POS AMI 1 papsposami.htm AMENDMENT TO OM DATED FEBRUARY 29, 2008

As filed with the Securities and Exchange Commission on February 29, 2008

 

File No.  811-05028

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM N-1A

 

Registration Statement Under the Investment Company Act of 1940    x
Amendment No. 162    x

 

PIMCO Funds

(Exact Name of Registrant as Specified in Charter)

 

840 Newport Center Drive

Newport Beach, California 92660

(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s Telephone Number, including area code:

(866) 746-2606

 

Robert W. Helm, Esq.

Dechert LLP

1775 I Street, N.W.

Washington, D.C. 20006

  

Ernest L. Schmider

Pacific Investment Management Company LLC

840 Newport Center Drive

Newport Beach, California 92660

 

(Name and Address of Agent for Service)

 

It is intended that this filing will become effective immediately upon filing in accordance with Section 8 of the Investment Company Act of 1940 and the rules thereunder.

 


EXPLANATORY NOTE

 

This Amendment No. 162 to the Registration Statement of PIMCO Funds (the "Trust" or the "Registrant") on Form N-1A (File No. 811-05028) (the "Registration Statement") is being filed to amend and supplement and make other non-material changes to the Trust's Amendment No. 153 under the Investment Company Act of 1940, as amended (the "1940 Act"), filed on June 29, 2007, as pertaining to the International Portfolio, a series of the Trust's Private Account Portfolio Series. This amendment does not affect the currently effective Offering Memorandum and Offering Memorandum Supplement as it relates to other series of the Trust's Private Account Portfolio Series.

 

The shares of beneficial interest in the Private Account Portfolio Series are not registered under the Securities Act of 1933, as amended (the "1933 Act") because such shares will be issued by the Registrant solely in private placement transactions that do not involve any "public offering" within the meaning of the 1933 Act. Shares of the Private Account Portfolio Series may be purchased only by clients of Pacific Investment Management Company LLC who maintain separately managed private accounts, and who are also "accredited investors," as defined in Regulation D under the 1933 Act, and either (i) "qualified purchasers," as defined for purposes of Section 3(c)(7) of the 1940 Act, or (ii) "qualified institutional buyers," as defined in Rule 144A(a)(1) under the 1933 Act. Shares of the Private Account Portfolio Series may also be purchased by certain investors outside of the United States consistent with applicable regulatory requirements. This Amendment is not an offer to sell, or a solicitation of any offer to buy, any security to the public within the meaning of the 1933 Act.


PIMCO FUNDS

PRIVATE ACCOUNT PORTFOLIO SERIES

 

Amendment dated February 29, 2008 to the

Offering Memorandum dated June 29, 2007

 
 

Disclosure Relating to the PIMCO International Portfolio

 

Effective immediately, Scott A. Mather is the portfolio manager of the International Portfolio.

 

Therefore, effective immediately, the section of the table in the "Management of the Portfolios-Individual Portfolio Managers" section of the Offering Memorandum providing information with respect to the management of the International Portfolio is deleted, and is replaced by the following:

             
             

Portfolio

  

Portfolio Manager

  

Since

  

Recent Professional Experience

International Portfolio

  

Scott A. Mather

  

2/08

  

Managing Director, PIMCO. He is a member of PIMCO's Investment Committee and head of global portfolio management. Mr. Mather joined PIMCO in 1998.

 

Investors Should Retain This Amendment For Future Reference


 

PIMCO FUNDS

PRIVATE ACCOUNT PORTFOLIO SERIES

 

Amendment dated February 29, 2008 to the

Offering Memorandum Supplement dated June 29, 2007

 
 

Disclosure Relating to the PIMCO International Portfolio

 

Effective immediately, Scott A. Mather is the portfolio manager of the International Portfolio (the "Portfolio").

 

Therefore, effective immediately, the section of the table on page 59, including footnote 6 thereto, in the subsection titled "Portfolio Managers-Other Accounts Managed," providing information with respect to management of other accounts by the portfolio manager of the Portfolio is deleted, and is replaced by the following:

 

                     

 

  

Total
Number
of Accounts

  

Total Assets of
All Accounts
(in $ millions)

  

Number of Accounts
Paying a Performance Fee

  

Total Assets of
Accounts Paying
a Performance
Fee (in $ millions)

Mather6

  

 

  

   

  

 

  

   

Registered Investment Companies

  

0

   

N/A

 

0

   

N/A

Other Pooled Investment Vehicles

  

2

   

$9

 

0

   

N/A

Other Accounts

  

5

   

$1,433

 

3

   

$1,007

___________________

6

Mr. Mather manages the International Portfolio, which has approximately $5.07 billion in total assets under management as of December 31, 2007. Information pertaining to registered investment companies, other pooled investment vehicles and other accounts managed by Mr. Mather is as of October 31, 2007.

 

In addition, in the paragraph immediately preceding the above table, the following sentence is added to the end of the paragraph to clarify that the information relating to Mr. Mather is as of October 31, 2007:

 

Information pertaining to accounts managed by Mr. Mather is as of October 31, 2007.

 

Also, effective immediately, the section of the table on page 64 in the subsection titled "Portfolio Managers-Securities Ownership," providing information with respect to ownership of portfolio securities by the portfolio manager of the Portfolio is deleted, and is replaced by the following:

         

Scott A. Mather4

  

International Portfolio

  

None

   

4

As of February 29, 2008, Mr. Scott A. Mather manages the International Portfolio. As of December 31, 2007, Mr. Mather did not own any shares in the International Portfolio.

 

All portions of the Offering Memorandum Supplement relating to the International Portfolio are incorporated herein by reference. Audited financial statements for the International Portfolio, as of March 31, 2007, including notes thereto, and the reports of PricewaterhouseCoopers LLP thereon, are incorporated by reference solely from the International Portfolio's March 31, 2007 Annual Report. Unaudited financial statements for the International Portfolio, as of September 30, 2007, are incorporated by reference from the International Portfolio's September 30, 2007 Semi-Annual Report. The International Portfolio's unaudited financial statements include all adjustments, consisting of normal recurring adjustments, that PIMCO considers necessary for a fair presentation of such information.

 

This amendment does not incorporate by reference those portions of the Offering Memorandum Supplement relating to portfolios other than the International Portfolio. In addition, this amendment does not incorporate by reference audited or unaudited financial statements, or notes or reports thereon, relating to other portfolios.

