd INE154A01025 Consumer Non Durables 12, DLF Ltd INE271C01023 Construction 18, The Federal Bank Ltd INE171A01029 Banks 37, Tata Motors Ltd INE155A01022 Auto 4, Yes Bank Ltd INE528G01019 Banks 1, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 2, State Bank of India INE062A01020 Banks 9, Dewan Housing Finance Corpn. Ltd INE202B01012 Finance 8, Castrol India Ltd INE172A01027 Petroleum Products 4, Escorts Ltd INE042A01014 Auto 6, Tata Communications Ltd INE151A01013 Telecom - Services 4, ICICI Bank Ltd INE090A01021 Banks 9, Union Bank of India INE692A01016 Banks 15, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 16, KEC International Ltd INE389H01022 Construction Project 14, Total B) Cash Future Arbitrage HDFC Bank Ltd INE040A01026 Banks 14, HDFC Bank Ltd - Oct Stock Future (14,500) (186.09) (9.49) Century Textiles & Industries Ltd INE055A01016 Cement 14, Century Textiles & Industries Ltd - Oct Stock Future (14,300) (135.55) (6.91) Exide Industries Ltd INE302A01020 Auto Ancillaries 60, Exide Industries Ltd - Oct Stock Future (60,000) (110.52) (5.64) Dewan Housing Finance Corpn. Ltd INE202B01012 Finance 30, Dewan Housing Finance Corpn. Ltd - Oct Stock Future (30,000) (85.58) (4.36) Hexaware Technologies Ltd INE093A01033 Software 44, Hexaware Technologies Ltd - Oct Stock Future (44,000) (83.53) (4.26) Cairn India Ltd INE910H01017 Oil 35, Cairn India Ltd - Oct Stock Future (35,000) (70.49) (3.59) Ashok Leyland Ltd INE208A01029 Auto 84, Ashok Leyland Ltd - Oct Stock Future (84,000) (67.07) (3.42) Infosys Ltd INE009A01021 Software 4, Infosys Ltd - Oct Stock Future (4,000) (41.21) (2.10) IRB Infrastructure Developers Ltd INE821I01014 Construction 12, IRB Infrastructure Developers Ltd - Oct Stock Future (12,500) (30.86) (1.57) Sun TV Network Ltd INE424H01027 Media & Entertainment 6, Sun TV Network Ltd - Oct Stock Future (6,000) (30.44) (1.55) Total (42.89) i) Treasury Bill T-BILL 91 DAY-M-15-Dec-2016 IN002016Y064 Sovereign 22, Total ii) Reverse Repo and CBLO Total II Principal Cash Management Fund - INF173K01DA9 Mutual Fund 9, Total IV. Cash & Cash Equivalents V. Other Receivables - (Payables) Net Assets 1, Principal SMART Equity Fund (An open-ended Equity Scheme) % of NAV HDFC Bank Ltd INE040A01026 Banks 15, Housing Development Finance Corpn. Ltd INE001A01036 Finance 10, Maruti Suzuki India Ltd INE585B01010 Auto 2, ITC Ltd INE154A01025 Consumer Non Durables 45, State Bank of India INE062A01020 Banks 42, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 23, Tata Motors Ltd INE155A01022 Auto 18, IndusInd Bank Ltd INE095A01012 Banks 8, Power Grid Corporation of India Ltd INE752E01010 Power 56, Infosys Ltd INE009A01021 Software 9, Divi s Laboratories Ltd INE361B01024 Pharmaceuticals 7, Britannia Industries Ltd INE216A01022 Consumer Non Durables 2, Shree Cements Ltd INE070A01015 Cement Kotak Mahindra Bank Ltd INE237A01028 Banks 10, Larsen & Toubro Ltd INE018A01030 Construction Project 5, ICICI Bank Ltd INE090A01021 Banks 31, Ultratech Cement Ltd INE481G01011 Cement 2, Abbott India Ltd INE358A01014 Pharmaceuticals 1, Tata