485BPOS 1 d485bpos.htm PIMCO FUNDS PIMCO Funds

As filed with the Securities and Exchange Commission on July 29, 2009

File Nos. 033-12113

811-05028

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-1A

 

Registration Statement Under the Securities Act of 1933    x
Post-Effective Amendment No. 161    x
and   
Registration Statement Under the Investment Company Act of 1940    x
Amendment No. 206    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 proposed that this filing will become effective (check appropriate box):

 

¨        Immediately upon filing pursuant to paragraph (b)

  

x       On (July 31, 2009) pursuant to paragraph (b)

¨        60 days after filing pursuant to paragraph (a)(1)

  

¨        On (date) pursuant to paragraph (a)(1)

¨        75 days after filing pursuant to paragraph (a)(2)

  

¨        On (date) pursuant to paragraph (a)(2) of Rule 485

If appropriate, check the following box:

 

¨ This post-effective amendment designates a new effective date for a previously-filed post-effective amendment.


EXPLANATORY NOTE

This Post-Effective Amendment No. 161 to the Registration Statement of PIMCO Funds (the “Trust” or the “Registrant”) on
Form N-1A (File No. 33-12113) (the “Amendment”) is being filed solely for the purposes of filing an exhibit, specifically the Consent of Independent Registered Public Accounting Firm, which supplements Post-Effective Amendment No. 160, filed on July 29, 2009. This Amendment does not affect the currently effective prospectuses and statement of additional information for series and classes of the Trust’s shares not included herein.


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)    Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest dated February 26, 2008 /17/
  (4)    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/
  (5)    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/
  (6)    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 dated May 20, 2008 /23/
  (7)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Global Multi-Asset Fund dated May 20, 2008 /24/
  (8)    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 dated August 12, 2008 /25/
  (9)    Amended Designation of One Existing Series of Shares of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio dated October 9, 2008 /26/
  (10)    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 dated September 30, 2008 /29/
  (11)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Long-Term Credit Fund dated December 30, 2008 /30/
  (12)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008 /31/
  (13)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio II dated February 23, 2009 /32/
  (14)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets Infrastructure Bond Fund dated February 23, 2009 /35/
  (15)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Muni GO Fund dated April 8, 2009 /35/
  (16)    Amended Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 18, 2009 /35/
  (17)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Real Income 2020 Fund and the PIMCO Real Income 2030 Fund dated May 18, 2009 /38/
  (18)    Amended Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Real Income 2019 Fund and the PIMCO Real Income 2029 Fund dated May 18, 2009 /38/
(b      Amended and Restated By-Laws of Registrant /36/
(c      Not applicable
(d   (1)    Amended and Restated Investment Advisory Contract dated February 23, 2009 /33/


  (2)    Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 19, 2009 /35/
  (3)    Form of Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO