POS AMI 1 dposami.htm PRIVATE ACCOUNT PORTFOLIO Private Account Portfolio

As filed with the Securities and Exchange Commission on April 3, 2009

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. 194    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

  

Brent R. Harris

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. 194 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. 191 under the Investment Company Act of 1940, as amended (the “1940 Act”), filed on February 27, 2009, as pertaining to the Developing Local Markets Portfolio and the Emerging Markets Portfolio, each a series of the Trust’s Private Account Portfolio Series. This amendment does not affect the currently effective Offering Memoranda and Offering Memorandum Supplements as they relate 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, including separately managed private accounts and investment companies registered under the Investment Company Act of 1940, as amended (the “1940 Act”) and other funds, who are “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 April 3, 2009 to the

Offering Memorandum dated February 27, 2009

Disclosure Related to the PIMCO Developing Local Markets Portfolio and

the PIMCO Emerging Markets Portfolio (the “Portfolios”)

Effective April 1, 2009, Guillermo Ossés is the portfolio manager of the Portfolios and the disclosure in the table providing information with respect to the Portfolios in the “Management of the Portfolios—Individual Portfolio Managers” section of the Offering Memorandum is deleted and replaced with the following:

 

Portfolio

     Manager      Since     

Recent Professional Experience

Developing Local Markets      Guillermo Ossés      4/09      Executive Vice President, PIMCO. Mr. Ossés joined PIMCO in 2006 and is a member of the emerging markets portfolio management team. Prior to joining PIMCO, he was associated with Barclays Capital where he was responsible for proprietary trading and market making of Latin American securities and quoting of Asian and Eastern European currencies.

 

Emerging Markets

         

 

4/09

    

Investors Should Retain This Amendment For Future Reference

 


PIMCO Funds

Private Account Portfolio Series

Amendment dated April 3, 2009 to the

Offering Memorandum Supplement dated February 27, 2009

Disclosure Related to the PIMCO Developing Local Markets Portfolio and

the PIMCO Emerging Markets Portfolio (the “Portfolios”)

Effective April 1, 2009, Guillermo Ossés is the portfolio manager of the Portfolios and footnote 2 and the section accompanying that footnote in the table beginning on page 49 in the subsection titled “Portfolio Managers—Other Accounts Managed” are deleted and replaced with 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)

Ossés2

           

Registered Investment Companies

   2    $ 768    0    N/A

Other Pooled Investment Vehicles

   8    $ 1,592    0    N/A

Other Accounts

   1    $ 254    0    N/A

 

2

As of April 1, 2009, Mr. Ossés manages the Developing Local Markets Portfolio and the Emerging Markets Portfolio, which, as of March 31, 2008, have $689 million and $1.74 billion in total assets under management, respectively.

In addition, the following sentence is added to the end of the paragraph immediately preceding the above table:

Information pertaining to accounts managed by Mr. Ossés is as of April 1, 2009.

Additionally, footnote 2 and the section accompanying that footnote in the table beginning on page 52 in the subsection titled “Portfolio Managers—Securities Ownership” are deleted and replaced with the following:

 

Portfolio Manager

 

Funds Managed by Portfolio Manager

 

Dollar Range of Shares Owned

Ossés 2

  Developing Local Markets Portfolio   None
  Emerging Markets Portfolio   None

 

2

As of April 1, 2009, Mr. Ossés manages the Developing Local Markets Portfolio and the Emerging Markets Portfolio. As of March 31, 2009, to the best of the Trust’s knowledge, Mr. Ossés did not own any shares of the Developing Local Markets Portfolio or the Emerging Markets Portfolio.

Investors Should Retain This Amendment For Future Reference


PART C. OTHER INFORMATION

Item 23. Exhibits

 

(a )   (1)    Declaration of Trust of Registrant /4/
  (2)    Amended and Restated Declaration of Trust Dated March 31, 2000 /16/
  (3)    Amendment to the Declaration of Trust dated February 25, 1992 /16/
  (4)    Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest dated February 26, 2008 /17/
  (5)    Establishment and Designation of Two Additional Series of Shares of Beneficial Interest relating to the PIMCO Fixed Income Unconstrained Fund and PIMCO Global Advantage Fund dated April 9, 2008 /22/
  (6)    Amended Designation of Two Existing Series of Shares and Establishment and Designation of Two Additional Classes relating to the PIMCO Unconstrained Bond Fund and PIMCO Global Advantage Strategy Bond Fund dated May 20, 2008 /22/
  (7)    Establishment and Designation of Two Additional Classes of Shares of Beneficial Interest relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund, PIMCO Fundamental Advantage Total Return Strategy Fund, PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund and PIMCO RealRetirement 2050 Fund /23/
  (8)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Global Multi-Asset Fund /24/
  (9)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund and PIMCO Long Duration Corporate Bond Portfolio /25/
  (10)    Amended Designation of One Existing Series of Shares of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio /26/
  (11)    Establishment and Designation of Two Additional Series and One Additional Class of Shares of Beneficial Interest relating to the PIMCO Government Money Market Fund and the PIMCO Treasury Money Market Fund /29/
  (12)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Long-Term Credit Fund /30/
  (13)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Unconstrained Tax Managed Bond Fund /31/
  (14)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio II /32/
  (15)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets Infrastructure Bond Fund /34/
(b )      Form of By-Laws of Registrant /4/
(c )      Not applicable
(d )   (1)    Investment Advisory Contract dated May 5, 2000 (as restated August 19, 2003) /21/
  (2)    Supplement and Amended Exhibit A to Investment Advisory Contract dated February 26, 2008 /21/
  (3)    Supplement and Amended Exhibit A to Investment Advisory Contract relating to the PIMCO Unconstrained Bond Fund and PIMCO Global Advantage Strategy Bond Fund dated May 20, 2008 /22/
  (4)    Supplement and Amended Exhibit A to Investment Advisory Contract relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund, PIMCO Global Multi-Asset Fund and PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008 /24/
  (5)    Supplement and Amended Exhibit A to Investment Advisory Contract relating to the PIMCO Government Money Market Fund, PIMCO Treasury Money Market Fund and PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008 /29/