Motors Ltd (A-DVR) IN9155A01020 Auto 21, The India Cements Ltd INE383A01012 Cement 42, HCL Technologies Ltd INE860A01027 Software 7, Reliance Industries Ltd INE002A01018 Petroleum Products 5, Tech Mahindra Ltd INE669C01036 Software 12, Bharat Petroleum Corporation Ltd INE029A01011 Petroleum Products 8, United Breweries Ltd INE686F01025 Consumer Non Durables 5, Natco Pharma Ltd INE987B01026 Pharmaceuticals 7, Castrol India Ltd INE172A01027 Petroleum Products 8, Yes Bank Ltd INE528G01019 Banks 3, Colgate Palmolive (India) Ltd INE259A01022 Consumer Non Durables 4, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 4, Tata Communications Ltd INE151A01013 Telecom - Services 6, Aditya Birla Nuvo Ltd INE069A01017 Services 2, Dish TV India Ltd INE836F01026 Media & Entertainment 33, The Indian Hotels Company Ltd INE053A01029 Hotels, Resorts & Other 23, The Federal Bank Ltd INE171A01029 Banks 41, Shriram Transport Finance Company Ltd INE721A01013 Finance 2, Bank of Baroda INE028A01039 Banks 17, Tata Consultancy Services Ltd INE467B01029 Software 1, Axis Bank Ltd INE238A01034 Banks 4, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 3, Mahindra Holidays & Resorts India Ltd INE998I01010 Hotels, Resorts & Other 4, Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 2, Bajaj Finserv Ltd INE918I01018 Finance Bharat Electronics Ltd INE263A01016 Industrial Capital Goods 1, Total 2, B) Cash Future Arbitrage HDFC Bank Ltd INE040A01026 Banks 90,000 1, HDFC Bank Ltd - Oct Stock Future (90,000) (1,155.06) (8.02) Reliance Industries Ltd INE002A01018 Petroleum Products 95,000 1, Reliance Industries Ltd - Oct Stock Future (95,000) (1,033.98) (7.18) Housing Development Finance Corpn. Ltd INE001A01036 Finance 48, Housing Development Finance Stock Future (48,000) (671.04) (4.66) Corporation Ltd - Oct Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 75, Hindustan Unilever Ltd - Oct Stock Future (75,600) (658.25) (4.57) Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 55, Aurobindo Pharma Ltd - Oct Stock Future (55,300) (474.61) (3.30) Axis Bank Ltd INE238A01034 Banks 85, Axis Bank Ltd - Oct 2016 Stock Future (85,200) (464.21) (3.22) Tata Motors Ltd (A-DVR) IN9155A01020 Auto 119, Tata Motors Ltd (A-DVR) - Oct Stock Future (119,700) (409.19) (2.84) Infosys Ltd INE009A01021 Software 36, Infosys Ltd - Oct Stock Future (36,000) (370.87) (2.58) Century Textiles & Industries Ltd INE055A01016 Cement 29, Century Textiles & Industries Ltd - Oct Stock Future (29,700) (281.53) (1.96) Coal India Ltd INE522F01014 Minerals-Mining 85, Coal India Ltd - Oct Stock Future (85,000) (274.76) (1.91) Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 29, Sun Pharmaceuticals Industries Ltd - Oct Stock Future (29,400) (219.10) (1.52) JSW Steel Ltd INE019A01020 Ferrous Metals 10, JSW Steel Ltd - Oct Stock Future (10,800) (188.11) (1.31) Sun TV Network Ltd INE424H01027 Media & Entertainment 34, Sun TV Network Ltd - Oct Stock Future (34,000) (172.50) (1.20) Reliance Power Ltd INE614G01033 Power 192, Reliance Power Ltd - Oct Stock Future (192,000) (91.87) (0.64) Indiabulls