 

 

Investors Should Retain This Amendment For Future Reference


 

PART C. OTHER INFORMATION

Item 23. Exhibits

 

(a )   (1)    Declaration of Trust of Registrant /7/
  (2)    Amended and Restated Declaration of Trust Dated March 31, 2000 /36/
  (3)    Amendment to the Declaration of Trust dated February 25, 1992 /36/
  (4)    Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest dated February 26, 2008 /37/
(b )      Form of By-Laws of Registrant /7/
(c )      Not applicable
(d )   (1)    Form of Investment Advisory Contract /7/
(d )   (2)    Form of Amendment to Investment Advisory Contract /7/
  (3)    Form of Supplement to Investment Advisory Contract Relating to StocksPLUS Short Strategy Fund /2/
  (4)    Supplement to Investment Advisory Contract Relating to Balanced Fund /3/
  (5)    Form of Supplement to Investment Advisory Contract Relating to Global Bond Fund II /5/
  (6)    Form of Supplement to Investment Advisory Contract Relating to Real Return Bond Fund /5/
  (7)    Form of Supplement to Investment Advisory Contract Relating to Low Duration Mortgage Fund, Total Return Mortgage Fund, Emerging Markets Bond Fund, and Emerging Markets Bond Fund II /6/
  (8)    Form of Supplement to Investment Advisory Contract Relating to Municipal Bond Fund /8/
  (9)    Form of Supplement to Investment Advisory Contract Relating to Long Duration Fund /9/
  (10)    Form of Supplement to Investment Advisory Contract Relating to Convertible Fund /10/
  (11)    Form of Supplement to Investment Advisory Contract Relating to Low Duration Municipal Bond, California Intermediate Municipal Bond and New York Municipal Bond Funds /12/
  (12)    Form of Supplement to Investment Advisory Contract Relating to PIMCO Private Account Portfolios /13/
  (13)    Form of Investment Advisory Contract /14/
  (14)    Form of Supplement to Investment Advisory Contract Relating to PIMCO California Municipal Bond Fund and PIMCO Short-Term Emerging Markets Portfolio /14/
  (15)    Form of Supplement to Investment Advisory Contract Relating to Loan Obligation Fund /15/
  (16)    Form of Supplement to Investment Advisory Contract Relating to PIMCO European Convertible Fund /16/
  (17)    Form of Supplement to Investment Advisory Contract Relating to PIMCO Asset-Backed Securities Portfolio and PIMCO Asset-Backed Securities Portfolio II /16/
  (18)   

Form of Supplement to Investment Advisory Contract Relating to the Real Return Fund II and Real Return Asset

Fund /17/


 
  (19)    Form of Supplement to Investment Advisory Contract Relating to the PIMCO All Asset Fund, PIMCO CommodityRealReturn Strategy Fund and PIMCO StocksPLUS Total Return Fund /19/
  (20)    Form of Asset Allocation Sub-Advisory Agreement Relating to the PIMCO All Asset Fund /19/
  (21)    Form of Supplement to Investment Advisory Contract Relating to PIMCO Diversified Income Fund /21/
  (22)    Form of Amended and Restated Investment Advisory Contract /22/
  (23)    Form of Asset Allocation Sub-Advisory Agreement Relating to the PIMCO All Asset All Authority Fund /23/
  (24)   

Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO Foreign Bond Fund

(Unhedged) /24/

  (24)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO Floating Income Fund /24/
  (25)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO Developing Local Markets Fund, PIMCO Fundamental IndexPLUS Fund and PIMCO Fundamental IndexPLUS TR Fund /26/
  (26)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO Small Cap StocksPLUS TR Fund /27/
  (27)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO High Yield Municipal Bond Fund /28/
  (28)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO California Short Duration Municipal Income Fund, PIMCO Extended Duration Fund and PIMCO Long Duration Total Return Fund /29/
  (29)    Form of Sub-Advisory Agreement relating to the Fundamental IndexPLUS Fund and Fundamental IndexPLUS TR Fund /30/
  (30)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO International StocksPLUS TR Strategy Fund (Unhedged) /31/
  (31)    Form of Amended and Restated Investment Advisory Contract Relating to the PIMCO Emerging Local Bond Fund /32/
  (32)    Supplement to Amended and Restated Investment Advisory Contract Relating to the PIMCO Income Fund /33/
  (33)    Supplement to Amended and Restated Investment Advisory Contract Relating to the PIMCO StocksPLUS® Long Duration Fund /35/
  (34)    Supplement to Amended and Restated Investment Advisory Contract Relating PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund, PIMCO RealRetirement 2050 Fund, PIMCO Fundamental Advantage Total Return Strategy Fund, PIMCO Fundamental Advantage Tax Efficient Strategy Fund and Private Account Portfolio Series: Money Market Portfolio /38/
  (35)    Supplement to Sub-Advisory Agreement relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund and PIMCO Fundamental Advantage Total Return Strategy Fund /38/
(e)   (1)    Form of Amended and Restated Distribution Contract /37/
  (2)    Form of Japan Dealer Sales Contract /11/


 
(f)    Not applicable
(g)    Form of Custody and Investment Accounting Agreement /11/
(h)    (1)    Form of Third Amended and Restated Administration Agreement /37/
   (2)    Form of Fee Waiver Agreement Relating to the PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund and PIMCO RealRetirement 2050 Fund /37/
(i)    Opinion and Consent of Counsel /39/
(j)    Consent of Independent Registered Public Accounting Firm /39/
(k)    Not applicable
(l)    Not applicable
(m)    (1)    Form of Distribution and Servicing Plan for Class A Shares /4/
   (2)    Form of Distribution and Servicing Plan for Class B Shares /4/
   (3)    Form of Distribution and Servicing Plan for Class C Shares /4/
   (4)    Form of Amended and Restated Distribution Plan for Administrative Class Shares /7/
   (5)    Form of Amended and Restated Administrative Services Plan for Administrative Class Shares /7/
   (6)    Form of Distribution and Servicing Plan for Class J Shares /11/
   (7)    Form of Distribution and Servicing Plan for Class K Shares /11/
   (8)    Form of Distribution and Servicing Plan for Class C Shares of the Short Duration Municipal Income Fund /18/
   (9)    Form of Administrative Services Plan for Advisor Class Shares /20/
   (10)    Form of Distribution Plan for Advisor Class Shares /20/
   (11)    Form of Distribution and Services Plan for Class R Shares /20/
   (12)    Administrative Services Plan for Class P Shares /39/
   (13)    Shareholder Servicing Agreement for Class P Shares /39/
(n)       Sixth Amended and Restated Multi-Class Plan adopted pursuant to Rule 18f-3 /37/
(p)    (1)    Form of Code of Ethics for the Registrant /27/
   (2)    Form of Code of Ethics for PIMCO /27/
   (3)    Form of Code of Ethics for Allianz Global Investors Distributors LLC /30/
   (4)    Form of Code of Ethics for Research Affiliates, LLC /32/

 

* Form of Power of Attorney /6/
** Form of Power of Attorney /15/
*** Form of Power of Attorney /25/