  (6)    Supplement and Amended Exhibit A to Investment Advisory Contract relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II /33/
  (7)    Form of Supplement and Amended Exhibit A to Investment Advisory Contract Relating to the PIMCO Emerging Markets Infrastructure Bond Fund /34/
  (8)    Form of Asset Allocation Sub-Advisory Agreement Relating to the PIMCO All Asset Fund /9/
  (9)    Form of Asset Allocation Sub-Advisory Agreement Relating to the PIMCO All Asset All Authority Fund /11/
  (10)    Form of Sub-Advisory Agreement relating to the Fundamental IndexPLUS Fund and Fundamental IndexPLUS TR Fund /14/
  (11)    Supplement to Sub-Advisory Agreement relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund and PIMCO Fundamental Advantage Total Return Strategy Fund /18/
  (12)    Sub-Advisory Agreement relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund /29/
(e)   (1)    Amended and Restated Distribution Contract /31/
  (2)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO Unconstrained Bond Fund and PIMCO Global Advantage Strategy Bond Fund dated May 20, 2008 /22/
  (3)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO EM Fundamental IndexPlus TR Strategy Fund, PIMCO Global Multi-Asset Fund and PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008 /31/
  (4)    Amendment to Amended and Restated Distribution Contract relating to the PIMCO Government Money Market Fund, PIMCO Treasury Money Market Fund and PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008 /31/
  (5)    Amended and Restated Distribution Contract relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II /33/
  (6)    Form of Amended and Restated Distribution Contract Relating to the PIMCO Emerging Markets Infrastructure Bond Fund /34/
  (7)    Form of Japan Dealer Sales Contract /6/


(f)    Not applicable
(g)    Form of Custody and Investment Accounting Agreement /6/
(h)    (1)    Supervision and Administration Agreement /24/
   (2)    Supplement to the Supervision and Administration Agreement Relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund, PIMCO Global Multi-Asset Fund and the PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008 /24/
   (3)    Supplement to the Supervision and Administration Agreement Relating to the PIMCO Government Money Market Fund, PIMCO Treasury Money Market Fund and PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008 /29/
  

 

(4)

  

 

Supplement to the Supervision and Administration Agreement Relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II /33/

  

 

(5)

  

 

Form of Supplement to the Supervision and Administration Agreement Relating to the PIMCO Emerging Markets Infrastructure Bond Fund /34/

  

 

(6)

  

 

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 /19/

  

 

(7)

  

 

Fee Waiver Agreement Relating to the PIMCO Global Multi-Asset Fund /24/

  

 

(8)

  

 

PIMCO Cayman Commodity Fund I Ltd. Appointment of Agent for Service of Process /20/

  

 

(9)

  

 

PIMCO Cayman Commodity Fund II Ltd. Appointment of Agent for Service of Process /29/

  

 

(10)

  

 

Transfer Agency and Service Agreement /31/

 

(i)

  

 

Opinion and Consent of Counsel /33/

 

(j)

  

 

Consent of Independent Registered Public Accounting Firm /33/

 

(k)

  

 

Not applicable

 

(l)

  

 

Not applicable

(m)    (1)    Form of Distribution and Servicing Plan for Class A Shares /2/
   (2)    Form of Distribution and Servicing Plan for Class B Shares /2/
   (3)    Form of Distribution and Servicing Plan for Class C Shares /2/
   (4)    Form of Amended and Restated Distribution Plan for Administrative Class Shares /4/
   (5)    Form of Amended and Restated Administrative Services Plan for Administrative Class Shares /4/
   (6)    Form of Shareholder Servicing Agreement /5/
   (7)    Form of Distribution and Servicing Plan for Class J Shares /6/
   (8)    Form of Distribution and Servicing Plan for Class K Shares /6/
   (9)    Form of Distribution and Servicing Plan for Class C Shares of the Short Duration Municipal Income Fund /8/
   (10)    Form of Administrative Services Plan for Advisor Class Shares /10/
   (11)    Form of Distribution Plan for Advisor Class Shares /10/
   (12)    Form of Distribution and Services Plan for Class R Shares /10/
   (13)    Form of Administrative Services Plan for Class P Shares /20/
   (14)    Form of Shareholder Servicing Agreement for Class P Shares /20/
   (15)    Form of Shareholder Servicing Agreement for Class M Shares /33/
(n)       Eighth Amended and Restated Multi-Class Plan adopted pursuant to Rule 18f-3 /29/
(p)    (1)    Form of Code of Ethics for the Registrant /13/
   (2)    Form of Code of Ethics for PIMCO /13/
   (3)    Code of Ethics for Allianz Global Investors Distributors LLC /30/
   (4)    Form of Code of Ethics for Research Affiliates, LLC /15/

 

* Power of Attorney /3/
** Form of Power of Attorney /7/
*** Form of Power of Attorney /12/


