Principal Exchange-Traded Funds DEFR14A, filed Oct 15, 2026
Principal Exchange-Traded Funds (BCHP)
Principal Exchange-Traded Funds corrected Appendix A for Principal Capital Appreciation Select ETF after a clerical error, reporting 55,900,001 shares outstanding and ownership by State Street Bank and Trust Company, National Financial Services LLC, and Apex Clearing Corporation. AI summary
DEFR14A
2026-10-15
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Added on
October 15, 2026
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a) of
The Securities Exchange Act of 1934
(Amendment No. 1)
_____________________________
Filed by the Registrant [X]
Filed by a Party other than the Registrant [ ]
Check the appropriate box:
[ ] Preliminary Proxy Statement
[ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
[X] Definitive Proxy Statement
[ ] Definitive Additional Materials
[ ] Soliciting Material Pursuant to Section 240.14a-12
PRINCIPAL EXCHANGE-TRADED FUNDS
(Name of Registrant as Specified In Its Charter)
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
Payment of Filing Fee (Check all the boxes that apply):
[X] No fee required.
[ ] Fee paid previously with preliminary materials.
[ ] Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a-6(i)(1) and 0-11.
EXPLANATORY NOTE
This Amendment No. 1 (the "Proxy Amendment") to the definitive proxy statement on Schedule 14A (the "Proxy Statement") filed by Principal Exchange-Traded Funds (the “Company”), on behalf of its series Principal Capital Appreciation Select ETF, with the Securities and Exchange Commission on October 13, 2026 amends and replaces Appendix A included in the Proxy Statement. After filing the Proxy Statement, the Company discovered that, due to a clerical error, the number of Outstanding Shares and certain Share Ownership numbers reported for the Fund on Appendix A were incorrect.
Please note that no changes have been made to the body of the Proxy Statement and that a corrected version of the Outstanding Shares and Share Ownership Tables are included below. The information set forth in the Proxy Statement remains unchanged except as set forth in this Proxy Amendment.
1
APPENDIX A
OUTSTANDING SHARES AND SHARE OWNERSHIP
The following table shows, as of the Record Date, the number of shares outstanding and entitled to vote for the Fund.
ETF | Shares Outstanding | ||||
| Principal Capital Appreciation Select ETF | 55,900,001 | ||||
As of the Record Date, the PETF trustees and officers together owned beneficially less than 1% of the outstanding shares of the Fund.
As of the Record Date, the following persons owned of record, or were known by PETF to own beneficially, 5% or more of the outstanding shares of the Fund.
PRINCIPAL CAPITAL APPRECIATION SELECT ETF
| Percent of Ownership | Number of Shares | Name and Address of Owner | ||||||
| 79.68% | 44,540,000 | State Street Bank and Trust Company | ||||||
| John Hancock Tower | ||||||||
| 200 Clarendon St | ||||||||
| Boston, MA 02116 | ||||||||
| 11.60% | 6,486,431 | National Financial Services LLC | ||||||
| 200 Liberty St. | ||||||||
| One World Financial Center | ||||||||
| New York, NY 10281-1003 | ||||||||
| 7.51% | 4,200,667 | Apex Clearing Corporation | ||||||
| 350 N. St. Paul St, Suite 1300 | ||||||||
| Dallas, TX 75201 | ||||||||
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