0000750556-16-000221.txt : 20160212 0000750556-16-000221.hdr.sgml : 20160212 20160212145301 ACCESSION NUMBER: 0000750556-16-000221 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 GROUP MEMBERS: GENSPRING HOLDINGS, INC. GROUP MEMBERS: SUNTRUST BANK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PIMCO ETF Trust CENTRAL INDEX KEY: 0001450011 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85082 FILM NUMBER: 161418027 BUSINESS ADDRESS: STREET 1: 650 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949.720.6000 MAIL ADDRESS: STREET 1: 650 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUNTRUST BANKS INC CENTRAL INDEX KEY: 0000750556 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 581575035 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 303 PEACHTREE ST N E CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 4045887711 MAIL ADDRESS: STREET 1: 303 PEACHTREE ST N E CITY: ATLANTA STATE: GA ZIP: 30308 SC 13G/A 1 r13gPIMCO2_1215.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. 2)* PIMCO 1-5 Year US TIPS Index ETF 72201R205 December 31, 2015 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 72201R205 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons SunTrust Banks, Inc. as Parent Holding Company for SunTrust Investment Services, Inc. and for GenSpring Holdings, Inc. and for SunTrust Bank Holding Company as Parent Company for SunTrust Bank in various fiduciary capacities. 58-1575035 2. Check the Appropriate Box if a Member of a Group (a) __________ (b) __________ 3. SEC Use Only 4. Citizenship or Place of Organization Georgia Number of 5. Sole Voting Power Shares Beneficially 6. Shared Voting Power Owned by Each 7. Sole Dispositive Power Reporting Person With 8. Shared Dispositive Power 9. Aggregate Amount Beneficially Owned by Each Reporting Person Less than 1% of outstanding shares. 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares* 11. Percent of Class Represented by Amount in Row (9) 12. Type of Reporting Person* HC / BK / IA / BD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Item 1. (a) Name of Issuer: PIMCO ETF Trust (b) Address of Issuer's Principal Executive Offices: 840 Newport Center Drive Newport Beach, CA 92660 Item 2. (a) Name of Person Filing: SunTrust Banks, Inc. as Parent Holding Company for SunTrust Investment Services, Inc. and for SunTrust Bank Holding Company as Parent Company for SunTrust Bank in various fiduciary capacities. (b) Address of Principal Business Office or, if none, Residence: 303 Peachtree Street, NE Atlanta, Georgia 30308 (c) Citizenship: SunTrust Banks, Inc. is a Georgia corporation; SunTrust Investment Services, Inc. is a Georgia corporation; SunTrust Bank Holding Company is a Florida corporation; SunTrust Bank is a Georgia banking association. (d) Title of Class of Securities: Exchange traded fund (e) CUSIP Number 72201R205 Item 3. If this statement is filed pursuant to SS240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [X] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [x] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [X] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] An investment adviser in accordance with SS240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with SS240.13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with SS240.13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: (b) Percent of class: <1%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote (ii) Shared power to vote or to direct the vote (iii) Sole power to dispose or to direct the disposition of (iv) Shared power to dispose or to direct the disposition of Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company See Item 2. Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 11, 2016 Date /s/ Kathryn AB Vest Signature Kathryn AB Vest / Senior Vice President Name / Title SunTrust Banks, Inc. 303 Peachtree Street, Suite 1500 Atlanta, Georgia 30308 February 11, 2016 Ladies and Gentlemen: There is hereby transmitted for filing pursuant to Section 13(g) of the Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule 13G relating to beneficial ownership by SunTrust Banks, Inc. and its subsidiaries of shares of PIMCO 1-5 year US TIPS Index ETF. Please call the undersigned at (804) 782-5606 if you have any questions. Sincerely, /s/ Kathryn AB Vest SunTrust Bank, Senior Vice President