  /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 Registration Statement on Form N-14 (File No. 333-12871) on September 27, 1996, and incorporated by reference herein.
  /3/    Filed with Post-Effective Amendment No. 36 on July 11, 1997, and incorporated by reference herein.
  /4/    Filed with Post-Effective Amendment No. 37 on November 17, 1997, and incorporated by reference herein.
  /5/    Filed with Post-Effective Amendment No. 40 on March 13, 1998, and incorporated by reference herein.
  /6/    Filed with Post-Effective Amendment No. 45 on May 26, 1999, and incorporated by reference herein.
  /7/    Filed with Post-Effective Amendment No. 54 on May 18, 2000, and incorporated by reference herein.
  /8/    Filed with Post-Effective Amendment No. 65 on April 1, 2002, and incorporated by reference herein.
  /9/    Filed with Post-Effective Amendment No. 68 on June 28, 2002, and incorporated by reference herein.
  /10/    Filed with Post-Effective Amendment No. 74 on December 30, 2002, and incorporated by reference herein.
  /11/    Filed with Post-Effective Amendment No. 86 on October 21, 2003, and incorporated by reference herein.
  /12/    Filed with Post-Effective Amendment No. 99 on May 27, 2005, and incorporated by reference herein.
  /13/    Filed with Post-Effective Amendment No. 106 on March 29, 2006, and incorporated by reference herein.
  /14/    Filed with Post-Effective Amendment No. 117 on October 27, 2006, and incorporated by reference herein.
  /15/    Filed with Post-Effective Amendment No. 119 on December 19, 2006, and incorporated by reference herein.
  /16/    Filed with Post-Effective Amendment No. 128 on December 14, 2007, and incorporated by reference herein.
  /17/    Filed with Post-Effective Amendment No. 129 on February 27, 2008, and incorporated by reference herein.
  /18/    Filed with Post-Effective Amendment No. 130 on February 29, 2008, and incorporated by reference herein.
  /19/    Filed with Post-Effective Amendment No. 131 on April 10, 2008, and incorporated by reference herein.
  /20/    Filed with Post-Effective Amendment No. 133 on April 29, 2008, and incorporated by reference herein.
  /21/    Filed with Post-Effective Amendment No. 134 on May 30, 2008, and incorporated by reference herein.
  /22/    Filed with Post-Effective Amendment No. 136 on June 24, 2008, and incorporated by reference herein.
  /23/    Filed with Post-Effective Amendment No. 138 on July 28, 2008, and incorporated by reference herein.
  /24/    Filed with Post-Effective Amendment No. 140 on August 27, 2008, and incorporated by reference herein.
  /25/    Filed with Amendment No. 178 on October 1, 2008, and incorporated by reference herein.
  /26/    Filed with Amendment No. 180 on October 10, 2008, and incorporated by reference herein.
  /27/    Filed with Post-Effective Amendment No. 144 on October 31, 2008, and incorporated by reference herein.
  /28/    Filed with Post-Effective Amendment No. 146 on December 17, 2008, and incorporated by reference herein.
  /29/    Filed with Post-Effective Amendment No. 147 on December 22, 2008, and incorporated by reference herein.
  /30/    Filed with Post-Effective Amendment No. 148 on January 2, 2009, and incorporated by reference herein.
  /31/   

Filed with Post-Effective Amendment No. 150 on January 26, 2009, and incorporated by reference herein.

  /32/    Filed with Amendment No. 191 on February 27, 2009, and incorporated by reference herein.
  /33/   

Filed with Post-Effective Amendment No. 151 on March 18, 2009, and incorporated by reference herein.

  /34/    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. (“CRRS Subsidiary”), a company organized under the laws of the Cayman Islands. The CRRS Subsidiary’s financial statements will be included, on a consolidated basis, in the CommodityRealReturn Strategy Fund’s annual and semi-annual reports to shareholders.

The Trust through the Global Multi-Asset Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund II Ltd. (“GMA Subsidiary”), a company organized under the laws of the Cayman Islands. The GMA Subsidiary’s financial statements will be included, on a consolidated basis, in the Global Multi-Asset 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

Abdikeev, Tamerlan

   Vice President, PIMCO.

Afrasiabi, Mark S.

   Vice President, PIMCO.

Agredano, Carlos

   Vice President, PIMCO.

Ahto, Laura A.

   Senior Vice President, PIMCO and PIMCO Europe Limited.

Allamanis, Georgios

   Vice President, PIMCO.

Althof, Michael

   Vice President, PIMCO.

Amey, Mike

   Executive Vice President, PIMCO and PIMCO Europe Limited.

Ananthanarayanan, Mangala V.

   Vice President, PIMCO.

Anctil, Stacie D.

   Vice President, PIMCO; Assistant Treasurer, the Trust and PIMCO Variable Insurance Trust.

Anderson, Joshua M.

   Executive Vice President, PIMCO.

Andrews, David S.

   Executive Vice President, PIMCO.

Anochie, Kwame A.

   Vice President, PIMCO.

Arnold, Tammie J.

   Managing Director, PIMCO.

Arora, Amit

   Senior Vice President, PIMCO. Formerly Executive Director, J.P. Morgan.

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

   Executive Vice President, PIMCO. Formerly Chief U.S. Economics Correspondent, The Financial Times, Washington.

Bansal, Sharad

   Vice President, PIMCO.

Barnes, Donna E.

   Vice President, PIMCO.

Beaumont, Stephen B.

   Executive Vice President, PIMCO.

Beck, Lee Davison

   Senior Vice President, PIMCO. Formerly Senior Vice President, Allianz Global Investors Distributors.

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.


Name

  

Business and Other Connections

Berndt, Andreas

   Senior Vice President, PIMCO.

Bertolo, Matteo

   Vice President, PIMCO.

Bhansali, Vineer

   Managing Director, PIMCO.

Bierman, Dave H.

   Vice President, PIMCO.

Bishop, Gregory A.

   Executive Vice President, PIMCO.

Blair, David James

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

Blau, Volker

   Executive Vice President, PIMCO.

Blomenkamp, Felix

   Senior Vice President, PIMCO.

Blute, Ryan Patrick

   Vice President, PIMCO.

Bodereau, Philippe

   Senior Vice President, PIMCO.

Boehm, Timo

   Vice President, PIMCO.

Bolton, Laurence Edwin

   Vice President, PIMCO. Formerly Senior Associate, Dechert LLP.

Bosomworth, Andrew

   Executive Vice President, PIMCO.

Boyd, C. Robert

   Vice President, PIMCO.

Bradshaw, Myles

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

Brenner, Matthew H.

   Vice President, PIMCO.

Bridwell, Jennifer S.

   Executive 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.

Brons, Jelle

   Vice President, PIMCO.

Brown, Erik C.

   Senior Vice President, PIMCO. Assistant Treasurer, the Trust and PIMCO Variable Insurance Trust.

Brune, Christopher P.

   Vice President, 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.


Name

  

Business and Other Connections

Byer, Jeffrey A.

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

Callin, Sabrina C.

   Executive Vice President, PIMCO. Vice President, StocksPLUS Management, Inc.

Caltagirone, Christopher

   Vice President, PIMCO.

Carnachan, Robert Scott

   Senior Vice President, PIMCO and PIMCO Asia PTE Limited.

Cavalieri, John R.

   Senior Vice President, PIMCO.

Chen, Wing-Harn

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

Cheng, Audrey

   Vice President, PIMCO. Formerly Associate, Morrison & Foerster, LLP.