 
  /1/    Filed with Post Effective Amendment No. 33 to the Registration Statement of PIMCO Advisors Funds (File No. 2-87203) on November 30, 1995, and incorporated by reference herein.
  /2/    Filed with Post-Effective Amendment No. 27 on January 16, 1996, and incorporated by reference herein.
  /3/    Filed with Post-Effective Amendment No. 28 on April 1, 1996, and incorporated by reference herein.
  /4/    Filed with Registration Statement on Form N-14 (File No. 333-12871) on September 27, 1996, and incorporated by reference herein.
  /5/    Filed with Post Effective Amendment No. 33 on January 13, 1997, and incorporated by reference herein.
  /6/    Filed with Post-Effective Amendment No. 36 on July 11, 1997, and incorporated by reference herein.
  /7/    Filed with Post-Effective Amendment No. 37 on November 17, 1997, and incorporated by reference herein.
  /8/    Filed with Post-Effective Amendment No. 40 on March 13, 1998, and incorporated by reference herein.
  /9/    Filed with Post-Effective Amendment No. 42 on September 11, 1998, and incorporated by reference herein.
  /10    Filed with Post-Effective Amendment No. 44 on April 2, 1999, and incorporated by reference herein.
  /11/    Filed with Post-Effective Amendment No. 45 on May 26, 1999, and incorporated by reference herein.
  /12/    Filed with Post-Effective Amendment No. 46 on June 17, 1999, and incorporated by reference herein.
  /13/    Filed with Amendment No. 55 to the Registration Statement under the Investment Company Act of 1940 on October 8, 1999, and incorporated by reference herein.
  /14/    Filed with Amendment No. 61 to the Registration Statement under the Investment Company Act of 1940 on May 16, 2000, and incorporated by reference herein.
  /15/    Filed with Post-Effective Amendment No. 54 on May 18, 2000, and incorporated by reference herein.
  /16/    Filed with Post-Effective Amendment No. 57 on August 31, 2000, and incorporated by reference herein.
  /17/    Filed with Post-Effective Amendment No. 60 on May 17, 2001, and incorporated by reference herein.
  /18/    Filed with Post-Effective Amendment No. 65 on April 1, 2002, and incorporated by reference herein.
  /19/    Filed with Post-Effective Amendment No. 68 on June 28, 2002, and incorporated by reference herein.
  /20/    Filed with Post-Effective Amendment No. 74 on December 30, 2002, and incorporated by reference herein.
  /21/    Filed with Post-Effective Amendment No. 78 on June 30, 2003, and incorporated by reference herein.
  /22/    Filed with Post-Effective Amendment No. 85 on September 30, 2003, and incorporated by reference herein.
  /23/    Filed with Post-Effective Amendment No. 86 on October 21, 2003, and incorporated by reference herein.
  /24/    Filed with Post-Effective Amendment No. 97 on July 30, 2004, and incorporated by reference herein.
  /25/    Filed with Post-Effective Amendment No. 99 on May 27, 2005, and incorporated by reference herein.
  /26/    Filed with Post-Effective Amendment No. 100 on May 31, 2005, and incorporated by reference herein.
  /27/    Filed with Post-Effective Amendment No. 106 on March 29, 2006, and incorporated by reference herein.
  /28/    Filed with Post-Effective Amendment No. 111 on July 24, 2006, and incorporated by reference herein.
  /29/    Filed with Post-Effective Amendment No. 114 on August 29, 2006, and incorporated by reference herein.
  /30/    Filed with Post-Effective Amendment No. 117 on October 27, 2006, and incorporated by reference herein.
  /31/    Filed with Post-Effective Amendment No. 118 on November 22, 2006, and incorporated by reference herein.
  /32/    Filed with Post-Effective Amendment No. 119 on December 19, 2006, and incorporated by reference herein.
  /33/    Filed with Post-Effective Amendment No. 123 on March 29, 2007, and incorporated by reference herein.
  /34/    Filed with Post-Effective Amendment No. 126 on July 27, 2007, and incorporated by reference herein.
  /35/    Filed with Post-Effective Amendment No. 127 on August 22, 2007, and incorporated by reference herein.
  /36/    Filed with Post-Effective Amendment No. 128 on December 14, 2007, and incorporated by reference herein.
  /37/    Filed with Post-Effective Amendment No. 129 on February 27, 2008, and incorporated by reference herein.
  /38/    Filed with Post-Effective Amendment No. 130 on February 29, 2008, and incorporated by reference herein.
  /39/    To be filed by amendment.


 

Item 24. Persons Controlled by or Under Common Control With Registrant

The Trust through the CommondityRealReturn Strategy Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund I Ltd. (“Subsidiary”), a company organized under the laws of the Cayman Islands. The Subsidiary’s financial statements will be included, on a consolidated basis, in the CommodityRealReturn Strategy Fund’s annual and semi-annual reports to shareholders.

Item 25. Indemnification

Reference is made to Article IV of the Registrant’s Declaration of Trust, which was filed with the Registrant’s initial Registration Statement.

Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to trustees, officers and controlling persons of the Registrant by the Registrant pursuant to the Declaration of Trust or otherwise, the Registrant is aware that in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and, therefore, is unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by trustees, officers or controlling persons of the Registrant in connection with the successful defense of any act, suit or proceeding) is asserted by such trustees, officers or controlling persons in connection with the shares being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issues.

Item 26. Business and Other Connections of Investment Adviser

The directors and officers of PIMCO and their business and other connections are as follows:


 

Name

  

Business and Other Connections

Afrasiabi, Mark S.

   Vice President, PIMCO.

Agredano, Carlos

   Vice President, PIMCO.

Ahto, Laura A.

   Senior Vice President, PIMCO and PIMCO Europe Limited.

Althof, Michael

   Vice President, PIMCO.

Amey, Mike

   Executive Vice President, PIMCO and PIMCO Europe Limited.

Anctil, Stacie D.

   Vice President, PIMCO; Assistant Treasurer, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust, and PIMCO Strategic Global Government Fund, Inc.

Anderson, Joshua M.

   Senior Vice President, PIMCO.

Andrews, David S.

   Executive Vice President, PIMCO.

Anochie, Kwame A.

   Vice President, PIMCO.

Arnold, Tammie J.

   Managing Director, PIMCO.

Asay, Michael R.

   Executive Vice President, PIMCO.

Asay, Susan

   Vice President, PIMCO.

Avancini, Joerg

   Vice President, PIMCO.

Baburek, Daniel

   Senior Vice President, PIMCO. Formerly Director, Credit Suisse First Boston.

Baker, Brian P.

   Managing Director, PIMCO.

Bal, Gita

   Vice President, PIMCO.

Balls, Andrew Thomas

  

Senior Vice President, PIMCO.

Formerly Chief U.S. Economics Correspondent, The Financial Times, Washington.

Bansal, Sharad

   Vice President, PIMCO.

Barnes, Donna E.

   Vice President, PIMCO.

Baz, Jamil

   Executive Vice President, PIMCO. Formerly Managing Director, Goldman Sachs (London).

Beaumont, Stephen B.

   Executive Vice President, PIMCO.

Benson, Sandra M.

   Vice President, PIMCO.

Benz II, William R.

   Managing Director, PIMCO.

Ben-Zvi, Kfir

   Vice President, PIMCO. Formerly Associate Director, UBS Investment Bank.

Berndt, Andreas

   Senior Vice President, PIMCO.

Bhansali, Vineer

   Managing Director, PIMCO.

Bishop, Gregory A.

   Executive Vice President, PIMCO.

Blair, David James

   Vice President, PIMCO. Formerly Vice President, Nuveen Investments.

Blau, Volker

   Executive Vice President, PIMCO.


 

Name

  

Business and Other Connections

Blomenkamp, Felix

   Senior Vice President, PIMCO.

Blute, Ryan Patrick

   Vice President, PIMCO.

Bodereau, Philippe

   Senior Vice President, PIMCO

Boehm, Timo

   Vice President, PIMCO

Borneleit, Adam

   Senior Vice President, PIMCO

Bosomworth, Andrew

   Executive Vice President, PIMCO

Boyd,C Robert

   Vice President, PIMCO

Bradshaw, Myles

   Vice President, PIMCO. Formerly Global Fund Manager, Thrreadneedle Asset Management.

Bridwell, Jennifer S

   Senior Vice President, PIMCO. Formerly Senior Account Executive, Fannie Mae.

Brittain, WH Bruce

   Executive Vice President, PIMCO.

Broadwater, Kevin M.

   Senior Vice President, PIMCO. Formerly Counsel, Seward & Kissel.

