0001193125-14-320075.txt : 20140825 0001193125-14-320075.hdr.sgml : 20140825 20140825162654 ACCESSION NUMBER: 0001193125-14-320075 CONFORMED SUBMISSION TYPE: N-CSR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140825 DATE AS OF CHANGE: 20140825 EFFECTIVENESS DATE: 20140825 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC LIFE FUNDS CENTRAL INDEX KEY: 0001137761 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: N-CSR/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-10385 FILM NUMBER: 141062823 BUSINESS ADDRESS: STREET 1: 700 NEWPORT CENTER DRIVE STREET 2: POST OFFFICE BOX 7500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9492193233 MAIL ADDRESS: STREET 1: 700 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC FUNDS DATE OF NAME CHANGE: 20010405 0001137761 S000001887 PL PORTFOLIO OPTIMIZATION CONSERVATIVE FUND C000004960 CLASS A POAAX C000004961 CLASS B POABX C000004962 CLASS C POACX C000004963 CLASS R POARX C000124051 ADVISOR CLASS PLCDX 0001137761 S000001888 PL INTERNATIONAL VALUE FUND C000004964 CLASS P 0001137761 S000001889 PL INTERNATIONAL LARGE-CAP FUND C000004967 CLASS P 0001137761 S000001890 PL SMALL-CAP GROWTH FUND C000004970 CLASS P 0001137761 S000001891 PL MAIN STREET CORE FUND C000004973 CLASS P 0001137761 S000001892 PL EMERGING MARKETS FUND C000004974 CLASS P 0001137761 S000001893 PL MANAGED BOND FUND C000004975 CLASS P 0001137761 S000001894 PL INFLATION MANAGED FUND C000004978 CLASS P 0001137761 S000001896 PL LARGE-CAP VALUE FUND C000004984 CLASS P 0001137761 S000001897 PL COMSTOCK FUND C000004987 CLASS P 0001137761 S000001898 PL PORTFOLIO OPTIMIZATION MODERATE-CONSERVATIVE FUND C000004990 CLASS A POBAX C000004991 CLASS B POBBX C000004992 CLASS C POBCX C000004993 CLASS R POBRX C000124052 ADVISOR CLASS PMCDX 0001137761 S000001899 PL MID-CAP GROWTH FUND C000004994 CLASS P 0001137761 S000001900 PL REAL ESTATE FUND C000004997 CLASS P 0001137761 S000001901 PL PORTFOLIO OPTIMIZATION MODERATE FUND C000005000 CLASS A POCAX C000005001 CLASS B POMBX C000005002 CLASS C POMCX C000005003 CLASS R POCRX C000124053 ADVISOR CLASS POMDX 0001137761 S000001902 PL PORTFOLIO OPTIMIZATION MODERATE-AGGRESSIVE FUND C000005004 CLASS A PODAX C000005005 CLASS B PODBX C000005006 CLASS C PODCX C000005007 CLASS R PODRX C000124054 ADVISOR CLASS PMADX 0001137761 S000001903 PL PORTFOLIO OPTIMIZATION AGGRESSIVE FUND C000005008 CLASS A POEAX C000005009 CLASS B POEBX C000005010 CLASS C POCEX C000005011 CLASS R POERX C000124055 ADVISOR CLASS POEDX 0001137761 S000001904 PL LARGE-CAP GROWTH FUND C000005012 CLASS P 0001137761 S000001905 PL SHORT DURATION BOND FUND C000005015 CLASS P 0001137761 S000001906 PL GROWTH FUND C000005018 CLASS P 0001137761 S000001907 PL MID-CAP EQUITY FUND C000005021 CLASS P 0001137761 S000017795 PL Small-Cap Value Fund C000049251 CLASS P 0001137761 S000022456 PL Floating Rate Loan Fund C000064624 CLASS P 0001137761 S000030505 PL INCOME FUND C000093886 CLASS A PLIAX C000093887 CLASS I PLIIX C000102195 Class C PLNCX C000114643 ADVISOR CLASS PLIDX 0001137761 S000033079 PL FLOATING RATE INCOME FUND C000101967 CLASS I PLFRX C000105437 Class A PLFLX C000105438 Class C PLBCX C000114644 ADVISOR CLASS PLFDX C000124056 CLASS P 0001137761 S000034880 PL HIGH INCOME FUND C000107271 CLASS A PLAHX C000107272 CLASS C PLCHX C000107273 CLASS I PLHIX C000114645 ADVISOR CLASS PLHYX 0001137761 S000034881 PL SHORT DURATION INCOME FUND C000107274 CLASS A PLADX C000107275 CLASS C PLCSX C000107276 CLASS I PLSDX C000114646 ADVISOR CLASS PLDSX 0001137761 S000034882 PL STRATEGIC INCOME FUND C000107277 CLASS A PLSTX C000107278 CLASS C PLCNX C000107279 CLASS I PLSRX C000114647 ADVISOR CLASS PLSFX 0001137761 S000037221 PL EMERGING MARKETS DEBT FUND C000114642 CLASS P 0001137761 S000039141 PL CURRENCY STRATEGIES FUND C000120414 CLASS P 0001137761 S000039142 PL GLOBAL ABSOLUTE RETURN FUND C000120415 CLASS P 0001137761 S000039143 PL PRECIOUS METALS FUND C000120416 CLASS P 0001137761 S000041402 PL LIMITED DURATION HIGH INCOME FUND C000128398 CLASS A PLLDX C000128399 CLASS C PLLCX C000128400 CLASS I PLLIX C000128401 ADVISOR CLASS PLLYX 0001137761 S000043456 PL Diversified Alternatives Fund C000134783 Class A PLALX C000134784 Class C PLCLX C000134785 Advisor Class PLDLX N-CSR/A 1 d776507dncsra.htm PACIFIC LIFE FUNDS Pacific Life Funds

