0001479360-18-000028.txt : 20180913 0001479360-18-000028.hdr.sgml : 20180913 20180913154352 ACCESSION NUMBER: 0001479360-18-000028 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180913 EFFECTIVENESS DATE: 20180913 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIMCO Equity Series CENTRAL INDEX KEY: 0001479360 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22375 FILM NUMBER: 181068843 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 FORMER COMPANY: FORMER CONFORMED NAME: PIMCO Funds Equity Trust DATE OF NAME CHANGE: 20091223 0001479360 S000034646 PIMCO Dividend and Income Fund 0001479360 S000035999 PIMCO EqS Long/Short Fund C000200468 I-3 PMHNX 0001479360 S000047744 PIMCO REALPATH Blend Income Fund 0001479360 S000047747 PIMCO REALPATH Blend 2030 Fund 0001479360 S000047748 PIMCO REALPATH Blend 2035 Fund 0001479360 S000047749 PIMCO REALPATH Blend 2040 Fund 0001479360 S000047750 PIMCO REALPATH Blend 2045 Fund 0001479360 S000047751 PIMCO REALPATH Blend 2050 Fund 0001479360 S000047752 PIMCO REALPATH Blend 2055 Fund 0001479360 S000048952 PIMCO RAE Emerging Markets Fund 0001479360 S000048953 PIMCO RAE Global Fund 0001479360 S000048954 PIMCO RAE Global ex-US Fund 0001479360 S000048955 PIMCO RAE International Fund 0001479360 S000048956 PIMCO RAE US Fund 0001479360 S000048957 PIMCO RAE US Small Fund C000154285 Institutional Class PMJIX C000154286 I-2 PMJPX C000154289 Class A PMJAX C000154290 Class C PMJCX N-CEN 1 primary_doc.xml N-CEN LIVE 0001479360 XXXXXXXX true false false N-1A S000057225 C000182355 S000057223 C000182353 S000057224 C000182354 S000047745 C000150036 C000150038 C000150040 C000150041 S000047746 C000150043 C000150045 C000150047 C000150049 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Company LLC 650 Newport Center Drive Newport Beach 92660 (949) 720-6000 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder State Street Bank and Trust Co. 801 Pennsylvania Ave Kansas City 64105 (816) 936-1121 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder State Street Investment Manager Solutions 46 Discovery Suite 150 Irvine 92618 (949) 932-3000 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder State Street Bank & Trust Co. c/o Iron Mountain Information Management, Inc. 1000 Campus Boulevard Collegeville 19426 (610) 831-2300 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder DST Asset Manager Solutions, Inc. 430 W 7th Street STE 219294 Kansas City 64105-1407 (888) 877-4626 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder DST Asset Manager Solutions, Inc. 430 W 7th Street STE 219024 Kansas City 64105-1407 (888) 877-4626 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder DST Asset Manager Solutions, c/o Iron Mountain 175 Bearfoot Road Northborough 01532 (508) 393-2472 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder DST Asset Manager Solutions, c/o Iron Mountain 6301 Winchester Ave Kansas City 64133 (816) 627-1930 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder Schick Databank 2721 Michelle Drive Tustin 92680 (714) 716-2004 The account books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder Y N N-1A 20 Y Brent R. Harris N/A Y Jennifer Holden Dunbar N/A N Peter B. McCarthy N/A N Ronald C. Parker N/A N Jennifer E. 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N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank London - Crest N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank CZ and SK, SK Branch N/A SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau 254900KAP5SULBKUWF77 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy W Warszawie S.A. 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N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank London - Crest N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank CZ and SK, SK Branch N/A SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau 254900KAP5SULBKUWF77 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy W Warszawie S.A. 