Principal Exchange-Traded Funds DEFA14A, filed May 3, 2022
Principal Exchange-Traded Funds (BCHP)
DEFA14A
2022-05-03
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Added on
October 15, 2026
SCHEDULE 14A INFORMATION
PROXY STATEMENT PURSUANT TO SECTION 14(a)
OF THE SECURITIES EXCHANGE ACT OF 1934
Amendment No. __
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))
[ ] Definitive Proxy Statement
[X 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 the appropriate box):
[X] No fee required.
[ ] Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
1) Title of each class of securities to which transaction applies:
2) Aggregate number of securities to which transaction applies:
3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):
4) Proposed maximum aggregate value of transaction:
5) Total fee paid:
[ ] Fee paid previously with preliminary materials.
[ ] Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
1) Amount Previously Paid:
2) Form, Schedule or Registration Statement No.:
3) Filing Party:
4) Date Filed:
Your Response is Urgently Needed. Dear Shareholder, I am reaching out to encourage your participation on an important proposal for our upcoming special meeting of the Principal Millennials ETF (GENY). You are one of our largest shareholders who have yet to vote and your opinion matters. Your participation is needed as quickly as possible in order to avoid adjournment of the special shareholder meeting. Your vote is more important than ever, so please ensure that your shares are represented by voting through the methods listed below. If you have any questions or need assistance, please call our service center at 1-844-749-3636 and a Representative would be happy to assist you. Sincerely, Jill Brown President, Principal Funds Distributor, Inc. The Fund offers several methods for you to vote: Principal Exchange- Traded Funds 711 High Street, Des Moines, IA 50392 1-844-749-3636- Telephone VOTE ONLINE VOTE BY MAIL VOTE BY PHONE Visit www.proxyvote.com and enter the control number that appears on your enclosed proxy card. Follow the on-screen prompts to vote. Return the executed proxy card in the postage-paid envelope provided so it is received before May 24, 2022. Please call the number listed on your enclosed proxy card and follow the touch-tone prompts to vote.
1 | P a g e Solicitation Script Principal Millennials Exchange-Traded Fund Meeting Date: May 24, 2022 Toll Free Number: 844-749-3636 Inbound Greeting: Thank you for calling the Broadridge Proxy Services Center for the Principal Millennials ETF. My name is <Agent Name>. How may I assist you today? General Outbound Greeting: Good day, may I please speak with Mr./Ms. <full name as it appears on registration>? Hello Mr./Ms. <Shareholder’s Last Name>. My name is <agent name> and I am a proxy voting specialist calling on behalf of Principal Millennials ETF to confirm you have received the proxy materials for the special meeting of shareholders scheduled for May 24, 2022. Have you received proxy materials? Near Meeting Date Outbound Greeting: Good day, may I please speak with Mr./Ms. <full name as it appears on registration>? Hello Mr./Ms.<last name>. My name is <agent name> and I am a proxy voting specialist calling on behalf of Principal Millennials ETF to confirm you have received the proxy materials for the special meeting of shareholders scheduled in just a few days on May 24, 2022. Have you received proxy materials? Adjournment Outbound Greeting: Good day, may I please speak with Mr./Ms. <full name as it appears on registration>? Hi Mr. /Ms. , my name is <Agent Name> and I am a proxy voting specialist calling on behalf of your current investment with Principal Millennials ETF. Due to the lack of shareholder participation, the special meeting of shareholders has been adjourned to <date/time>. Have you received proxy materials? Voting: Your board has recommended a vote IN FAVOR of the proposals. Would you like to vote along with the recommendations of the board for all of your accounts? Thank you, I am recording your <for, against, abstain> vote. For confirmation purposes, please state your full name. And according to our records, you currently reside in <read street address, city, and state > is that correct? For confirmation purposes, please state your zip code.