Chin, Tracy

   Vice President, PIMCO and PIMCO Asia PTE Limited.

Chipp, William

   Vice President, PIMCO.

Chopra, Amit

   Vice Presdient, PIMCO.

Clarida, Richard H.

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

Clark, Raymond Matthew

   Vice President, PIMCO.

Clarke, James Robert

   Vice President, PIMCO.

Colter Jr., Eugene M.

   Senior Vice President, PIMCO. Formerly Editorial Director, Peppercorn.

Conseil, Cyrille R.

   Executive Vice President, PIMCO.

Cooke, Anthony H.

   Vice President, PIMCO.

Cornelius, Darryl P.

   Vice President, PIMCO.

Cortes Gonzalez, Ana

   Vice President, PIMCO. Formerly Portfolio Manager, Commerzbank AG.

Cressy, Jonathan B.

   Senior Vice President, PIMCO.

Cumby III, William S.

   Vice President, PIMCO. Formerly Trader, CMBS Capital Markets Desk.

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.

Damodaran, Kumaran

   Senior Vice President, PIMCO. Formerly Senior Vice President, Lehman Brothers.

Danielsen, Birgitte

   Vice President, PIMCO.

Darling, James

   Senior Vice President, PIMCO. Formerly Vice President, Desjardins Securities Inc.

Davies, Mark

   Executive Vice President, PIMCO Formerly, Head of Fixed Income and Member of Executive Committee, SAC Capital Advisors LLC.

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

   Executive Vice President, PIMCO.


Name

  

Business and Other Connections

Dialynas, Chris P.

   Managing Director, PIMCO.

Dilek, Burcin

   Vice President, PIMCO.

Dittrich, Honno

   Vice President, PIMCO. Formerly Vice President, DWS Holdings & Service GmbH

Dombrovsky, Anton

   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.

Dorsten, Matthew P.

   Vice President, PIMCO.

Dugan, Travis J.

   Vice President, PIMCO.

Durham, Jennifer E.

   Senior Vice President, PIMCO and Chief Compliance Officer, the Trust and PIMCO Variable Insurance Trust.

Dutta, Manish

   Vice President, PIMCO.

Edler, Vernon

   Vice President, PIMCO.

Edwards, Ben M.

   Vice President, PIMCO.

Eedes, Linda

   Vice President, PIMCO.

El-Erian, Mohamed A.

   Managing Director and Chief Executive Officer PIMCO. Senior Vice President, the Trust and PIMCO Variable Insurance Trust. Formerly President and CEO of Harvard Management Co.

Ellis, Edward L.

   Vice President, PIMCO.

Eltz, Antoinette

   Vice President, PIMCO and PIMCO Europe Limited.

Emons, Ben

   Senior Vice President, PIMCO. Formerly Vice President/Portfolio Manager, Nuveen Investments LLC

England, Jason S.

   Vice President, PIMCO.

Estep, Bret W.

   Vice President, PIMCO.

Evans, Stefanie D.

   Vice President, PIMCO.

Feeny, Martin E.

   Vice President, PIMCO.

Fejdasz, Melissa A.

   Vice President, PIMCO.

Ferber, Steven E.

   Senior Vice President, PIMCO. Formerly Executive Vice President, AST Capital Trust Company of Delaware.

Fields, Robert A.

   Senior Vice President, PIMCO.

Finkenzeller, Thomas

   Vice President, PIMCO.

Fisher III, David N.

   Executive Vice President, PIMCO. Formerly Managing Director, Halbis Capital Management.

Fisher, Marcellus M.

   Senior Vice President, PIMCO.


Name

  

Business and Other Connections

Flattum, David C.

   Managing Director, General Counsel, PIMCO. Chief Legal Officer, the Trust and PIMCO Variable Insurance Trust. 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.

Fuhrmann, Dorothy J.

   Executive Vice President, PIMCO. Formerly Managing Director, Lehman Brothers International.

Fulford III, Richard F.

   Executive Vice President, PIMCO.

Furusho, Hiroaki

   Vice President, PIMCO.

Galli, Leandro J.

   Vice President, PIMCO.

Gandolfi, Alessandro

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

Garbuzov, Yuri P.

   Senior Vice President, PIMCO.

Garnett, Andrew

   Vice President, PIMCO. Formerly Director, UBS Global Asset Management (UK) Limited.

Getter, Christopher T.

   Senior Vice President, PIMCO. Formerly Emerging Market Debt Research Analyst, Fidelity Management & Research Co.

Ghosh, Sharad

   Vice President, PIMCO.

Gibson, Thomas C.

   Vice President, PIMCO.

Gingrich, Robert M.

   Vice President, PIMCO.

Giurlani, Gian Luca

   Senior Vice President, PIMCO. Formerly Managing Director, Crosby Forsyth.

Gleason, G. Steven

   Executive Vice President, PIMCO.

Gomez, Michael A.

   Executive Vice President, PIMCO.

Gould, Linda J.

   Vice President, PIMCO.

Grabar, Gregory S.

   Senior Vice President, PIMCO.

Grady, Myrrha H.

   Vice President, PIMCO.

Grandy, Stuart T.

   Senior Vice President, PIMCO. Formerly Vice President & Managing Director, MFC Global Investment Management

Graves, Zoya S.

   Vice President, PIMCO.

Greer, Robert J.

   Executive Vice President, PIMCO.

Griffiths, John

   Senior Vice President, PIMCO. Formerly Head of Pension Fund Development, Santander Global Banking & Markets.

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.


Name

  

Business and Other Connections

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

   Senior 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.

Hardaway, John P.

   Executive Vice President, PIMCO. Vice President, StocksPLUS Management, Inc. Treasurer, the Trust and PIMCO Variable Insurance Trust.

Harris, Brent Richard

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

Harumi, Kazunori

   Executive Vice President, PIMCO.

Hasegawa, Tamotsu

   Senior Vice President, PIMCO. Formerly Product Manager, BlackRock Japan Co., Ltd.

Hastings, Arthur J.

   Senior Vice President, PIMCO.

Hauschild, Matthew R.

   Vice President, PIMCO.

Hayes, Ray C.