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-CSR/A

CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT

COMPANIES

Investment Company Act file number    811-10385                    

                               Pacific Life Funds                                      

(Exact name of registrant as specified in charter)

700 Newport Center Drive, P.O. Box 7500

                                                 Newport Beach, CA 92660                                                 

(Address of principal executive offices) (Zip code)

Robin S. Yonis

Vice President and General Counsel of Pacific Life Funds

700 Newport Center Drive, P.O. Box 9000

                                                 Newport Beach, CA 92660                                                 

(Name and address of agent for service)

Copies to:

Anthony H. Zacharski, Esq.

Dechert LLP

90 State House Square

Hartford, CT 06103

Registrant’s telephone number, including area code:   949-219-6767

Date of fiscal year end:   March 31

Date of reporting period: March 31, 2014

Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under Rule 30e-1 under the Investment Company Act of 1940 (17 CFR 270.30e-1). The Commission may use the information provided on Form N-CSR in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-CSR, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-CSR unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

EXPLANATORY NOTE

Items 1 through 11 and item 12(a)(1) and (a)(3) of this Form N-CSR are incorporated by reference to the Form N-CSR filed on EDGAR on June 6, 2014 (Accession Number 0001193125-14-228142).

Signatures

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Pacific Life Funds
By:      

/s/ Mary Ann Brown

  Mary Ann Brown
  Chief Executive Officer
Date:       August 25, 2014            

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By:      

/s/ Mary Ann Brown

  Mary Ann Brown
  Chief Executive Officer
Date:       August 25, 2014            
By:      

/s/ Brian D. Klemens

  Brian D. Klemens
  Treasurer (Principal Financial and Accounting Officer)
Date:       August 25, 2014            
EX-99.CERT 2 d776507dex99cert.htm CERTIFICATION PURSUANT TO SECTION 302 Certification Pursuant to Section 302

Exhibit 99.CERT

FORM N-CSR CERTIFICATION

I, Mary Ann Brown, certify that:

1.    I have reviewed this report on Form N-CSR of Pacific Life Funds;

2.    Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.    Based on my knowledge, the financial statements and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

4.    The registrant’s other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5.    The registrant’s other certifying officers and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date:     5-28-14                    

  
/s/ Mary Ann Brown                              
Mary Ann Brown  
Chief Executive Officer, Pacific Life Funds

FORM N-CSR CERTIFICATION

I, Brian D. Klemens, certify that:

1.      I have reviewed this report on Form N-CSR of Pacific Life Funds;

2.      Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.      Based on my knowledge, the financial statements and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

4.      The registrant’s other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

a)    Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

b)    Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

c)    Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

d)    Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5.      The registrant’s other certifying officers and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Date:     5-28-14                    

  
/s/ Brian D. Klemens                              
Brian D. Klemens  
Treasurer (Principal Financial and Accounting Officer),
Pacific Life Funds
 EX-99.906CERT 3 d776507dex99906cert.htm CERTIFICATIONS PURUSANT TO SECTION 906 Certifications Purusant to Section 906

Exhibit 99.906

Certification Pursuant to 18 U.S.C. Section 1350, as Adopted

Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

In conjunction with the Annual Report to Shareholders on Form N-CSR of Pacific Life Funds (the “Fund”) for the fiscal year ended March 31, 2014 as filed with the Securities and Exchange Commission (the “Report”), Mary Ann Brown as Chief Executive Officer of the Fund and Brian D. Klemens, as Treasurer (Principal Financial and Accounting Officer) of the Fund, each hereby certifies, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that:

1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operation of the Fund.

 

Date:     5-28-14                        
/s/ Mary Ann Brown                              
Mary Ann Brown    
Chief Executive Officer, Pacific Life Funds    
/s/ Brian D. Klemens                            
Brian D. Klemens    
Treasurer (Principal Financial and Accounting Officer), Pacific Life Funds