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Y28RT6GGYJ696PMW8T44 HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N DST Asset Manager Solutions, Inc. N/A N N N Pacific Investment Management Company LLC 549300KGPYQZXGMYYN38 Y N N Allianz Global Investors (Schweiz) AG N/A N/A 549300HHHNE56IHKY326 CH 0.000000000000 Allianz Global Investors Distributors LLC 8-41811 000025567 549300SP22LYR965RW31 0.000000000000 Allianz Life Financial Services, LLC 8-13630 000000612 N/A 0.000000000000 PIMCO (Schweiz) GmbH N/A N/A N/A CH 0.000000000000 PIMCO Canada Corp. N/A N/A 549300PNZNS0LQSMZ318 CA 0.000000000000 PIMCO Deutschland GmbH N/A N/A 549300KW6332H0XL8X85 DE 0.000000000000 PIMCO Investments LLC 8-68686 000154957 N/A 0.000000000000 Questar Capital Corporation 8-50174 000043100 N/A 0.000000000000 0.000000000000 Citigroup Global Markets, Inc. 8-08177 000007059 MBNUM2BPBDO7JBLYG310 3799895.500000000000 State Street Global Markets, LLC 8-69862 000285852 549300FDEDF5ORXCMQ56 24513782.550000000000 28313678.050000000000 N 28167964.840000000000 0.000000000000 N N N N PIMCO REALPATH Blend 2035 Fund S000047748 549300B0LNEXNQO8NQ12 Y 4 0 0 Fund of Funds Target Date Fund N N Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y Pacific Investment Management Company LLC 801-48187 000104559 549300KGPYQZXGMYYN38 N DST Asset Manager Solutions, Inc. 084-00896 N/A N N N ICE Data Services 5493000NQ9LYLDBCTL34 N JPMorgan Chase PricingDirect Inc. 549300WIC0TOJ7N7GD54 N Bloomberg Valuation Service 549300B56MD0ZC402L06 N Thomson Reuters 549300561UZND4C7B569 CA N IHS Markit 213800BVVQOBUSJXSB53 GB N N AO Citibank, Moscow N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, GR N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Canada Self Custody N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank A.S. N/A TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe PLC, Dublin-Sucursa N/A RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Lima N/A PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Mexico N/A MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Sao Paulo Brazil N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank S.P.A. N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank London - Crest N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank CZ and SK, SK Branch N/A SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau 254900KAP5SULBKUWF77 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy W Warszawie S.A. 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N/A N/A 549300PNZNS0LQSMZ318 CA 0.000000000000 PIMCO Deutschland GmbH N/A N/A 549300KW6332H0XL8X85 DE 0.000000000000 PIMCO Investments LLC 8-68686 000154957 N/A 0.000000000000 Questar Capital Corporation 8-50174 000043100 N/A 0.000000000000 0.000000000000 Citigroup Global Markets, Inc. 8-08177 000007059 MBNUM2BPBDO7JBLYG310 2199939.500000000000 State Street Global Markets, LLC 8-69862 000285852 549300FDEDF5ORXCMQ56 30633250.680000000000 32833190.180000000000 N 30518205.010000000000 0.000000000000 N N N N PIMCO REALPATH Blend 2040 Fund S000047749 549300LVFL4L4NPEY087 Y 4 0 0 Fund of Funds Target Date Fund N N Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y Pacific Investment Management Company LLC 801-48187 000104559 549300KGPYQZXGMYYN38 N DST Asset Manager Solutions, Inc. 084-00896 N/A N N N ICE Data Services 5493000NQ9LYLDBCTL34 N JPMorgan Chase PricingDirect Inc. 549300WIC0TOJ7N7GD54 N Bloomberg Valuation Service 549300B56MD0ZC402L06 N Thomson Reuters 549300561UZND4C7B569 CA N IHS Markit 213800BVVQOBUSJXSB53 GB N N AO Citibank, Moscow N/A RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services, GR N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Canada Self Custody N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank A.S. N/A TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe PLC, Dublin-Sucursa N/A RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Lima N/A PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Mexico N/A MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. Sao Paulo Brazil N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank S.P.A. N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank London - Crest N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank CZ and SK, SK Branch N/A SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau 254900KAP5SULBKUWF77 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy W Warszawie S.A. 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N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Hongkong and Shanghai Banking Corp. N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Skandinaviska Enskilda Banken N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank London - Crest N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Unicredit Bank CZ and SK, SK Branch N/A SK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau 254900KAP5SULBKUWF77 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy W Warszawie S.A. 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