   Senior Vice President, PIMCO.

Heimann, Ilan

   Senior Vice President, PIMCO.

Helsing, Jeffrey

   Senior Vice President, PIMCO.

Heravi, Kaveh C.

   Vice President, PIMCO.

Herlan, Hans Joerg

   Vice President, PIMCO.

Hockswender, Thomas R.

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

Hodge, Douglas M.

   Managing Director, PIMCO.

Holden, Brent L.

   Managing Director, PIMCO.

Holloway Jr., Dwight F.

   Executive Vice President, PIMCO.

Horne, Jonathan L.

   Vice President, PIMCO.


Name

  

Business and Other Connections

Hsiang, Hwa-Ming

   Vice President, PIMCO.

Hu, Gang

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

Hudoff, Mark T.

   Executive Vice President, PIMCO.

Hughes, Mark Alan

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

Huxhorn, Michael

   Vice President, PIMCO.

Hyman, Daniel Herbert

   Senior Vice President, PIMCO. Formerly Vice President, Credit Suisse.

Ing, Terrence

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

Ivascyn, Daniel J.

   Managing Director, PIMCO.

Jacobs IV, Lew W.

   Managing Director, PIMCO.

Jann, Juergen

   Senior Vice President, PIMCO.

Johnson, Eric D.

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

Johnson, Kelly

   Vice President, PIMCO.

Johnson, Nicholas, J.

   Vice President, PIMCO.

Jones, Steven L.

   Vice President, PIMCO.

Jones, Jeff

   Vice President, PIMCO. Vice President StocksPLUS Management, Inc. Formerly Head of Leadership Assessment & Development Group, HSBC Holding PLC.

Jordan, Daniel V.

   Vice President, PIMCO.

Kakuchi, Tadashi

   Vice President, PIMCO.

Karpov, Natalie

   Vice President, PIMCO.

Katz, Ulrich

   Senior Vice President, PIMCO.

Kavafyan, Constance

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

Keck, Andreas

   Senior Vice President, 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.


Name

  

Business and Other Connections

King Jr., John Stephen

   Senior Vice President, PIMCO. Vice President, Senior Counsel, and Secretary, the Trust and PIMCO Variable Insurance Trust.

King, Stephanie Lorraine

   Executive Vice President, PIMCO.

Kirkbaumer, Steven P.

   Senior Vice President, PIMCO.

Kirkowski, John J.

   Vice President, PIMCO.

Kishimoto, Yayoi

   Vice President, PIMCO.

Kohari, Chisato

   Vice President, PIMCO.

Komatsu, Mitsuaki

   Senior Vice President, PIMCO.

Korinke, Kimberley Grace

   Vice President, PIMCO.

Korinke, Ryan P.

   Vice President, PIMCO.

Kressin, Thomas

   Senior Vice President, PIMCO.

Kuehne, Stefan

   Vice President, PIMCO.

Kuhner, Kevin D.

   Senior Vice President, PIMCO.

Kumar, Mukund

   Vice President, PIMCO.

Lackey, Warren M.

   Senior Vice President, PIMCO.

Larsen, Henrik P.

   Senior Vice President, PIMCO. Vice President, the Trust and PIMCO Variable Insurance Trust.

LeBrun Jr., Richard R.

   Vice President, PIMCO. Assistant Secretary, StocksPLUS Management, Inc. 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.

Leong, Chon-Ian

   Vice President, PIMCO.

Lettich, Bruno J.

   Executive Vice President, PIMCO. Former Managing Director, Merrill Lynch & Co.

Li, Li

   Vice President, PIMCO.

Lian, Chia Liang

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

Linder, Astrid

   Vice President, PIMCO.

Linke, Gordon F.

   Senior Vice President, PIMCO. Formerly Strategic Account Manager, Barclays Global Investors.

Liwski, Michael V.

   Vice President, PIMCO.

Lofdahl, Christopher F.

   Vice President, PIMCO.

Loftus, John S.

   Consulting MD, PIMCO.


Name

  

Business and Other Connections

Loh, John J.

   Vice President, PIMCO.

Long, Hui

   Vice President, PIMCO. Formerly Vice President Countrywide Financial Corp.

Lopez, Joy L.

   Vice President, PIMCO.

Lopez, Rafael A.

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

Loriferne, Matthieu H. F.

   Vice President, PIMCO.

Louanges, Matthieu

   Executive Vice President, PIMCO.

Love, David B.

   Vice President, PIMCO. Formerly Director, Treesdale Partners, LLC.

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

   Senior Vice President, PIMCO.

Mandy, Alain

   Vice President, PIMCO. Formerly Audit Senior Manager/Director, PricewaterhouseCoopers.

Manseau, Chantal Marie-Helene

   Vice President, 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.

Mazzocchi, Bettina E.

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

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.

Meggers, Julie Ann

   Senior Vice President, PIMCO.

Merz, Frederic

   Vice President, PIMCO.

Metsch, Mark E.

   Vice President, PIMCO.

Mewbourne, Curtis A.

   Managing Director, PIMCO.

Meyn, Cynthia L.

   Senior Vice President, PIMCO. Formerly Managing Director, Morgan Stanley.

Micali, Carlo

   Vice President, PIMCO. Formerly Financial Analyst, Perlinski & Co.

Mierau, Kristion T.

   Vice President, PIMCO.

Mieth, Roland

   Vice President, PIMCO. Formerly Emerging Markets Marketer / Structure, JP Morgan.

Miller Jr., Kendall P.

   Senior Vice President, PIMCO.


Name

  

Business and Other Connections

Miller, John M.

   Executive Vice President, PIMCO.

Millimet, Scott A.

   Executive Vice President, PIMCO.

Milo, Davida J.

   Senior Vice President, PIMCO.

Minaki, Haruki

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

Mitchell, Gail

   Senior Vice President, PIMCO.

Moeljanto, Lanny H.

   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.

Morrison, John E.

   Vice President, PIMCO.

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.


Name

  

Business and Other Connections

Okamura, Shigeki

   Senior Vice President, PIMCO.

Okuma, Sachiko

   Vice President, PIMCO.

Okun, Eric A.

   Senior Vice President, PIMCO.