Housing Finance Ltd INE148I01020 Finance 8, Indiabulls Housing Finance Ltd - Oct Stock Future (8,000) (66.42) (0.46) Larsen & Toubro Ltd INE018A01030 Construction Project 4, Larsen & Toubro Ltd - Oct Stock Future (4,000) (57.54) (0.40) Mcleod Russel India Ltd INE942G01012 Consumer Non Durables 21, Mcleod Russel India Ltd - Oct Stock Future (21,000) (35.94) (0.25) Grasim Industries Ltd INE047A01013 Cement Grasim Industries Ltd - Oct Stock Future (450) (21.90) (0.15) Shriram Transport Finance Co. Ltd INE721A01013 Finance 1, Shriram Transport Finance Co. Ltd - Oct Stock Future (1,800) (21.01) (0.15) Ambuja Cements Ltd INE079A01024 Cement 7, Ambuja Cements Ltd - Oct Stock Future (7,500) (19.01) (0.13) Total 6, (46.45) I A) Listed - Awaiting listing on the i) Government Securities 8.60% Government of India IN Sovereign 250, Security-M-02-Jun % Government of India IN Sovereign 200, Security-M-30-Sep-2030 Total i** 9.40% Rural Electrification INE020B08757 CRISIL AAA Corporation Ltd-M-20-Jul % Power Finance INE134E08GC9 CRISIL AAA Corporation Ltd-M-19-Aug-2017 Total I i). Commercial Paper** JM Financial Products Ltd-M-07-Oct-2016 INE523H14XK2 [ICRA]A Piramal Enterprises Ltd-M-06-Dec-2016 INE140A14LS8 [ICRA]A Cox & Kings Ltd-M-29-Dec-2016 INE008I14DZ2 CARE A Kribhco Shyam Fertilizers Ltd-M-31-Jul-2017 INE486H14615 CRISIL A Piramal Enterprises Ltd-M-17-Feb-2017 INE140A14JJ1 [ICRA]A Piramal Enterprises Ltd-M-21-Jul-2017 INE140A14MU2 [ICRA]A Total 2, ii) Treasury Bill TBILL 91 DAY-M-15-Dec-2016 IN002016Y064 Sovereign 12, Total iii) Reverse Repo and CBLO Total Principal Cash Management Fund - INF173K01DA9 Mutual Fund 49, Total V. Cash & Cash Equivalents VI. Other Receivables - (Payables) Net Assets 14, Principal Global Opportunities Fund (An open-ended Fund of Funds Scheme) I. Foreign Securities A) Units of Mutual Fund - Units Trust Principal Global Investors Fund - IE ,216 1, Emerging Markets Equity Fund Total 1, i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (26.51) (1.62) Net Assets 1, pg - 2

3 Principal Arbitrage Fund (An open-ended Equity Scheme) % of NAV A) Cash Future Arbitrage HDFC Bank Ltd INE040A01026 Banks 60, HDFC Bank Ltd - Oct Stock Future (60,500) (776.46) (9.50) Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 84, Sun Pharmaceuticals Industries Ltd - Oct Stock Future (84,000) (626.01) (7.66) Reliance Industries Ltd INE002A01018 Petroleum Products 49, Reliance Industries Ltd - Oct Stock Future (49,500) (538.76) (6.59) Dewan Housing Finance Corpn. Ltd INE202B01012 Finance 150, Dewan Housing Finance Corpn. Ltd - Oct Stock Future (150,000) (427.88) (5.24) IRB Infrastructure Developers Ltd INE821I01014 Construction 170, IRB Infrastructure Developers Ltd - Oct Stock Future (170,000) (419.73) (5.14) Maruti Suzuki India Ltd INE585B01010 Auto 6, Maruti Suzuki India Ltd - Oct Stock Future (6,150) (339.02) (4.15) Century Textiles & Industries Ltd INE055A01016 Cement 34, Century Textiles & Industries Ltd - Oct Stock Future (34,100) (323.23) (3.96) Bharat Financial Inclusion Ltd INE180K01011 Finance 30, Bharat