0001209191-18-054981.txt : 20181015
0001209191-18-054981.hdr.sgml : 20181015
20181015164034
ACCESSION NUMBER: 0001209191-18-054981
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181011
FILED AS OF DATE: 20181015
DATE AS OF CHANGE: 20181015
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Otterbein Thomas J
CENTRAL INDEX KEY: 0001423452
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-22758
FILM NUMBER: 181122611
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 Dynamic Credit & Mortgage Income Fund
CENTRAL INDEX KEY: 0001558629
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0630
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
FORMER COMPANY:
FORMER CONFORMED NAME: PIMCO Dynamic Credit Income Fund
DATE OF NAME CHANGE: 20120920
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-10-11
0
0001558629
PIMCO Dynamic Credit & Mortgage Income Fund
PCI
0001423452
Otterbein Thomas J
C/O PIMCO
650 NEWPORT CENTER DRIVE
NEWPORT BEACH
CA
92660
0
0
0
1
See Remarks
COMMON STOCK
2018-10-11
4
P
0
5000
22.2918
A
20958
D
The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $22.2199 to $22.3996, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote.
Includes 3,561 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person.
Pacific Investment Management Company LLC ("PIMCO") is the investment adviser of the Issuer. The Reporting Person is a member of PIMCO's Executive Committee. Exhibit List: Exhibit 24, Power of Attorney
/s/ Kevin Van Gorder, Attorney-in-Fact for Thomas J. Otterbein
2018-10-15
EX-24.4_813523
2
poa.txt
POA DOCUMENT
SECTION 16
POWER OF ATTORNEY
Thomas J. Otterbein
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 8 day of February, 2018.
/s/ Thomas J. Otterbein
Thomas J. Otterbein
SCHEDULE A
FUND NAME AND SYMBOL
1. PCM FUND, INC. (PCM)
2. PIMCO CALIFORNIA MUNICIPAL INCOME FUND (PCQ)
3. PIMCO CALIFORNIA MUNICIPAL INCOME FUND II (PCK)
4. PIMCO CALIFORNIA MUNICIPAL INCOME FUND III (PZC)
5. PIMCO CORPORATE & INCOME STRATEGY FUND (PCN)
6. PIMCO CORPORATE & INCOME OPPORTUNITY FUND (PTY)
7. PIMCO DYNAMIC CREDIT INCOME FUND (PCI)
8. PIMCO DYNAMIC INCOME FUND (PDI)
9. PIMCO INCOME STRATEGY FUND (PFL)
10. PIMCO INCOME STRATEGY FUND II (PFN)
11. PIMCO GLOBAL STOCKSPLUS & INCOME FUND (PGP)
12. PIMCO HIGH INCOME FUND (PHK)
13. PIMCO INCOME OPPORTUNITY FUND (PKO)
14. PIMCO MUNICIPAL INCOME FUND (PMF)
15. PIMCO MUNICIPAL INCOME FUND II (PML)
16. PIMCO MUNICIPAL INCOME FUND III (PMX)
17. PIMCO NEW YORK MUNICIPAL INCOME FUND (PNF)
18. PIMCO NEW YORK MUNICIPAL INCOME FUND II (PNI)
19. PIMCO NEW YORK MUNICIPAL INCOME FUND III (PYN)
20. PIMCO STRATEGIC INCOME FUND, INC (RCS)
21. PIMCO FLEXIBLE CREDIT INCOME FUND (PFLEX)
22. PIMCO FLEXIBLE MUNICIPAL INCOME FUND (PMFLX)
INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT,
WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION
1. Keisha L. Audain-Pressley, 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, Vice President, Secretary and Chief Legal Officer of the
Funds, Senior Executive Vice President and Senior 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, Assistant Secretary of the Funds, Vice President, Counsel of
PIMCO