Olazabal, Joshua A.

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

Oliva, Jennifer L.

   Vice President, PIMCO.

Ong, Arthur Y.D.

   Senior Vice President, PIMCO. Secretary, StocksPLUS Management, Inc.

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, Marie S.

   Vice President, PIMCO.

Otterbein, Thomas J.

   Managing Director, PIMCO.

Ozeki, Koyo

   Executive Vice President, PIMCO. Formerly Senior Advisor, Nomura Securities.

Pagani, Lorenzo P.

   Senior Vice President, PIMCO.

Parikh, Saumil H.

   Executive Vice President, PIMCO.

Park, Jung

   Executive Vice President, PIMCO. Formerly Senior Managing Director, Bear Stearns Asia Limited.

Paulson, Bradley W.

   Executive Vice President, PIMCO.

Perez, Iohan

   Vice President, PIMCO.

Perez, Keith

   Senior Vice President, PIMCO.

Philipp, Elizabeth M.

   Executive Vice President, PIMCO.

Phillipson, Daniel

   Vice President, PIMCO.

Pimentel, Rudolph

   Senior Vice President, PIMCO.

Pittman, David J.

   Senior Vice President, PIMCO.

Porterfield, Mark J.

   Executive Vice President, PIMCO.

Posch, Brigitte

   Executive Vice President, PIMCO. Formerly Managing Director, Deutsche Bank.

Potthof, Axel

   Senior Vice President, PIMCO.

Powers, William C.

   Managing Director, PIMCO.

Prasad, Krishna

   Senior Vice President, PIMCO. Formerly, Managing Director, Lehman Brothers.

Pricer, Jesse L.

   Vice President, PIMCO.

Putyatin, Vladyslav

   Senior Vice President, PIMCO. Formerly Director, Deutsche Bank AG.

Qiu, Ying

   Vice President, PIMCO. Formerly, Portfolio Manager, ING Investment Management.

Qu, Wendong

   Senior Vice President, PIMCO.

Rahari, Pierre-Yves

   Vice President, PIMCO. Formerly Senior Associate, Morgan Stanley Investment Management (Luxembourg).

Rahmin, Lupin

   Vice President, PIMCO. Formerly Division Chief, Policy Development and Review.

Ratner, Joshua D.

   Vice President, PIMCO. Assistant Secretary, the Trust and PIMCO Variable Insurance Trust. Formerly Associate, Skadden, Arps, Slate, Meagher & Flom LLP.


Name

  

Business and Other Connections

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.

Riendeau, Kevin

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

Rodosky, Stephen A.

   Executive Vice President, PIMCO.

Rogers, William A.

   Vice President, PIMCO.

Rollins, Melody

   Senior Vice President, PIMCO.

Romano, Mark A.

   Senior Vice President, PIMCO.

Roney, Scott L.

   Executive Vice President, PIMCO.

Ronnie, Stephen

   Vice President, PIMCO.

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.

Salastekar, Deepa A.

   Vice President, PIMCO. Formerly Managing Director, Bear, Stearns & Co., Inc.

Sargent, Jeffrey M.

   Executive Vice President, PIMCO, Senior Vice President of Trust and PIMCO Variable Insurance Trust.

Schaus, Stacy Leigh

   Senior Vice President, PIMCO. Formerly Principal, Hewitt Associates.

Scherzinger, Marion

   Vice President, PIMCO.

Schmider, Ernest L.

   Managing Director, PIMCO. Director, StocksPLUS Management, Inc.

Schnatterer, Monika

   Vice President, PIMCO.

Schneider, Jerome M.

   Executive Vice President, PIMCO. Formerly Senior Managing Director, Bear, Stearns & Co., Inc.

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.


Name

  

Business and Other Connections

Schwab, Gerlinde

   Vice President, PIMCO.

Schwab, Stephen D.

   Vice President, PIMCO. Formerly Vice President, Fidelity Investments

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.

Senne, Verena

   Senior Vice President, PIMCO.

Sesay, Therenah

   Vice President, PIMCO.

Shaw, Matthew D.

   Vice President, PIMCO.

Sheehy, Erica H.

   Vice President, PIMCO.

Shepherd, Julie M.

   Vice President, PIMCO.

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. Formerly Vice President, First Horizon.

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.

Stack, Candice E.

   Vice President, PIMCO.

Staub, Christian Martin

   Senior Vice President, PIMCO. Formerly Managing Director, AGI (Schweiz) AG.

Stauffer, Christina

   Vice President, PIMCO.

Steele, Scott Patrick

   Senior Vice President, PIMCO. Formerly Chief Investment Officer, BMO Mutual Funds.

Stracke, Thibault C.

   Executive Vice President, PIMCO. Formerly Senior Credit Strategist, CreditSights.

Strauch, Joel Edward

   Senior Vice President, PIMCO.

Stravato, Richard

   Vice President, PIMCO.

Streiff, Thomas F.

   Executive Vice President, PIMCO. Formerly Managing Director, UBS Investment Bank.


Name

  

Business and Other Connections

Strelow, Peter G.

   Executive Vice President, PIMCO.

Struc, Alexandru

   Vice President, PIMCO.

Sun, Hao

   Vice President, PIMCO. Formerly Director, ING Bank, Hong Kong.

Suo, Yuanyuan

   Vice President, PIMCO. Formerly Portfolio Manager/Strategist, An Equity Market Neutral Hedge Fund.

Suskind, Donald W.

   Vice President, PIMCO. Chief Financial Officer, StocksPLUS Management Inc.

Tabata, Junji

   Senior Vice President, PIMCO. Formerly Independent Contractor, Proprietary Practice.

Takano, Makoto

   Managing Director, PIMCO.

Takeuchi, Ichiro

   Vice President, PIMCO.

Takizuka, Hikaru

   Vice President, PIMCO.

Tam, Joe

   Vice President, PIMCO.

Tarman, Daniel

   Executive Vice President, PIMCO.

Telish, Christine M.

   Vice President, PIMCO.

Terry, Michael A.

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

Tersin, Dominique

   Vice President, PIMCO.

Theodore, Kyle J.

   Senior Vice President, PIMCO.