Financial Inclusion Ltd - Oct Stock Future (30,000) (265.22) (3.25) The India Cements Ltd INE383A01012 Cement 168, The India Cements Ltd - Oct Stock Future (168,000) (243.18) (2.98) Housing Development Finance Corpn. Ltd INE001A01036 Finance 17, Housing Development Finance Stock Future (17,000) (237.66) (2.91) Corpn. Ltd - Oct Tata Steel Ltd INE081A01012 Ferrous Metals 60, Tata Steel Ltd - Oct Stock Future (60,000) (226.14) (2.77) Infosys Ltd INE009A01021 Software 20, Infosys Ltd - Oct Stock Future (20,000) (206.04) (2.52) Larsen & Toubro Ltd INE018A01030 Construction Project 14, Larsen & Toubro Ltd - Oct Stock Future (14,000) (201.40) (2.46) IDFC Ltd INE043D01016 Finance 250, IDFC Ltd - Oct Stock Future (250,800) (169.04) (2.07) LIC Housing Finance Ltd INE115A01026 Finance 27, LIC Housing Finance Ltd - Oct Stock Future (27,500) (159.83) (1.96) Axis Bank Ltd INE238A01034 Banks 25, Axis Bank Ltd - Oct Stock Future (25,200) (137.30) (1.68) Dish TV India Ltd INE836F01026 Media & Entertainment 133, Dish TV India Ltd - Oct Stock Future (133,000) (124.42) (1.52) Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 10, Aurobindo Pharma Ltd - Oct Stock Future (10,500) (90.12) (1.10) Tata Communications Ltd INE151A01013 Telecom - Services 11, Tata Communications Ltd - Oct Stock Future (11,200) (63.55) (0.78) Cairn India Ltd INE910H01017 Oil 14, Cairn India Ltd - Oct Stock Future (14,000) (28.20) (0.35) Asian Paints Ltd INE021A01026 Consumer Non Durables 2, Asian Paints Ltd - Oct Stock Future (2,400) (28.03) (0.34) Mcleod Russel India Ltd INE942G01012 Consumer Non Durables 6, Mcleod Russel India Ltd - Oct Stock Future (6,000) (10.27) (0.13) Total 5, (69.06) I A) Listed - Awaiting listing on the ** 10.00% Altico Capital India Private Ltd INE587O07032 IND AA % Dewan Housing Finance Corpn. Ltd INE202B07HB2 BWR AAA Total I National Bank For Agriculture and INE261F16207 CRISIL A Rural Development Total ii)commercial Paper** JM Financial Products Ltd INE523H14XK2 [ICRA]A HCL Infosystems Ltd INE236A14GJ3 [ICRA]A Total iii) Reverse Repo and CBLO Total Principal Cash Management Fund - INF173K01DA9 Mutual Fund 64, Total V. Cash & Cash Equivalents 0.27 *** VI. Other Receivables - (Payables) Net Assets 8, Principal Asset Allocation Fund-of-Funds - Moderate Plan Principal Short Term Income Fund - Direct Plan - INF173K01GP0 209, Principal Large Cap Fund - Direct Plan - INF173K01EK6 73, Principal Low Duration Fund - Direct Plan - INF173K01FS Principal Emerging Bluechip Fund - Direct Plan - INF173K01EG4 15, Total i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) Net Assets Principal Asset Allocation Fund-of-Funds - Conservative Plan Principal Short Term Income Fund - Direct Plan- INF173K01GP0 1,451, Principal Low Duration Fund - Direct Plan - INF173K01FS6 3, Principal Large Cap Fund - Direct Plan - INF173K01EK6 177, Total i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (1.22) (0.20) Net Assets Principal Asset Allocation Fund-of-Funds - Aggressive Plan Principal Large Cap Fund - Direct Plan - INF173K01EK6 164, Principal Emerging Bluechip