Brown, Erik C.

   Senior Vice President, PIMCO. Assistant Treasurer, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.

Brune, Christopher P.

   Vice President, PIMCO.

Brynjolfsson, John B

   Managing Director, PIMCO.

Bui, Giang H.

   Senior Vice President, PIMCO.

Burns, Michael A.

   Senior Vice President, PIMCO and PIMCO Europe Limited.

Burns, Robert

   Vice President, PIMCO. Formerly Senior Director, Freddie Mac.

Burns, Robert Wesley

   Consulting Managing Director, PIMCO. Trustee of the Trust and PIMCO Variable Insurance Trust. Director of PCM Fund, Inc. Chairman and Director, PIMCO Strategic Global Government Fund, Inc. Director of PS Business Parks, Inc.

Byer, Jeffrey A.

   Vice President, PIMCO. Formerly Vice President, JPMorgan Chase & Co.

Callin, Sabrina C.

   Executive Vice President, PIMCO.

Carnachan, Robert Scott

   Senior Vice President, PIMCO and PIMCO Asia PTE Limited.

Cavalieri, John R.

   Vice President, PIMCO

Chen, Wing-Harn

   Vice President, PIMCO. Formerly Director/Senior Analyst, ABN AMRO Inc.


 

Name

  

Business and Other Connections

Chin, Tracy

   Vice President, PIMCO and PIMCO Asia PTE Limited.

Chipp, William

   Vice President, PIMCO.

Chopra, Amit

   Vice President, PIMCO.

Clarida, Richard H

   Executive Vice President, PIMCO. Formerly Chief Economic Strategist, Clinton Group Investment Advisors.

Clark, Marcia K.

   Senior Vice President, PIMCO.

Clark, Raymond Matthew

   Vice President, PIMCO.

Clarke, James Robert

   Vice President, PIMCO.

Conseil, Cyrille R.

   Executive Vice President, PIMCO.

Cressy, Jonathan B.

   Vice President, PIMCO.

Cummings, John B.

   Executive Vice President, PIMCO.

Cupps, Wendy W.

   Managing Director, PIMCO.

Dada, Suhail H.

   Executive Vice President, PIMCO.

Dahlhoff, Juergen

   Vice President, PIMCO.

Danielsen, Birgitte

   Vice President, PIMCO.

Dawson, Craig A.

   Managing Director, PIMCO.

De Bellis, Mary

   Vice President, PIMCO.

De Leon, William

   Executive Vice President, PIMCO. Formerly Portfolio Manager, Ellington Management Group.

De Lorenzo, Nicola A.

   Vice President, PIMCO.

Devlin, Edward

   Senior Vice President, PIMCO.

Dialynas, Chris P.

   Managing Director, PIMCO.

Dilek, Burcin

   Vice President, PIMCO.

Dorff, David J.

   Senior Vice President, PIMCO.

Dorrian, Peter G.

   Senior Vice President, PIMCO. Formerly Managing Director, Financial Consulting Svcs Pty, LTD.

Dugan, Travis J.

   Vice President, PIMCO.

Durham, Jennifer E.

   Senior Vice President, PIMCO and Chief Compliance Officer, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.

Dutta, Manish

   Vice President, PIMCO.

Edler, Vernon

   Vice President, PIMCO.

Eedes, Linda

   Vice President, PIMCO.

El-Erian, Mohamed A.

   Managing Director, PIMCO. Formerly President and CEO of Harvard Management Company.


 

Name

  

Business and Other Connections

Ellis, Edward L.

   Vice President, PIMCO.

Eltz, Antoinette

   Vice President, PIMCO and PIMCO Europe Limited.

England, Jason S.

   Vice President, PIMCO.

Estep, Bret W.

   Vice President, PIMCO.

Evans, Stefanie D.

   Vice President, PIMCO.

Fairchild, Anne Mary

   Senior Vice President, PIMCO.

Feeny, Martin E.

   Vice President, PIMCO.

Fejdasz, Melissa A.

   Vice President, PIMCO.

Fields, Robert A.

   Senior Vice President, PIMCO.

Finkenzeller, Thomas

   Vice President, PIMCO.

Fisher III, David N.

   Executive Vice President, PIMCO.

Fisher, Marcellus M.

   Senior Vice President, PIMCO.

Flattum, David C.

   Executive Vice President, General Counsel, PIMCO. Chief Legal Officer, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc. Formerly Managing Director, Chief Operating Officer and General Counsel, Allianz Global Investors of America L.P. and Partner at Latham & Watkins LLP.

Foong, Hock Meng

   Executive Vice President, PIMCO. Formerly Managing Director, Bank Pictet & CHE (Asia) Ltd.

Forsyth, Andrew C.

   Vice President, PIMCO. Formerly Regional Director, Russell Investment Group.

Fournier, Joseph A.

   Senior Vice President, PIMCO.

Fowler, Ellen

   Vice President, PIMCO.

Foxall, Julian

   Senior Vice President, PIMCO.

Frisch, Ursula T.

   Senior Vice President, PIMCO.

Fulford III, Richard F.

   Executive Vice President, PIMCO.

Furusho, Hiroaki

   Vice President, PIMCO.

Gandolfi, Alessandro

   Senior Vice President, PIMCO. Formerly Director, Sanpaolo IMI Group.

Garbuzov, Yuri P.

   Senior Vice President, PIMCO.

Garden, Kaylee

   Vice President, PIMCO.

Gibson, Thomas C.

   Vice President, PIMCO.

Gingrich, Robert M.

   Vice President, PIMCO.

Gleason, G. Steven

   Executive Vice President, PIMCO.

Gomez, Michael A.

   Executive Vice President, PIMCO.

Gore, Gregory T.

   Senior Vice President, PIMCO.

Gould, Linda J

   Vice President, PIMCO.

Grabar, Gregory S.

   Senior Vice President, PIMCO.


 

Name

  

Business and Other Connections

Graves, Zoya S.

   Vice President, PIMCO.

Greer, Robert J.

   Executive Vice President, PIMCO.

Griffiths, Stuart Paul

   Vice President, PIMCO. Formerly Head of Compliance, American Express Bank.

Gross, William H.

   Managing Director, Chief Investment Officer and Executive Committee Member, PIMCO. Director and Vice President, StocksPLUS Management, Inc. Senior Vice President of the Trust and PIMCO Variable Insurance Trust.

Gruben, Kristin L.

   Vice President, PIMCO.

Grzesik, Marco

   Vice President, PIMCO.

Gu, Haidi

   Vice President, PIMCO. Formerly Assistant Vice President/Quantitative Analyst, Highland Financial Holdings Group, LLC.

Gupta, Sachin

   Vice President, PIMCO.

Gupta, Shailesh

   Senior Vice President, PIMCO.

Haaf, Tim

   Vice President, PIMCO.

Haeckl, Tanja

   Vice President, PIMCO.

Hagmeier, William Robert

   Vice President, PIMCO. Formerly Vice President, Advantus Capital Management.

Hally, Gordon C.

   Executive Vice President, PIMCO.

Hamalainen, Pasi M.

   Managing Director and Executive Committee Member, PIMCO. Senior Vice President, PIMCO Strategic Global Government Fund, Inc.

Hardaway, John P.

   Executive Vice President, PIMCO. Vice President, StocksPLUS Management, Inc. Treasurer, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.