Thompson, Michael Frazier

   Senior Vice President, PIMCO. Formerly Client Service Executive, WAMCO.

Thompson, William S.

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

Thurston, Powell C.

   Senior Vice President, PIMCO.

Toloui-Tehrani, Ramin

   Executive Vice President, PIMCO. Formerly Director, Office of the Western Hemisphere, U.S. Department of Treasury.

Tomlinson, Brian

   Vice President, PIMCO.

Traber, Eva-Maria

   Executive Vice President, PIMCO.

Tran, Loc K.

   Vice President, PIMCO.

Trevithick, Natalie

   Senior Vice President, PIMCO. Formerly Credit Trader, Barclays Capital.

Trovato, Michael J.

   Vice President, PIMCO.

Tse, Koonnang C.

   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.

Tzemach, Y. Gayle

   Vice President, PIMCO.


Name

  

Business and Other Connections

Vallarta-Jordal, Maria-Theresa F.    Senior Vice President, PIMCO.
van Akkeren, Marco    Senior Vice President, PIMCO. Formerly Vice President, Goldman Sachs & Co.

van Bezooijen, Jeroen

   Senior Vice President, PIMCO. Formerly Executive Director, Goldman Sachs.

van De Zilver, Peter A.

   Vice President, PIMCO.
van Heel, Marc    Executive Vice President, PIMCO.
van Zoelen, Henk Jan    Senior 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.    Senior Vice President, PIMCO and Assistant Treasurer of Trust and PIMCO Variable Insurance Trust Formerly Senior Manager, Pricewaterhouse Coopers.
Walther, Kasten    Vice President, PIMCO.
Ward, Jim    Executive Vice President, PIMCO.
Warner IV, Hansford B.    Vice President, PIMCO.
Watchorn, Michael    Senior Vice President, PIMCO. Formerly Managing Director, Oaktree Capital Management/Trust Company of the West.
Watford, Charles    Vice President, PIMCO.
Weil, Richard M.    Managing Director, PIMCO. Trustee of the Trust, PIMCO ETF Trust, and PIMCO Variable Insurance Trust.
Weinberger, Michele Deborah    Vice President, PIMCO. Formerly Vice President, Goldman Sachs Asset Mgmt.
Wendler IV, Paul F.    Vice President, PIMCO.
White, Timothy C.    Senior Vice President, PIMCO.
Whitton, Bransby M.    Senior Vice President, PIMCO.
Wild, Christian    Senior Vice President, PIMCO.
Wildermuth, Paul T.    Vice President, PIMCO.
Wildforster, Kai    Vice President, PIMCO.


Name

  

Business and Other Connections

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.    Managing Director, PIMCO.
Xu, Jianghua    Vice President, PIMCO.
Yamamoto, Shinichi    Senior Vice President, PIMCO.
Yang, Jing    Vice President, PIMCO. Formerly Structurer, Morgan Stanley.
Yasnov, Vadim I.    Vice President, PIMCO.
Yildiz, Sadettin    Vice President, PIMCO.
Young, Robert O.    Executive Vice President, PIMCO. Formerly Managing Director, Global Capital Markets.
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.
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.    Founder, Chairman, Chief Executive Officer, Research Affiliates, LLC. Formerly Editor, Financial Analysts Journal.
Harkins, Daniel M    Chief Compliance Officer & Senior Counsel, Research Affiliates, LLC
Hennessy, David    Managing Director, Marketing, Research Affiliates, LLC
Hsu, Jason    Chief Investment Officer, Research Affiliates, LLC
Nesbit, Janine    Managing Director, Chief Legal Officer, Research Affiliates, LLC
Larsen, Michael    Associate Director., Affiliate Relations, Research Affiliates, LLC
Li, Feifei    Director, Research, Research Affiliates, LLC
Ramos, Vivian    Director, Operations Research Affiliates, LLC
Sherrerd, Katy    Chief Operating Officer, Research Affiliates, LLC
West, John    Director, Marketing & Client Services, 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

Albanese, Isabella

   Vice President    None

Allen, Michael T.

   Vice President    None

Anders, Michael L.

   Vice President    None

Aronovitz, Jill L.

   Vice President    None

Aymond, Colin C.

   Senior Vice President    None

Bechor, David

   Vice President    None

Beck, Lee D.

   Senior Vice President    None

Berge, Wendy

   Vice President    None

Biggers, Clark H.

   Vice President    None

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

Bulman, Bryce B.

   Senior Vice President    None

Burke, Martin

   Senior Vice President    None

Callinan, Richard E.

   Senior Vice President    None

Cardillo, John T.

   Vice President    None

Carroll, Catherine M.

   Vice President    None

Caroll, John

   Executive Vice President    None

Casenhiser, Christopher A.

   Senior Vice President    None

Chung, Alice W.

   Vice President    None

Colombo, Cindy

   Vice President    None

Conlon, Rosemary T.

   Vice President    None

Cotten, Lesley

   Vice President, Senior Copywriter    None

Cox, Ira W.

   Senior Vice President    None

Daly, Daniel

   Vice President    None

Dane, Stephen J.

   Senior Vice President    None

Davidson, Kellie E.

   Assistant Secretary    None

DeCicco, Lucianne

   Vice President    None

DeNicolo, Paul

   Senior Vice President    None

Dieterle, Sean W.

   Vice President    None

Dietrich, Marc R.

   Vice President    None

Douvogiannis, Martha

   Vice President    None

Downing, Eric D.

   Senior Vice President    None

Farrell, James C.

   Vice President    None

Fessel, Jonathan P.

   Senior Vice President    None

Francis, Christopher D.

   Vice President    None

Frank, Megan L.

   Vice President    None

Frederick, David G.

   Vice President    None

Gaffrey, Brian J.

   Managing Director and Chief Executive Officer    None

Gallagher, Michael J.

   Senior Vice President    None

Galsim, Linda Shuen

   Vice President    None

Georgiou, Patrice

   Vice President    None

Gengo, Joseph

   Senior Vice President    None

Gibbons, Michaela A.

   Senior Vice President    None

Gray, Ronald H.

   Senior Vice President    None

Hally, Dan

   Senior 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

Hart, Jonathan C.