2 | P a g e Thank you. You will receive a confirmation of your voting instructions within 5 days. If you have any questions, please contact us at this toll free number 844-749-3636. Mr./Ms. <Shareholder’s Last Name>, your vote is important, and your time is appreciated. Thank you and have a good <day, evening, night>. If Unsure of voting or does not want to vote along with the recommendation of the Board: Would you like me to review the proposals with you? <After review, ask them if they would like to vote now over the phone>. If not received/Requesting material to be re-mailed: I can resend the proxy materials to you, or I can review the proposals with you and record your vote immediately by phone. <Pause for response> After review, ask them if they would like to vote now over the phone: Your Board recommends that you vote “FOR” the proposals. Would you like to vote along with the recommendations of the Board for all your accounts? If they don’t want proposals reviewed: Do you have an email address this can be sent to? <If yes, enter the email address in the notes and read it back phonetically to the shareholder.> Thank you. You should receive the proxy materials shortly and the materials will inform you of the methods available to cast your vote, one of which is to call us back at 844-749-3636. If Not Interested: I am sorry for the inconvenience. Please be aware that as a shareholder, your vote is very important. Please fill out and return your proxy card at your earliest convenience. If you would rather not do that, you can always vote via the other methods outlined in the proxy materials. Thank you again for your time today, and have a wonderful day/evening. Registered holder wants a new proxy card/or their control number <send complete contact information name, address, control #, & shares to Broadridge>: Your control number can be found on your proxy card. I can arrange to have a new proxy card sent to you. However, I can record your voting instructions right now so that it will be represented at the upcoming meeting. Your board is recommending you vote FOR the proposals. Beneficial holder wants a new VIF/or their control number: Your control number can be found on your Vote Instruction Form. You can contact your broker/financial advisor and they can arrange to have a new voting instruction form sent to you. However, I can record your voting instructions right now so that it will be represented at the upcoming meeting. Your board is recommending you vote FOR the proposals.
3 | P a g e ANSWERING MACHINE MESSAGE: Hello, my name is <Agent Name> and I am a proxy voting specialist calling on behalf of Principal Millennials ETF. You should have received proxy material electronically or in the mail concerning the special meeting of shareholders to be held on May 24, 2022. Your vote is very important. Please sign, date and promptly mail your proxy card in the postage-paid envelope provided. Internet and telephone voting are also available. To vote over the Internet please follow the instructions provided in the proxy materials. If you have any questions, would like to vote over the telephone or need new proxy materials, call toll-free at 844-749-3636 and a proxy voting specialist will assist you. Specialists are available Monday through Friday, 9AM to 10PM Eastern Time. Voting takes just a few moments and will benefit all shareholders. Thank you for your prompt attention to this matter. AUTOMATED ANSWERING MACHINE MESSAGE: Hello, this is the Broadridge Proxy Services Center calling with an important message on behalf of Principal Millennials ETF. You should have received proxy material electronically or in the mail concerning the special meeting of shareholders to be held on May 24, 2022. Your vote is very important. Please sign, date and promptly mail your proxy card in the postage-paid envelope provided. Internet and telephone voting are also available. To vote over the Internet please follow the instructions provided in the proxy materials. If you have any questions, would like to vote over the telephone or need new proxy materials, call toll-free at 844-749-3636 and a proxy voting specialist will assist you. Specialists are available Monday through Friday, 9AM to 10PM Eastern Time. Voting takes just a few moments and will benefit all shareholders. Thank you for your prompt attention to this matter. INBOUND - CLOSED RECORDING: Thank you for calling the Broadridge Proxy Services Center. Our offices are now closed. Please call us back during our normal business hours which are, Monday through Friday, 9AM to 10PM Eastern Time. Thank you. INBOUND - CALL IN QUEUE MESSAGE: Thank you for calling the Broadridge Proxy Services Center. Our proxy specialists are currently assisting other shareholders. Your call is important to us. Please continue to hold and your call will be answered in the order in which it was received. END OF CAMPAIGN MESSAGE: Thank you for calling the Broadridge Proxy Services Center. The Shareholder meeting has been held and as a result, this toll free number is no longer in service for proxy related calls. If you have questions about your investment, please contact your Financial Advisor or the fund company directly. Thank you and have a nice day.