Fund - Direct Plan - INF173K01EG4 35, Principal Short Term Income Fund - Direct Plan- INF173K01GP0 98, Total i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (0.12) (0.08) Net Assets Principal Government Securities Fund (An open-ended dedicated gilt scheme investing in government securities) A) Listed - Awaiting listing on the i) Government Securities 8.60% Government of India Security-M-02-Jun-2028 IN Sovereign 875, % Government of India Security-M-24-Nov-2026 IN Sovereign 350, % Government of India Security-M-10-Nov-2033 IN Sovereign 300, % Government of India Security-M-19-Mar-2030 IN Sovereign 300, % Government of India Security-M-22-Jun-2024 IN Sovereign 100, % Government of India Security-M-28-Jul-2024 IN Sovereign 50, Total 2, i) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (35.32) (1.57) Net Assets 2, Principal Dividend Yield Fund (An open-ended Equity Scheme) Name of Instrument ISIN Industry Quantity M % of NAV Hindustan Unilever Ltd INE030A01027 Consumer Non Durables 83, Hero MotoCorp Ltd INE158A01026 Auto 20, State Bank of India INE062A01020 Banks 207, Hindustan Petroleum Corporation Ltd INE094A01015 Petroleum Products 109, Dalmia Bharat Ltd INE439L01019 Cement 24, Bharat Petroleum Corporation Ltd INE029A01011 Petroleum Products 70, HDFC Bank Ltd INE040A01026 Banks 32, Maruti Suzuki India Ltd INE585B01010 Auto 6, ITC Ltd INE154A01025 Consumer Non Durables 152, Colgate Palmolive (India) Ltd INE259A01022 Consumer Non Durables 33, SML Isuzu Ltd INE294B01019 Auto 25, Bajaj Holdings & Investment Ltd INE118A01012 Finance 15, Bajaj Auto Ltd INE917I01010 Auto 10, ICICI Bank Ltd INE090A01021 Banks 112, Oil & Natural Gas Corporation Ltd INE213A01029 Oil 106, Castrol India Ltd INE172A01027 Petroleum Products 55, Tata Motors Ltd (A-DVR) IN9155A01020 Auto 72, VST Industries Ltd INE710A01016 Consumer Non Durables 10, Tata Consultancy Services Ltd INE467B01029 Software 9, Ultratech Cement Ltd INE481G01011 Cement 6, IndusInd Bank Ltd INE095A01012 Banks 19, Infosys Ltd INE009A01021 Software 21, NBCC (India) Ltd INE095N01023 Construction 78, PI Industries Ltd INE603J01030 Pesticides 21, SRF Ltd INE647A01010 Textile Products 10, Indraprastha Gas Ltd INE203G01019 Gas 22, Cummins India Ltd INE298A01020 Industrial Products 17, Reliance Industries Ltd INE002A01018 Petroleum Products 14, Gateway Distriparks Ltd INE852F01015 Transportation 60, City Union Bank Ltd INE491A01021 Banks 115, Balrampur Chini Mills Ltd INE119A01028 Consumer Non Durables 135, Kotak Mahindra Bank Ltd INE237A01028 Banks 18, Tata Chemicals Ltd INE092A01019 Chemicals 27, Petronet LNG Ltd INE347G01014 Gas 39, KEC International Ltd INE389H01022 Construction Project 108, Hindustan Zinc Ltd INE267A01025 Non - Ferrous Metals 57, Gujarat State Petronet Ltd INE246F01010 Gas 79, Phillips Carbon Black Ltd INE602A01015 Chemicals 48, Orient Paper & Industries Ltd INE592A01026 Consumer Durables 151, Cyient Ltd INE136B01020 Software 25, Sun Pharmaceuticals Industries Ltd INE044A01036 Pharmaceuticals 15, Aurobindo Pharma Ltd INE406A01037 Pharmaceuticals 13, GHCL