 

Name

  

Business and Other Connections

Harris, Brent Richard

   Managing Director and Executive Committee Member, PIMCO. Director and Vice President, StocksPLUS Management, Inc. Trustee and Chairman of the Trust and PIMCO Variable Insurance Trust. Director and Chairman, PCM Fund, Inc. Director, PIMCO Luxembourg S.A. and PIMCO Luxembourg II.

Harumi, Kazunori

   Senior Vice President, PIMCO.

Hastings, Arthur J.

   Vice President, PIMCO.

Hayes, Ray C.

   Senior Vice President, PIMCO.

Heimann, Ilan

   Senior Vice President, PIMCO.

Helsing, Jeffrey

   Vice President, PIMCO.

Herlan, Hans Joerg

   Vice President, PIMCO.

Hodge, Douglas M.

   Managing Director, PIMCO.

Holden, Brent L.

   Managing Director, PIMCO.

Holloway Jr., Dwight F.

   Executive Vice President, PIMCO.

Hudoff, Mark T.

   Executive Vice President, PIMCO.

Hughes, Mark Alan

   Vice President, PIMCO. Formerly Financial Analyst, W.R. Huff Asset Mgmt.

Huxhorn, Michael

   Vice President, PIMCO.

Ing, Terrence

   Vice President, PIMCO. Formerly Senior Research Analyst, Wells Fargo Securities Investment Group.

Isberg, Margaret E.

   Managing Director, PIMCO.

Ishida, Koji

   Vice President, PIMCO.

Ivascyn, Daniel J.

   Managing Director, PIMCO. Senior Vice President, PCM Fund, Inc. and PIMCO Strategic Global Government Fund, Inc.

Jacobs IV, Lew W.

   Managing Director, PIMCO.

Jann, Juergen

   Senior Vice President, PIMCO.

Johnson, Nicholas, J.

   Vice President, PIMCO.

Johnson, Eric D

   Vice President, PIMCO. Formerly Director of Mutual Funds, Wasatch Advisors.

Johnson, Kelly

   Vice President, PIMCO.

Jones, Steven L.

   Vice President, PIMCO.

Karpov, Natalie

   Vice President, PIMCO.

Katz, Ulrich

   Senior Vice President, PIMCO.

Kavafyan, Constance

   Vice President, PIMCO. Formerly Executive Director, Morgan Stanley.


 

Name

  

Business and Other Connections

Keck, Andreas

   Senior Vice President, PIMCO.

Kelleher III, Thomas J.

   Vice President, PIMCO.

Keller, Erik

   Vice President, PIMCO. Formerly Sr. Investment Specialist, Robeco Asset Mgmt.

Keller, James M.

   Managing Director, PIMCO.

Kellerhals, Philipp

   Vice President, PIMCO.

Kelly, Benjamin Marcus

   Vice President, PIMCO.

Kersman, Alec

   Vice President, PIMCO.

Kezelman, Jason M

   Vice President, PIMCO.

Kiesel, Mark R.

   Executive Vice President, PIMCO.

King Jr., John Stephen

   Senior Vice President, PIMCO. Vice President, StocksPLUS Management Inc. Vice President, Senior Counsel, and Secretary, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.

King, Stephanie Lorraine

   Senior Vice President, PIMCO.

Kirkbaumer, Steven P.

   Senior Vice President, PIMCO.

Kishimoto, Yayoi

   Vice President, PIMCO.

Komatsu, Mitsuaki

   Vice President, PIMCO. Formerly Compliance Officer, Frank Russell Japan Co, Ltd

Korinke, Kimberley Grace

   Vice President, PIMCO.

Korinke, Ryan P.

   Vice President, PIMCO.

Komatsu, Mitsuaki

   Senior Vice President, PIMCO.

Kressin, Thomas

   Senior Vice President, PIMCO.

Kuhner, Kevin D.

   Vice President, PIMCO.

Lackey, Warren M.

   Senior Vice President, PIMCO.

Larsen, Henrik P.

   Senior Vice President, PIMCO. Vice President, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.

LeBrun Jr., Richard R.

   Vice President, PIMCO. Formerly Associate, Ropes & Gray, LLP.

Lee, Alvin Lip Sin

   Vice President, PIMCO.

Lee, Robert Ru-Bor

   Vice President, PIMCO.

Lehavi, Yanay

   Senior Vice President, PIMCO.

Li, Li

   Vice President, PIMCO.

Lian, Chia Liang

   Vice President, PIMCO. Formerly Vice President, JP Morgan Chase Bank.


 

Name

  

Business and Other Connections

Linder, Astrid

   Vice President, PIMCO.

Linder, Dominque

   Vice President, PIMCO.

Loftus, John S.

   Consulting MD, PIMCO.

Loh, John J.

   Vice President, PIMCO.

Long, Hui

   Vice President, PIMCO.

Lopez, Rafael A.

   Vice President, PIMCO. Formerly Vice President, State Street.

Louanges, Matthieu

   Executive Vice President, PIMCO.

Lowe, Erika Hayflick

   Vice President, PIMCO. Formerly Vice President, JP Morgan.

Lown, David C.

   Managing Director, PIMCO.

Ludwig, Steven

   Senior Vice President, PIMCO. Formerly Director, Pershing LLC.

Mak, Richard

   Vice President, PIMCO.

Manseau, Chantal Marie-Helene

   Vice President, PIMCO.

Mariappa, Sudesh N.

   Managing Director, PIMCO.

Martel, Rene

   Vice President, PIMCO.

Martin, Scott W.

   Senior Vice President, PIMCO.

Martini, Nadege

   Vice President, PIMCO.

Masanao, Tomoya

   Executive Vice President, PIMCO.

Mather, Scott A.

   Managing Director, PIMCO.

Mayershofer, Veronika

   Vice President, PIMCO.

McCann, Patrick Murphy

   Vice President, PIMCO.

McCray, Mark V.

   Managing Director, PIMCO.

McCulley, Paul A.

   Managing Director, PIMCO.

McDevitt, Joseph V.

   Managing Director, PIMCO. Director and Chief Executive Officer, PIMCO Europe Limited. Director, PIMCO Funds: Global Investors Series plc and PIMCO Global Advisors (Ireland) Limited.

Mead, Robert

   Executive Vice President, PIMCO.

Meehan Jr., James P.

   Senior Vice President, PIMCO.

Meggers, Julie Ann

   Vice President, PIMCO.

Merz, Frederic

   Vice President, PIMCO.

Metsch, Mark E.

   Vice President, PIMCO.

Mewbourne, Curtis A.

   Managing Director, PIMCO.

Mierau, Kristion T.

   Vice President, PIMCO.

Miller Jr., Kendall P.

   Senior Vice President, PIMCO.


 

Name

  

Business and Other Connections

Miller, John M.

   Executive Vice President, PIMCO.

Millimet, Scott A.

   Senior Vice President, PIMCO.

Milo, Davida J.

   Senior Vice President, PIMCO.

Minaki, Haruki

   Senior Vice President, PIMCO. Formerly Vice President, JP Morgan Partners.

Mitchell, Gail

   Senior Vice President, PIMCO.

Mogelof, Eric J.

   Senior Vice President, PIMCO.

Molloy, Carol

   Vice President, PIMCO. Formerly Consultant, Fidelity International.

Monson, Kristen S.

   Executive Vice President, PIMCO.

