Principal U.S. Small-Cap Multi-Factor Index ETF ETF.com segment: Equity: U.S. - Small Cap Competing ETFs: FYX, CSML, JKJ, OUSM, SMLF Related ETF Channels: Multi-factor, U.S., Smart-Beta ETFs, Small Cap, Equity, rth America, Size and Style, Broad-based Find more ETFs with our ETF Screener and Database *Unless otherwise stated, data provided by FactSet. 80 FUND DESCRIPTION invests in small-capitalization companies within the U.S. that exhibit high shareholder yield, high pricing power, and momentum. FACTSET ANALYTICS INSIGHT invests in companies held within the Nasdaq U.S. Small Cap Index with high shareholder yield, pricing power, and momentum characteristics. Eligible securities are ranked according to return to shareholders, a company s ability to raise prices of its products without reducing demand substantially, and positive price movement. If a stock does not have a dividend, the price setting and momentum ranks are averaged to arrive at a final score. The top 20th percentile of factor rank is selected for inclusion in the fund. Individual ranks are normalized by industry to remain sector-neutral. The fund is weighted according to 3-month daily dollar volume and volatility. There is a.7% weight cap for each security. SUMMARY DATA Issuer Brand Inception Date Legal Structure Expense Ratio Assets Under Management Average Daily $ Average Spread (%) The Principal Financial Group Principal 09/21/16 Open-Ended Fund 0.38% $358.59M $92.39K 0.25% MSCI ESG ANALYTICS INSIGHT The MSCI ESG Fund Quality Score measures the ability of ETF underlying holdings to manage key medium to long-term risks and opportunities arising from environmental, social, and governance factors, as determined by MSCI ESG Research LLC. As of April 11, 2019 the Principal U.S. Small-Cap Multi-Factor Index ETF MSCI ESG Fund Quality Score is 4.11 out of 10. The fund s Peer Rank reflects the ranking of a fund s MSCI ESG Fund Quality Score against the scores of other funds within the same peer group, as defined by the Thomson Reuters Lipper Global Classification. ranks in the 26th percentile within its peer group and in the 10th percentile within the global universe of all funds in MSCI ESG Fund Metrics coverage. PORTFOLIO DATA Weighted Average Market Cap Price / Earnings Ratio Price / Book Ratio Distribution Yield Next Ex-Dividend Date Number of Holdings $2.23B 22.29 2.42 1.22% 07/01/19 430 INDEX DATA Index Tracked Nasdaq US Small Cap Select Leaders Index Index Weighting Methodology Index Selection Methodology Technical Multi-Factor MSCI USA Small Cap Index 1 Year PERFORMANCE [as of 04/11/19] 1 MONTH 3 MONTHS YTD 1 YEAR 3 YEARS 5 YEARS 10 YEARS 3.27% 8.23% 15.12% 3.17% (NAV) 1.36% 8.15% 14.94% 2.75% Nasdaq US Small Cap Select Leaders Index MSCI USA Small Cap Index 2.91% 11.17% 18.98% 6.77% 14.80% 9.82% 16.22% All returns over 1 year are annualized. All returns are total returns unless otherwise stated. TOP 10 COUNTRIES
TOP 10 COUNTRIES TOP 10 SECTORS TOP 10 HOLDINGS PORTFOLIO MANAGEMENT TAX EXPOSURES FUND STRUCTURE Expense Ratio Median Tracking Difference (12 Mo) Max. Upside Deviation (12 Mo) Max. Downside Deviation (12 Mo) 0.38% Max LT/ST Capital Gains Rate Capital Gains Distributions (3 Year) Tax on Distributions Distributes K1 20.00% / 39.60% 0.02% Qualified dividends Legal Structure OTC Derivative Use Securities Lending Active Securities Lending Split (Fund/Issuer) ETN Counterparty Open-Ended Fund 100% / 0% N/A ETN Counterparty Risk N/A Fund Closure Risk Low Portfolio Disclosure Daily
Daily Spread Premium/Discount FACTSET ANALYTICS BLOCK LIQUIDITY As of 04/12/19 5 4 3 2 1 This measurement shows how easy it is to trade a $1 million USD block of. is rated a 4 out of 5. TRADABILITY Avg. Daily Share Average Daily $ Median Daily Share Median Daily ($) Average Spread (%) Average Spread ($) Median Premium / Discount (12 Mo) Max. Premium / Discount (12 Mo) Impediment to Creations Market Hours Overlap Creation Unit Size (Shares) Creation Unit/Day (45 Day Average) Creation Unit Cost (%) Underlying / Unit Open Interest on ETF Options Net Asset Value (Yesterday) ETF.com Implied Liquidity 2,641 $92.39K 916 $35.21K 0.25% $0.08 0.00% 3.18% / -1.97% ne 100.00% 50,000 0.02 0.09% 0.04% $31.82 4
SECTOR/INDUSTRY BREAKDOWN TOP 10 HOLDINGS PERFORMANCE STATISTICS Financials 24.87% 24.02% Consumer Cyclicals 14.95% 11.86% Industrials 14.92% 14.01% Healthcare 14.84% 13.05% Technology 11.05% 13.96% Tandem Diabetes Care, Inc. Deckers Outdoor Corporation Black Hills Corporation Nexstar Media Group, Inc. Class A Dick's Sporting Goods, Inc. Federated Investors, Inc. Class B Match Group, Inc. Legg Mason, Inc. 1.15% 0.97% 0.96% 0.89% 0.88% 0.86% 0.81% 0.80% Goodness of Fit (R2) Beta Up Beta Down Beta Downside Standard Deviation 0.98 1.05 1.02 1.07 0.18% MSCI USA Small Cap Index Energy 3.94% 3.29% Redwood Trust, Inc. 0.77% Basic Materials 3.92% 5.73% World Wrestling Entertainment, Inc. Class A Total Top 10 Weighting 0.76% 8.85% MSCI ESG RATINGS MSCI ESG Quality Score 4.11 / 10 Consumer n- Cyclicals 3.35% 3.78% Peer Group Percentile Rank 25.86 Utilities 2.25% 2.60% Global Percentile Rank 10.43 Telecommunications Services 1.52% 0.68% SRI Screening Criteria Exposure 3.07% COUNTRIES Exposure to Sustainable Impact Solutions 5.32% United States 100.00% 100.00% Weighted Average Carbon Intensity (t CO2e/$M Sales) 127.85 REGIONS rth America 100.00% 100.00% BENCHMARK COMPARISON HOLDINGS Number of Holdings Constituents 430 1785 Shared Holdings 393 ECONOMIC DEVELOPMENT Shared Holdings Weight 16.55% Developed Countries 100.00% 100.00% BENCHMARK COMPARISON SUMMARY Number of Holdings 430 1785 Weighted Average Market Cap $2.23B $4.00B Price / Earnings Ratio Price / Book Ratio Dividend Yield 22.29 43.37 2.42 2.29 1.64% 1.56% Concentration Low Low
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