Ltd INE539A01019 Chemicals 45, Asahi India Glass Ltd INE439A01020 Auto Ancillaries 59, Hindalco Industries Ltd INE038A01020 Non - Ferrous Metals 66, Shivam Autotech Ltd INE637H01024 Auto Ancillaries 213, Larsen & Toubro Ltd INE018A01030 Construction Project 6, Cox & Kings Ltd INE008I01026 Transportation 29, Apollo Tyres Ltd # Auto Ancillaries 16, *** Total 11, Sandur Laminates Ltd ~~ Construction Project 200, *** Crystal Cable Industries Ltd ~~ INE759J01022 Telecom - Services 50, *** Tirrihannah Company Ltd ~~ Consumer Non Durables 50, *** Western Paques (India) Ltd ~~ Construction *** Minerava Holdings Ltd ~~ Finance *** Total 0.04 *** C) Derivatives DLF Ltd October 2016 Stock Future 45, Total i) Reverse Repo and CBLO Total II Principal Cash Management Fund - INF173K01DA9 Mutual Fund 1, Total IV. Cash & Cash Equivalents V. Other Receivables - (Payables) (114.65) (0.98) Net Assets 11, Principal Dynamic Bond Fund (An open-ended Income Scheme) ** 8.49% Housing Development Finance INE001A07NU8 CRISIL AAA Corporation Ltd-M-27-Apr % LIC Housing Finance Ltd-M-07-Sep-2018 INE115A07HY0 CRISIL AAA % Indostar Capital Finance Ltd-M-13-Jun-2018 INE896L07330 IND AA % Aspire Home Finance Corpn. Ltd-M-08-Jun-2018 INE658R07042 CRISIL A Total 1, % Government of India Security-M-02-Jun-2028 IN Sovereign 2,375,000 2, % Government of India Security-M-24-Nov-2026 IN Sovereign 1,650,000 1, % Government of India Security-M-30-Sep-2030 IN Sovereign 1,200,000 1, % Government of India Security-M-10-Nov-2033 IN Sovereign 1,200,000 1, % Government of India Security-M-22-Jun-2024 IN Sovereign 900, % Government of India Security-M-19-Mar-2030 IN Sovereign 700, % Government of India Security-M-28-Jul-2024 IN Sovereign 450, Total 9, i) Commercial Paper** JM Financial Products Ltd-M-29-Dec-2016 INE523H14UT9 CRISIL A Total ii) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) (294.88) (2.51) Net Assets 11, Principal Retail Money Manager Fund (An open-ended Debt Scheme) ** 9.10% Dewan Housing Finance Corpn. Ltd-M-16-Mar-2018 INE202B07HB2 BWR AAA % Reliance Capital Ltd-M-20-Dec-2016 INE013A07YK1 BWR AAA % Altico Capital India Pvt. Ltd-M-05-Sep-2017 INE587O07032 IND AA Total IDFC Bank Ltd-M-25-Nov-2016 INE092T16223 [ICRA]A The South Indian Bank Ltd-M-30-Nov-2016 INE683A16IY6 CARE A National Bank for Agriculture and INE261F16207 CRISIL A Axis Bank Ltd-M-20-Dec-2016 INE238A16G01 CRISIL A Total Piramal Enterprises Ltd-M-06-Dec-2016 INE140A14LS8 [ICRA]A JM Financial Products Ltd-M-07-Oct-2016 INE523H14XK2 [ICRA]A Kribhco Shyam Fertilizers Ltd-M-06-Dec-2016 INE486H14631 CRISIL A Cox & Kings Ltd-M-03-Feb-2017 INE008I14FI3 CARE A Aadhar Housing Finance Ltd-M-28-Oct-2016 INE538L14409 CRISIL A HCL Infosystems Ltd-M-29-Nov-2016 INE236A14GJ3 [ICRA]A Total 1, T-BILL 91 DAY-M-01-Dec-2016 IN002016X223 Sovereign 300, T-BILL 91 DAY-M-29-Dec-2016 IN002016X264 Sovereign 150, T-BILL 91 DAY-M-15-Dec-2016 IN002016Y064 Sovereign 22, Total iv) Reverse Repo and CBLO Total III. Cash & Cash Equivalents 0.15 *** IV. Other Receivables - (Payables) Net Assets 3, Principal Low Duration