Moore, James F.

   Executive Vice President, PIMCO.

Morena, Robert

   Senior Vice President, PIMCO. Formerly Managing Director, JPMorgan Asset Management.

Muehlethaler, Jeffrey Charles

   Vice President, PIMCO. Formerly Vice President, Deutsche Bank.

Mukherji, Raja

   Senior Vice President, PIMCO. Formerly Senior Research Analyst, Chatham Asset Management.

Mulcahy, Matthew J.

   Vice President, PIMCO.

Murano, Yuko

   Vice President, PIMCO.

Murata, Alfred T.

   Senior Vice President, PIMCO.

Muzzy, James Frederic

   Managing Director, PIMCO. Chairman and Director, PIMCO Funds: Global Investors Series plc and PIMCO Global Advisors (Ireland) Limited. Director and Vice President, STocksPLUS Management, Inc.

Nabors, Robin

   Vice President, PIMCO.

Nambimadom, Ramakrishnan S.

   Senior Vice President, PIMCO.

Nest, Matthew J.

   Vice President, PIMCO.

Ng, Albert K.

   Vice President, PIMCO.

Nguyen, Tommy D.

   Vice President, PIMCO.

Nicholls, Steven B.

   Senior Vice President, PIMCO.

Nieves, Roger O.

   Senior Vice President, PIMCO.

Nojima, Sachiko

   Vice President, PIMCO.

Norris, John F.

   Vice President, PIMCO.

O’Connell, Gillian

   Senior Vice President, PIMCO.

Okamura, Shigeki

   Senior Vice President, PIMCO.

Okuma, Sachiko

   Vice President, PIMCO.

Okun, Ric

   Senior Vice President, PIMCO.

Olazabal, Joshua A.

   Vice President, PIMCO. Formerly Consultant, McKinsey & Co.


 

Name

  

Business and Other Connections

Ong, Arthur Y.D.    Senior Vice President, PIMCO.
Ongaro, Douglas J.    Executive Vice President, PIMCO.
Osborne, Simon Timothy    Vice President, PIMCO.
Osses, Guillermo Ariel    Senior Vice President, PIMCO. Formerly Director, Barclays Capital.
Otterbein, Thomas J.    Managing Director, PIMCO.
Ozeki, Koyo    Executive Vice President, PIMCO. Formerly Senior Advisor, Nomura Securities.
Pagani, Lorenzo P.    Vice President, PIMCO.
Parikh, Saumil H.    Senior Vice President, PIMCO.
Paulson, Bradley W.    Executive Vice President, PIMCO.
Perez, Keith    Senior Vice President, PIMCO.
Philipp, Elizabeth M.    Executive Vice President, PIMCO.
Phillipson, Daniel    Vice President, PIMCO.
Pimentel, Rudolph    Vice President, PIMCO.
Pittman, David J.    Senior Vice President, PIMCO.
Podlich, William F.    Consulting MD, PIMCO.
Porterfield, Mark J.    Executive Vice President, PIMCO.
Potthof, Axel    Senior Vice President, PIMCO.
Powers, William C.    Managing Director, PIMCO and Senior Vice President of PCM Fund, Inc.
Putyatin, Vladyslav    Senior Vice President, PIMCO. Formerly Director, Deutsche Bank AG
Qu, Wendong    Senior Vice President, PIMCO.
Rahari, Pierre-Yves    Vice President, PIMCO. Formerly Senior Associate, Morgan Stanley Investment Management (Luxembourg).
Ratner, Joshua D.    Vice President, PIMCO. Assistant Secretary, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO StrategicGlobal Government Fund, Inc. Formerly Associate, Skadden, Arps, Slate, Meagher & Flom LLP.
Ravano, Emanuele    Managing Director, PIMCO.
Reimer, Danelle J.    Vice President, PIMCO.
Reimer, Ronald M.    Senior Vice President, PIMCO.
Reisz, Paul W.    Senior Vice President, PIMCO.
Repoulis, Yiannis    Senior Vice President, PIMCO.
Rice, Thomas Edmund    Senior Vice President, PIMCO.
Rodosky, Stephen A.    Executive Vice President, PIMCO.
Rogers, William A.    Vice President, PIMCO.
Rollins, Melody    Senior Vice President, PIMCO.


 

Name

  

Business and Other Connections

Romano, Mark A.    Senior Vice President, PIMCO.
Roney, Scott L.    Executive Vice President, PIMCO.
Ronnie, Stephen    Vice President, PIMCO.
Rosen, Bret Jonathan George    Vice President, PIMCO. Formerly Vice President, Trust Company of the West.
Rowe, Cathy T.    Vice President, PIMCO.
Rudolph, Lynn    Vice President, PIMCO. Formerly Head of Human Resources, ING.
Ruthen, Seth R.    Executive Vice President, PIMCO.
Sakane, Yoshiyuki    Vice President, PIMCO.
Sargent, Jeffrey M.    Executive Vice President, PIMCO, Senior Vice President of Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust, and PIMCO Strategic Global Government Fund, Inc.
Schaus, Stacy Leigh    Senior Vice President, PIMCO. Formerly Principal, Hewitt Associates.
Scherzinger, Marion    Vice President, PIMCO.
Schmider, Ernest L.    Managing Director, PIMCO. President, the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc. Director and Assistant Secretary, StocksPLUS Management, Inc.
Schnatterer, Monika    Vice President, PIMCO.
Schucking, Ivor E.    Executive Vice President, PIMCO.
Schuetz, Patricia Ann    Vice President, PIMCO. Formerly Director, Credit Suisse Asset Management.
Schulist, Stephen O.    Senior Vice President, PIMCO.
Schultes, Adrian O.    Vice President, PIMCO. Formerly Regional Director, Ibbotson Associates.
Schwab, Gerlinde    Vice President, PIMCO.
Schwetz, Myckola    Vice President, PIMCO.
Scibisz, Iwona E.    Vice President, PIMCO.
Scorah, Ian    Vice President, PIMCO. Formerly Senior Investment Lawyer, Morley Fund Management Limited.
Sejima, Toru    Vice President, PIMCO.
Seksaria, Rahul M.    Vice President, PIMCO.
Seliga, Denise C.    Executive Vice President, PIMCO.
Senne, Verena    Vice President, PIMCO.
Shaler, Timothy L.    Senior Vice President, PIMCO.
Shaw, Matthew D.    Vice President, PIMCO.
Sheehy, Erica H.    Vice President, PIMCO.
Shepherd, Julie M.    Vice President, PIMCO.


