EX-99.(D) (3) 5 dex99d3.txt FORM OF SHARE CERTIFICATE OF THE COMMON SHARES EXHIBIT d.3 TEMPORARY CERTIFICATE - Exchangeable for Definitive Engraved Certificate When Ready for Delivery. ORGANIZED AND EXISTING UNDER AND BY VIRTUE OF THE LAWS OF THE COMMONWEALTH OF MASSACHUSETTS PIMCO Floating Rate Income Fund SHARES NUMBER THIS CERTIFICATE IS TRANSFERABLE IN COMMON SHARE(S) OF THE CITY OF BOSTON, MASSACHUSETTS OR NEW YORK, NEW YORK CUSIP 72201H 10 8 BENEFICIAL INTEREST SEE REVERSE $0.00001 PAR VALUE PER SHARE FOR CERTAIN DEFINITIONS
THIS CERTIFIES THAT is the owner of FULLY PAID AND NON-ASSESSABLE COMMON SHARES OF BENEFICIAL INTEREST OF PIMCO Floating Rate Income Fund, the said shares being issued, received and held under and subject to the terms and provisions of the Agreement and Declaration of Trust dated as of June 19, 2003, establishing the Fund, and all amendments thereto, copies of which are on file with the Secretary of State of The Commonwealth of Massachusetts, and the Fund's Bylaws, and all amendments thereto. The said owner by accepting this certificate agrees to and is bound by all of the said terms and provisions. The common shares represented hereby are transferable in writing by the owner thereof in person or by attorney upon surrender of this certificate to the Fund, properly endorsed for transfer. This certificate is executed on behalf of the Trustees of the Fund as Trustees and not individually and the obligations hereof are not binding upon any of the Trustees, officers or shareholders of the Fund individually but are binding only upon the assets and property of the Fund. This certificate is not valid until countersigned and registered by the Transfer Agent and Registrar. WITNESS the facsimile seal of the Fund and the facsimile signatures of its duly authorized officers. DATED: [SEAL] /s/ Lawrence G. Altadonna /s/ Brian S. Shlissel TREASURER. PRESIDENT. COUNTERSIGNED AND REGISTERED: PFPC Inc. TRANSFER AGENT AND REGISTRAR, BY AUTHORIZED SIGNATURE --------------------------------------------------------- -------------------------------------------------------------- AMERICAN BANK NOTE COMPANY PRODUCTION COORDINATOR: VERONICA GLIATTI: 913-490-1749 771 ARMSTRONG LANE PROOF OF AUGUST 14, 2003 COLUMBIA, TN 38401 PIMCO FLOATING RATE INCOME FUND (931) 388-3003 TSB 12689 FACE --------------------------------------------------------- -------------------------------------------------------------- SALES: D. BURNS: 617-786-7600 OPERATOR: KOSHY / RON --------------------------------------------------------- -------------------------------------------------------------- /ETHER 13 / LIVE JOBS / P / PIMCO 12689 FC Rev 2 --------------------------------------------------------- --------------------------------------------------------------
The Fund will furnish a copy of the Agreement and Declaration of Trust and Bylaws to the holder of this certificate without charge upon written request. EXPLANATION OF ABBREVIATIONS The following abbreviations when used in the form of ownership on the face of this certificate shall be construed as though they were written out in full according to applicable laws or regulations. Abbreviations in addition to those appearing below may be used.
Abbreviation Equivalent Abbreviation Equivalent ------------ ---------- ------------ ---------- JT TEN As joint tenants, with right of TEN IN COM As tenants in common survivorship and not as tenants TEN BY ENT As tenants by the entireties in common UNIF TRANSFERS MIN ACT Uniform Transfers to Minors Act Abbreviation Equivalent Abbreviation Equivalent ------------ ---------- ------------ ---------- ADM Administrator(s) FDN Foundation Administratrix PL Public Law AGMT Agreement TR (As) trustee(s), for, of CUST Custodian for UA Under Agreement EST Estate, Of estate of UW Under will of, Or will, of EX Executors(s), Executrix Under last will & Testament FBO For the benefit of Additional abbreviations may also be used though not in the above list. ------------------------------------------------------------------------------------------------------------------------------------ TRANSFER FORM FOR VALUE RECEIVED, _____________________________________________________________________ hereby sell, assign and transfer unto (I/We) PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE ---------------------------------------- ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ Please print or typewrite name and address (including postal zip code of assignee) ____________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________ Common Shares of Beneficial Interest represented by this Certificate and do hereby irrevocably constitute and appoint __________________________________________________________________________________________________________________________ Attorney, to transfer said shares on the books of the Fund with full power of substitution in the premises. Dated: _____________________________________________________________________ Signature(s) ________________________________________________________ (The signature to this assignment must correspond with the name as written upon the face of this Certificate in every particular, without alteration or enlargement or any change whatsoever. If more than one owner, all must sign). SIGNATURE(S) GUARANTEED: ___________________________________________ THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM). PURSUANT TO S.E.C. RULE 17Ad-15.
IMPORTANT NOTICE: When you sign your name to the Transfer Form without filling in the name of your "Assignee" this certificate becomes fully negotiable, similar to a check endorsed in blank. Therefore, to safeguard a signed certificate, it is recommended that you fill in the name of the new owner in the "Assignee" space. Alternatively, instead of using this Transfer Form, you may sign a separate "stock power" form and then mail the unsigned certificate and the signed "stock power" in separate envelopes. For added protection, use registered mail for a certificate.