X0405 TA-1/A 0001020337 XXXXXXXX 084-05657 true LIVE SEC PRINCIPAL SHAREHOLDER SERVICES, INC. MURPHEY FAVRE SECURITIES SERVICES /WA/ /TA 036558 801 Grand Ave Des Moines IA 50392 Y 711 High St Des Moines IA 50392 515-235-9615 Y 655 9th St Des Moines IA 50392 1478 Stone Point Dr Suite 390A Roseville CA 95661 401 McCullough Dr Suite 200 Charlotte NC 28262 N Y SS&C GIDS, Inc. 084-00448 1055 Broadway Kansas City MO 64105 N Corporation Sharon Hoppel 06/30/2021 President and Director NA true 10/21/2024 Kamal Bhatia 12/16/2019 Director NA true 10/17/2022 Barbara Wenig 10/28/2022 Director NA true Michael Scholten 09/11/2015 Chief Financial Officer NA true Michael Hubbard 08/27/2019 Assistant Vice President NA true Clint Woods 09/01/2021 VP, Assoc General Counsel & Secretary NA 10/10/2023 Diane Nelson 10/22/2015 Chief Compliance Officer & AML Officer NA true Principal Global Investors Holding Company (US), LLC 05/01/2017 Parent of Registrant E true Principal Financial Services, Inc 01/01/2007 Parent of PGI Holding Co (US), LLC E true Principal Financial Group, Inc. 01/01/2007 Parent of Principal Financial Services E true Kenneth McCullum 10/15/2020 Director NA true Mitch Nass 10/10/2023 Counsel & Secretary NA Sara Reece 10/21/2024 President and Director NA true Dina Hoeske 10/23/2024 Vice President NA true N N N N N N N N N N N N N N N N N N N N Y Principal Global Investors, LLC Notice of action to be taken 11/11/2022 South Korean Securities and Futures Commission The Registrant has not been the subject of this matter: In April 2022, Principal Global Investors, LLC (PGI) had an unintentional short sales of a security due to a corporate action in potential breach of local regulations. In September 2022, PGI received an email regarding "Notice of action to be taken" regarding the breach of local restriction provisions in the Financial Investment Services and Capital Markets Act of Korea. The final disposition involved a final order issued on 11/11/2022 ordering PGI to pay a fine in the amount of 45,000,000 South Korean WAN, or roughly 34,200 US dollars to the South Korean Securities and Futures Commission. Order and resolution in a fine of 45,000,000 South Korean WAN, 9,000,000 was waived for early payment, and the amount was paid on 11/14/2022. N N N /s/Michael Scott Hubbard 515.235.9615 Assistant Vice President 12/17/2024