 

Name

  

Business and Other Connections

Shiroyama, Taro    Vice President, PIMCO.
Short, Jonathan D.    Executive Vice President, PIMCO. Formerly Senior Vice President, Putnam Investments.
Simon, W Scott    Managing Director, PIMCO.
Skobtsov, Ivan    Senior Vice President, PIMCO.
Smith, Kenton Todd    Senior Vice President, PIMCO.
Somersan-Coqui, Aylin    Vice President, PIMCO.
Sonner, Michael    Senior Vice President, PIMCO.
Soto, Alyssa Michele    Vice President, PIMCO.
Spajic, Luke    Senior Vice President, PIMCO. Formerly Proprietary Trader, Goldman Sachs.
Spalding, Scott M.    Senior Vice President, PIMCO.
Spandri, Tobias    Vice President, PIMCO.
Spicijaric, Jennifer N.    Vice President, PIMCO.
Springer, Jeffrey    Senior Vice President, PIMCO.
Staub, Christian Martin    Vice President, PIMCO. Formerly Managing Director, AGI (Schweiz) AG.
Stauffer, Christina    Vice President, PIMCO.
Strauch, Joel Edward    Senior Vice President, PIMCO.
Stravato, Richard    Vice President, PIMCO.
Strelow, Peter G    Senior Vice President, PIMCO.
Struc, Alexandru    Vice President, PIMCO.
Sun, Hao    Vice President, PIMCO. Formerly Director, ING Bank, Hong Kong.
Suo, Tina    Vice President, PIMCO. Formerly Portfolio Manager/Strategist, An Equity Market Neutral Hedge Fund.
Suskind, Donald W.    Vice President, PIMCO.
Suter, Joachim    Vice President, PIMCO. Formerly Client Relationship Manager, UBS Asset Mgmt.
Takano, Makoto    Managing Director, PIMCO.
Takechi, Yoichi    Vice President, PIMCO. Formerly Manager, Mizuho Securities.
Takeuchi, Ichiro    Vice President, PIMCO.
Tarman, Daniel    Executive Vice President, PIMCO.
Telish, Christine M.    Vice President, PIMCO.
Tersin, Dominique    Vice President, PIMCO.
Theodore, Kyle J.    Senior Vice President, PIMCO.
Thompson, Michael Frazier    Vice President, PIMCO. Formerly Client Service Executive, WAMCO.


 

Name

  

Business and Other Connections

Thompson, William S.    Chief Executive Officer, Managing Director and Executive Committee Member, PIMCO. Director and President, StocksPLUS Management, Inc. Senior Vice President, the Trust, PCM Fund, Inc. and PIMCO Variable Insurance Trust.
Thurston, Powell C.    Senior Vice President, PIMCO.
Toloui-Tehrani, Ramin    Senior Vice President, PIMCO. Formerly Director, Office of the Western Hemisphere, U.S. Department of Treasury.
Tomlinson, Brian    Vice President, PIMCO.
Traber, Eva-Maria    Vice President, PIMCO.
Trevithick, Natalie    Vice President, PIMCO. Formerly Credit Trader, Barclays Capital.
Trovato, Michael J.    Vice President, PIMCO.
Tsubota, Shiro    Senior Vice President, PIMCO. Formerly Head of Asset Mgmt Advisory, Deutsche Securities Ltd, Tokyo.
Tyson, Richard E.    Executive Vice President, PIMCO.
Vallarta-Jordal,Maria-Theresa F.    Senior Vice President, PIMCO.
Van De Zilver, Peter A.    Vice President, PIMCO.
van Heel, Marc    Executive Vice President, PIMCO.
van Zoelen, Henk Jan    Vice President, PIMCO. Formerly Investment Consultant, Watson Wyatt.
Velasco, Christine Ann    Vice President, PIMCO.
Velicer, Erik A.    Vice President, PIMCO.
Viana, David    Senior Vice President, PIMCO.
von der Linden, Greg    Vice President, PIMCO. Formerly Senior Vice President, Bank of America.
Wada, Hiromi    Senior Vice President, PIMCO. Formerly Vice President, Cititrust & Banking Corporation.
Walenbergh, Mark    Vice President, PIMCO.
Walker, Trent W.    Vice President, PIMCO and Assistant Treasurer of Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust, and PIMCO Strategic Global Government Funds, Inc. Formerly Senior Manager, Pricewaterhouse Coopers.
Walther, Kasten    Vice President, PIMCO.
Ward, Jim    Executive Vice President, PIMCO.
Watchorn, Michael    Senior Vice President, PIMCO. Formerly Managing Director, Oaktree Capital Management/Trust Company of the West.
Webster, Duncan    Senior Vice President, PIMCO. Formerly Head of Portfolio Strategies and Capital Markets, Group Investments, Allianz SE, Munich Germany.
Weil, Richard M.    Managing Director, PIMCO.


 

Name

  

Business and Other Connections

Weinberger, Michele Deborah    Vice President, PIMCO. Formerly Vice President, Goldman Sachs Asset Mgmt.
White, Timothy C.    Senior Vice President, PIMCO.
Whiting, Lori Lynn    Senior Vice President, PIMCO.
Whitton, Bransby M.    Vice President, PIMCO.
Wild, Christian    Senior Vice President, PIMCO.
Wildforster, Kai    Vice President, PIMCO.
Willemsen, Michael J.    Vice President, PIMCO, of the Trust, PCM Fund, Inc., PIMCO Variable Insurance Trust, and PIMCO Strategic Global Government Fund, Inc.
Williams III, Charles A    Vice President, PIMCO.
Williams, Jason A.    Vice President, PIMCO.
Wilner, Mitchell W.    Senior Vice President, PIMCO. Formerly Director/Senior Trader, Mason Street Advisors, LLC.
Wilson, John F.    Executive Vice President, PIMCO.
Wilson, Susan L.    Executive Vice President, PIMCO.
Winters, Kevin M.    Vice President, PIMCO.
Witt, Frank    Senior Vice President, PIMCO.
Wittkop, Andrew T.    Vice President, PIMCO.
Wolf, Greggory S.    Vice President, PIMCO.
Wong, Tammy Nguyen    Vice President, PIMCO.
Wood, George H.    Executive Vice President, PIMCO.
Worah, Mihir P.    Executive Vice President, PIMCO.
Xu, Jianghua (John)    Vice President, PIMCO.
Yamamoto, Shinichi    Senior Vice President, PIMCO.
Yang, Jing    Vice President, PIMCO. Formerly Structurer, Morgan Stanley.
Yasnov, Vadim I.    Vice President, PIMCO.
Young, David    Executive Vice President, PIMCO.
Yu, Anna W.    Vice President, PIMCO.
Yu, Cheng-Yuan    Executive Vice President, PIMCO.
Yu, Walter    Vice President, PIMCO.
Zerner, Mary    Vice President, PIMCO. Formerly Senior Vice President, Lazard Asset Management Limited - London.
Zhang, Ji Sheng    Vice President, PIMCO.
Zheng, Yingying    Vice President, PIMCO.
Zhu, Changhong    Managing Director, PIMCO.


 

The address of PIMCO is 840 Newport Center Drive, Newport Beach, CA 92660.

The address of Allianz Global Investors of America L.P. is 680 Newport Center Drive, Newport Beach, CA 92660.

The address of Allianz Global Investors Distributors LLC is 1345 Avenue of the Americas, New York, New York, 10105.

The address of PS Business Parks, Inc. is 701 Western Avenue, Glendale, CA 91201.