Fund (An open-ended Debt Scheme) ** 7.65% National Bank for Agriculture and INE261F08634 CRISIL AAA 260 2, Rural Development-M-26-Sep % Power Finance Corporation Ltd-M-18-Aug-2018 INE134E08HT1 CRISIL AAA 250 2, % Manappuram Finance Ltd-M-28-Jul-2018 INE522D07941 CARE AA , % Dewan Housing Finance Corpn. Ltd-M-18-Mar-2019 INE202B07HD8 BWR AAA 250 2, % Dewan Housing Finance Corpn. Ltd-M-09-Sep-2019 INE202B07IK1 BWR AAA 250,000 2, % Dewan Housing Finance Corpn. Ltd-M-16-Aug-2019 INE202B07HQ0 BWR AAA 250,000 2, % Tata Motors Ltd-M-18-Jul-2018 INE155A08290 CARE AA , % Music Broadcast Private Ltd-M-04-Mar-2017 INE919I07013 CRISIL AA 200 2, % Altico Capital India Pvt. Ltd-M-05-Sep-2017 INE587O07032 IND AA- 19 1, % LIC Housing Finance Ltd-M-29-Jul-2020 INE115A07HR4 CRISIL AAA 150 1, % Aspire Home Finance Corpn. Ltd-M-05-Jun-2019 INE658R07141 [ICRA]AA , % Manappuram Finance Ltd-M-01-Feb-2018 INE522D07479 BWR AA , % Muthoot Finance Ltd-M-12-Jan-2017 INE414G07159 [ICRA]AA % Dewan Housing Finance Corpn. Ltd-M-16-Mar-2018 INE202B07HB2 BWR AAA % Asirvad Microfinance Pvt. Ltd-M-24-Jan-2017 INE516Q07085 [ICRA]A+(SO) 8, % Future Financial Services Ltd-M-24-Jan-2017 INE801M07056 [ICRA]A+(SO) 8, % LIC Housing Finance Ltd-M-14-Oct-2016 INE115A07EM2 CRISIL AAA % Arohan Financial Services Pvt. Ltd-M-24-Jan-2017 INE808K07097 [ICRA]A+(SO) 6, % Tata Motors Ltd-M-10-Mar-2017 INE155A08100 CARE AA % Sonata Finance Private Ltd-M-24-Jan-2017 INE509M07113 [ICRA]A+(SO) 4, % Rural Electrification Corpn. Ltd-M-15-Feb-2017 INE020B08658 CRISIL AAA % Power Finance Corpn. Ltd-M-17-Feb-2017 INE134E08ED2 CRISIL AAA % Power Grid Corpn. of India Ltd-M-15-Dec-2016 INE752E07EY9 CRISIL AAA Total 27, Cholamandalam Investment and INE121A07JC0 [ICRA]AA Total National Bank for Agriculture and INE261F16207 CRISIL A1+ 6,150 5, HDFC Bank Ltd-M-02-Jun-2017 INE040A16BD8 IND A1+ 5,000 4, ICICI Bank Ltd-M-12-Jun-2017 INE090A166H7 [ICRA]A1+ 5,000 4, DCB Bank Ltd-M-17-Nov-2016 INE503A16DQ3 [ICRA]A1+ 2,500 2, The South Indian Bank Ltd-M-30-Nov-2016 INE683A16IY6 CARE A1+ 2,500 2, Canara Bank-M-14-Mar-2017 INE476A16RA6 CRISIL A1+ 2,500 2, Axis Bank Ltd-M-20-Dec-2016 INE238A16G01 CRISIL A1+ 2,460 2, Total 25, JM Financial Products Ltd-M-29-Dec-2016 INE523H14UT9 CRISIL A , HCL Infosystems Ltd-M-18-Oct-2016 INE236A14GD6 [ICRA]A , Kribhco Shyam Fertilizers Ltd-M-06-Dec-2016 INE486H14631 CRISIL A , Cox & Kings Ltd-M-28-Dec-2016 INE008I14DY5 CARE A , Piramal Enterprises Ltd-M-17-Feb-2017 INE140A14JJ1 [ICRA]A , Piramal Enterprises Ltd-M-06-Dec-2016 INE140A14LS8 [ICRA]A , Cox & Kings Ltd-M-29-Dec-2016 INE008I14DZ2 CARE A , Cox & Kings Ltd-M-18-Nov-2016 INE008I14FJ1 CARE A Total 19, T-BILL 91 DAY-M-01-Dec-2016 IN002016X223 Sovereign 3,000,000 2, Total 2, iv) Reverse Repo and CBLO 1, Total 1, III. Cash & Cash Equivalents 1, IV. Other Receivables - (Payables) (4,034.92) (5.49) Net Assets 73, Principal Income Fund - Short Term Plan (An open-ended Income Scheme) ** 9.02% Rural Electrification Corpn. Ltd-M-19-Nov-2019 INE020B08799 CRISIL AAA 150 1, % Aspire Home Finance Corpn. Ltd-M-08-Jun-2018 