   Senior Vice President    None

Hartnett, James T.

   Vice President    None

Hayes, Derek B.

   Senior Vice President    None

Healey, William V.

   Executive Vice President, Chief Legal Officer, Secretary    None


Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Higgins, Timothy J.

   Senior Vice President    None

Hoffmann, Christoph

   Executive Vice President    None

Hooper, Kristina

   Executive Vice President    None

Horan, Christopher

   Senior Vice President    None

Howell, Steve

   Vice President    None

Hui, Renee W.

   Vice President    None

Hussey, John B.

   Senior Vice President    None

Ip, Eileen

   Vice President    None

Jettelson, Teresa

   Vice President    None

Jobson, David B.

   Executive Vice President    None

Kanode, Dustin

   Vice President    None

Kirk, Richard

   Senior Vice President, Associate General Counsel    None

Klawitter, Patricia

   Vice President    None

Klepacki, Jeffrey G.

   Senior Vice President    None

Knaus, Bryan M.

   Vice President    None

Knauss, Michael J.

   Senior Vice President    None

Kobata, Matthew T.

   Senior Vice President    None

Koth, Matthew A.

   Vice President    None

Kravetzky, Leslie S.

   Senior Vice President    None

Laut, Stephen

   Senior Vice President    None

Leahy O’Connor, Brooke

   Vice President    None

Leber, Jeremy

   Vice President    None

Lewis, Robert J.

   Senior Vice President    None

Lynch, William E.

   Senior Vice President, Divisional Sales Manager    None

Maag, Troy C.

   Vice President    None

Macey, James D.

   Vice President    None

Maloney, Andy

   Senior Vice President    None

Maher, Sean P.

   Vice President    None

Martin, Colleen

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

McAdams, Ann

   Senior Vice President    None

McCarthy, Peter J.

   Senior Vice President    None

McGeever, Kimberly

   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    None

Misata, William A.

   Vice President    None

Moxon, John G.

   Vice President    None

Moyer, Fiora N.

   Senior Vice President    None

Murphy, George

   Senior Vice President    None

Murphy, Gregory J.

   Senior Vice President    None

Murphy, Kerry A.

   Senior Vice President    None

Neugebauer, Phil J.

   Managing Director    None

Nguyen, Vinh T.

   Senior Vice President, Treasurer    None

Nickodemus, Paul R.

   Senior Vice President    None

Nishimi, Ryne A.

   Senior Vice President    None

Nizzardo, Jeffrey P.

   Vice President    None

Ohstrom, Debra C.

   Vice President    None

Orr, Kelly

   Senior Vice President    None

Pearlman, Joffrey H.

   Senior Vice President    None

Peluso, Ralph A.

   Vice President    None


Name and Principal

Business Address*

  

Positions and Offices

With Underwriter

  

Positions and Offices

with Registrant

Pisapia, Glynne

   Senior Vice President    None

Plump, Steven B.

   Executive Vice President    None

Prendergast, Shivaun C.

   Vice President    None

Prinstein, Peter M.

   Vice President    None

Puntoriero, Michael J.

   Managing Director    CFO

Quigley, Jennifer

   Senior Vice President    None

Quirk , Joseph S.

   Executive Vice President    None

Rheingold, Joni H.

   Senior Vice President    None

Rial, Julie

   Vice President    None

Riccio, Frank J.

   Vice President    None

Rokose, Robert J.

   Executive Vice President    None

Rose, Scott

   Senior Vice President    None

Rosoff, Jay S.

   Executive Vice President    None

Rotondi, John

   Vice President, Chief Compliance Officer    None

Rudman, Stephen M.

   Senior Vice President    None

Scanlan, Thomas H.

   Senor Vice President    None

Schival, Timothy

   Vice President    None

Shanley, Kevin M.

   Vice President    None

Siemon, Jr., Frank E.

   Senior Vice President    None

Simutis, Christopher T.

   Senior Vice President    None

Slattery, Peter L.

   Senior Vice President    None

Small, Ernesto

   Senior Vice President    None

Smith, Cathy

   Executive Vice President    None

Smith Jr., Eugene M.

   Senior Vice President    None

Smith, Jeffrey L.

   Vice President    None

Smith, Marty

   Senior Vice President    None

Sorenson, Linda M.

   Vice President    None

Stahl, Cathleen Meere

   Vice President    None

Stepanov, Vadim V.

   Vice President    None

Stergiou, John J.

   Vice President    None

Storlie Steven R.

   Vice President    None

Straughn, Ruth A.

   Vice President    None

Taha, Raad J.

   Vice President    None

Teceno, Fred

   Senior Vice President    None

Thomas, Mark G.

   Executive Vice President    None

Thomas, Jr., William H.

   Executive Vice President    None

Thompson, Kathleen C.

   Vice President    None

Tiedemann Jr., Barrie L.

   Senior Vice President    None

Tomlin, Michael R.

   Vice President    None

Toner, William T.

   Senior Vice President    None

Triolo, Richard

   Senior Vice President    None

Troyer, Paul H.

   Senior Vice President    None

Wagner, Keith C.

   Managing Director    None

Walsh, Kerry M.

   Vice President    None

Warkow, Brenda C.

   Senior Vice President    None

Weichbrodt, Austin A.

   Vice President    None

Welker, Steve J.

   Senior Vice President    None

Whitehouse, Scott

   Senior Vice President    None

Willbrand, James Kevin

   Vice President    None

Willett, Nick

   Senior Vice President    None

Wilmot, Andrew J.

   Managing Director    None

Wingate, Justin R.

   Vice President    None

Zamore, Neal A.

   Senior Vice President    None

Zimmerman, Glen A.

   Senior Vice President    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 Boston Financial Data Services, Inc., P.O. Box 8050, Boston, Massachusetts 02266-8050.

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 3rd day of April, 2009.

 

PIMCO FUNDS
(Registrant)
By:  

 

  Brent R. Harris*
  President
*By:  

/s/    ROBERT W. HELM

  Robert W. Helm
  as attorney-in-fact

 

* Pursuant to power of attorney filed with Post-Effective Amendment No. 36 to Registration Statement No. 33-12113 on July 11, 1997.