0001209191-19-003577.txt : 20190114 0001209191-19-003577.hdr.sgml : 20190114 20190114165413 ACCESSION NUMBER: 0001209191-19-003577 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190102 FILED AS OF DATE: 20190114 DATE AS OF CHANGE: 20190114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUFFINGTON THOMAS MATTHEW CENTRAL INDEX KEY: 0001764108 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21076 FILM NUMBER: 19525515 MAIL ADDRESS: STREET 1: C/O PIMCO STREET 2: 650 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PIMCO MUNICIPAL INCOME FUND II CENTRAL INDEX KEY: 0001170299 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-739-4000 MAIL ADDRESS: STREET 1: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2019-01-02 0 0001170299 PIMCO MUNICIPAL INCOME FUND II PML 0001764108 BUFFINGTON THOMAS MATTHEW C/O PIMCO 650 NEWPORT CENTER DRIVE NEWPORT BEACH CA 92660 1 0 0 0 Auction Rate Preferred Shares 42 I By Dryden Capital Fund, LP Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Exhibit List: Exhibit 24 - Power of Attorney /s/ Kevin Van Gorder, Attorney-in-Fact for Thomas Matthew Buffington 2019-01-14 EX-24.3_826553 2 poa.txt POA DOCUMENT SECTION 16 POWER OF ATTORNEY T. MATTHEW BUFFINGTON The undersigned hereby constitutes and appoints the individuals named on Schedule A attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, the undersigned's true and lawful attorney in fact to: 1. as may be required, prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the United States Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC; 2. execute for and on behalf of the undersigned, in the undersigned's capacity as a Section 16 reporting person of the applicable registered investment companies (and any successor companies) listed on Schedule A attached hereto, as amended from time to time, and any other registered investment company affiliated with or established by Pacific Investment Management Company LLC ("PIMCO"), for which the undersigned becomes a Section 16 reporting person (each, a "Fund"), Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder; 3. do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and 4. take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney in fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney in fact may approve in such attorney in fact's discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is any Fund assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by any Fund, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 7th day of January, 2019. /s/ T. Matthew Buffington T. Matthew Buffington SCHEDULE A FUND NAME AND SYMBOL 1. PIMCO CALIFORNIA MUNICIPAL INCOME FUND PCQ 2. PIMCO CALIFORNIA MUNICIPAL INCOME FUND II PCK 3. PIMCO CALIFORNIA MUNICIPAL INCOME FUND III PZC 4. PIMCO MUNICIPAL INCOME FUND PMF 5. PIMCO MUNICIPAL INCOME FUND II PML 6. PIMCO MUNICIPAL INCOME FUND III PMX 7. PIMCO NEW YORK MUNICIPAL INCOME FUND PNF 8. PIMCO NEW YORK MUNICIPAL INCOME FUND II PNI INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT, WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION 1. Keisha L. Audain-Pressley, Chief Compliance Officer of the Funds, Senior Vice President and Deputy Chief Compliance Officer of PIMCO 2. Jennifer Durham, Managing Director and Chief Compliance Officer of PIMCO 3. Joshua D. Ratner, Chief Legal Officer of the Funds, Executive Vice President and Deputy General Counsel of PIMCO 4. Kevin Van Gorder, Vice President, Compliance Officer of PIMCO 5. Ryan Leshaw, Assistant Secretary of the Funds, Senior Vice President, Senior Counsel of PIMCO 6. Wu-Kwan Kit, Vice President, Senior Counsel and Secretary of the Funds, Senior Vice President, Counsel of PIMCO