INE658R07042 CRISIL A , % Housing Development Finance INE001A07HE4 CRISIL AAA 100 1, Corpn. Ltd-M-17-Aug % Power Finance Corpn. Ltd-M-17-Sep-2019 INE134E08GJ4 CRISIL AAA 100 1, % Power Grid Corpn. of India Ltd-M-27-May-2022 INE752E07MO3 CRISIL AAA 100 1, % National Bank for Agriculture and INE261F08527 CRISIL AAA 100 1, Rural Development-M-22-Jun % Piramal Enterprises Ltd-M-24-Jul-2017 INE140A08SQ9 [ICRA]AA 100 1, % Manappuram Finance Ltd-M-28-Jul-2018 INE522D07941 CARE AA , % Dewan Housing Finance Corpn. Ltd-M-09-Sep-2019 INE202B07IK1 BWR AAA 100, % National Bank for Agriculture and INE261F08634 CRISIL AAA Rural Development-M-26-Sep % LIC Housing Finance Ltd-M-11-Dec-2019 INE115A07GK1 CRISIL AAA % Power Finance Corporation Ltd-M-11-Mar-2018 INE134E08FK4 CRISIL AAA % Reliance Jio Infocomm Ltd-M-08-Jul-2021 INE110L07070 CRISIL AAA % Dewan Housing Finance Corpn. Ltd-M-18-Mar-2019 INE202B07HD8 BWR AAA % Dewan Housing Finance Corpn. Ltd-M-16-Aug-2019 INE202B07HQ0 BWR AAA 50, % Power Finance Corporation Ltd-M-16-Aug-2021 INE134E08IH4 CRISIL AAA % Manappuram Finance Ltd-M-01-Feb-2018 INE522D07479 BWR AA % National Housing Bank-M-22-Mar-2017 INE557F08EY7 CRISIL AAA % Asirvad Microfinance Pvt. Ltd-M-24-Jan-2017 INE516Q07085 [ICRA]A+(SO) 3, % Future Financial Services Ltd-M-24-Jan-2017 INE801M07056 [ICRA]A+(SO) 3, % Arohan Financial Services Pvt. Ltd-M-24-Jan-2017 INE808K07097 [ICRA]A+(SO) 2, % Sonata Finance Private Ltd-M-24-Jan-2017 INE509M07113 [ICRA]A+(SO) 1, Total 14, % Government of India Security-M-28-Jul-2024 IN Sovereign 1,000,000 1, % Government of India Security-M-15-Dec-2023 IN Sovereign 1,000,000 1, % Government of India Security-M-22-Jun-2024 IN Sovereign 578, % Government of India Security-M-10-Dec-2020 IN Sovereign 500, Total 3, National Bank For Agriculture and INE261F16207 CRISIL A Export-Import Bank of India-M-10-Feb-2017 INE514E16AL9 CRISIL A Small Industries Development Bank of India-M-10-Mar-2017 INE556F16077 CRISIL A IndusInd Bank Ltd-M-13-Mar-2017 INE095A16RZ1 CRISIL A RBL Bank Ltd-M-16-Mar-2017 INE976G16DK1 [ICRA]A Total 1, Kribhco Shyam Fertilizers Ltd-M-09-Dec-2016 INE486H14649 CRISIL A JM Financial Products Ltd-M-29-Dec-2016 INE523H14UT9 CRISIL A JM Financial Products Ltd-M-07-Oct-2016 INE523H14XK2 [ICRA]A Piramal Enterprises Ltd-M-06-Dec-2016 INE140A14LS8 [ICRA]A Total 2, iii) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) Net Assets 22, Principal Debt Savings Fund - Retail Plan (An open-ended Income Fund) ** 10.85% Aspire Home Finance Corpn. Ltd-M-08-Jun-2018 INE658R07042 CRISIL A % Dewan Housing Finance Corpn. Ltd-M-16-Mar-2018 INE202B07HB2 BWR AAA % Tata Motors Ltd-M-18-Jul-2018 INE155A08290 CARE AA % Bajaj Finance Ltd-M-25-Apr-2017 INE296A07BC7 CRISIL AA Total % Government of India Security-M-06-Sep-2026 IN Sovereign 1,000,000 1, Total 1, National Bank For Agriculture and INE261F16207 CRISIL A Total ii) Treasury Bill T-BILL 91 DAY-M-15-Dec-2016 IN002016Y064 Sovereign 22, Total iii) Reverse Repo and CBLO Total III. Cash & Cash Equivalents IV. Other Receivables - (Payables) Net Assets 1, pg - 3