The directors and officers of Research Affiliates LLC (“Research Affiliates”) and their business and other connections are as follows:

 

Name

  

Business and Other Connections

Arnott, Robert D.    Chairman, Founder, Research Affiliates, LLC
   Formerly Editor, Financial Analysts Journal.
Brennan, Stephen    Vice President, Research Affiliates.
Gratz, Doug    Associate Director, Marketing & Affiliate Relations, Research Affiliates, LLC
Hennessy, David    Managing Director, Marketing, Research Affiliates, LLC
Hsu, Jason    Managing Director, Research & Investment Management, Research Affiliates, LLC
Lee, Eric    Associate Director, Investment Management, Research Affiliates, LLC
Li, Feifei    Associate Director, Research, Research Affiliates, LLC
Nesbit, Janine    Managing Director, Administration, Chief Legal & Compliance Officer, Research Affiliates, LLC
Sherrerd, Katy    Managing Director, Strategic Planning & Affiliate Relations, Research Affiliates, LLC
West, John    Associate Director, Product Specialist, Research Affiliates, LLC
Wildermuth, Jack    Vice President, Research Affiliates
Zhu, Julia    Vice President, Research Affiliates
Kong, Suzanna    Vice President, Investment Management, Research Affiliates, LLC
Harkins, Daniel M    Associate Director & Senior Counsel, Research Affiliates, LLC
McCarty, Greg    Director of Technology, Research Affiliates, LLC
Larsen, Michael    Vice President Strategic Planning & Affiliate Relations, Research Affiliates, LLC

The address of Research Affiliates, LLC is 155 N. Lake Ave., Suite 900, Pasadena, CA 91101.


 
Item 27.    Principal Underwriters

 

(a) Allianz Global Investors Distributors LLC (the “Distributor”) serves as Distributor of Shares of the Trust. The Distributor also acts as the principal underwriter for the Allianz Funds. The Distributor is an indirect subsidiary of Allianz Global Investors of America L.P.

 

(b)  

 

Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Aarts, Erik M.

   Managing Director    None

Allen, Michael T.

   Vice President    None

Biggers, Clark H.

   Vice President   

Bishopp, Malcolm F.

   Managing Director    None

Brannan, Mike

   Senior Vice President    None

Brennan, Deborah P.

   Vice President, Compliance Officer    None

Brenes, Jennifer Ann

   Vice President    None

Brown, Matt

   Senior Vice President    None

Bruce, Fred

   Senior Vice President    None

Burke, Martin

   Senior Vice President, Divisional Sales Manager    None

Cotton, Lesley

   Vice President, Senior Copywriter    None


 

Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Daly, Daniel

   Vice President, On-Line Marketing    None

Davidson, Kellie E.

   Assistant Secretary    None

DeNicolo, Paul

   Vice President    None

Farrel, James C.

   Vice President   

Fessel, Jonathan P.

   Senior Vice President    None

Gallagher, Michael J.

   Vice President    None

Gengo, Joseph

   Senior Vice President    None

Gibbons, Michaela A.

   Senior Vice President   

Gray, Ronald H.

   Senior Vice President    None

Hally, Dan

   Vice President    None

Ham, JoAnn

   Senior Vice President    None

Hammond, Ned

   Senior Vice President    None

Harrington, John

   Vice President    None

Harry, Seon L.

   Vice President    None

Hayes, Derek B.

   Senior Vice President    None

Healey, William V.

   Executive Vice President, Chief Legal Officer, Secretary    None

Higgins, Timothy J.

   Senior Vice President    None

Hoffmann, Christoph

   Senior Vice President, Chief Operating Officer, Global Retail Division    None

Hooper, Kristina

   Executive Vice President    None

Horan, Christopher

   Vice President    None

Howell, Steve

   Vice President    None

Hussey, John B.

   Senior Vice President    None

Jacobs, Brian

   Managing Director, Co-Head of Sales    None


 

Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Kanode, Dustin

   Vice President    None

Kirk, Richard

   Senior Vice President, Associate General Counsel    None

Laing, Andrew G.

   Senior Vice President    None

Laut, Stephen

   Senior Vice President    None

Lynch, William E.

   Senior Vice President, Divisional Sales Manager    None

Maloney, Andy

   Vice President    None

Maher, Sean P.

   Vice President   

Martin, Colleen

   Chief Financial Officer, Financial Operations Principal, Senior Vice President and Controller    None

McAdams, Ann

   Senior Vice President    None

McMenamin, Joseph T.

   Senior Vice President    None

Meyer, Wayne

   Senior Vice President    None

Meyers, Andrew J.

   Managing Director, Chief Operating Officer    None

Milburn, R. Lee

   Senior Vice President    None

Minnix, Joseph P.

   Vice President   

Moore, E. Blake, Jr.

   Managing Director and Chief Executive Officer    None

Moyer, Fiora N.

   Senior Vice President    None

Murphy, George

   Vice President    None


 

Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Neugebauer, Phil J.

   Managing Director    None

Nguyen, Vinh T.

   Senior Vice President, Treasurer    None

Orr, Kelly

   Senior Vice President    None

Patrick, James K. IV

   Managing Director, Co-Head of Sales    None

Pearlman, Joffrey H.

   Senior Vice President    None

Pisapia, Glynne

   Senior Vice President    None

Potesta, Tiffani A.

   Vice President    None

Quigley, Jennifer

   Vice President    None

Rose, Scott

   Senior Vice President    None

Rosoff, Jay S.

   Senior Vice President, Divisional Sales Manager    None

Rotondi, John

   Vice President, Chief Compliance Officer    None

Rudman, Stephen M.

   Senior Vice President, Head of Internal Sales    None

Shanley, Kevin M.

   Vice President    None

Smith, Cathy

   Senior Vice President, Communications Director    None

Smith Jr., Eugene M.

   Senior Vice President, Design Director    None

Smith, Marty

   Senior Vice President    None

Stahl, Cathleen Meere

   Vice President    None

Stergiou, John J.

   Vice President   


 

Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Thomas, Mark G.

   Senior Vice President, National Accounts Manager, Managed Accounts    None

Thompson, Kathleen C.

   Vice President, National Accounts Manager    None

Tiedemann Jr., Barrie L.

   Senior Vice President    None

Toner, William T.

   Senior Vice President    None

Triolo, Richard

   Senior Vice President, Divisional Sales Manager    None

Troyer, Paul H.

   Senior Vice President    None

Whitehouse, Scott

   Senior Vice President    None

Willbrand, James Kevin

   Vice President    None

Willett, Nick

   Senior Vice President, Divisional Sales Manager    None

Wingate, Justin R.

   Vice President    None

Zimmerman, Glen A.

   Vice President, Sr. Marketing Manager    None

 

* The business address of all officers of the Distributor is 1345 Avenue of the Americas, 4th Floor, New York, NY 10105, or 680 Newport Center Drive, Suite 250, Newport Beach, CA 92660

Item 28. Location of Accounts and Records

The account books and other documents required to be maintained by Registrant pursuant to Section 22(a) of the Investment Company Act of 1940 and the Rules thereunder will be maintained at the offices of Pacific Investment Management Company LLC, 840 Newport Center Drive, Newport Beach, California 92660, State Street Bank & Trust Co., 801 Pennsylvania, Kansas City, Missouri 64105, Boston Financial Data Services - Midwest, 330 W. 9th Street, Kansas City, Missouri 64105 and PFPC Inc., P.O. Box 9688, Providence, Rhode Island 02940-9688.

Item 29. Management Services

Not applicable

Item 30. Undertakings

Not applicable

 


 

SIGNATURES

Pursuant to the requirements of the Investment Company Act of 1940, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Washington in the District of Columbia on the 29th day of February, 2008.

 

PIMCO FUNDS
(Registrant)
By:  

 

  Ernest L. Schmider*
  President
*By:  

/s/ ROBERT W. HELM

  Robert W. Helm
  as attorney-in-fact

* Pursuant to power of attorney filed with Post-Effective Amendment No. 99 to Registration Statement No. 33-12113 on May 27, 2005.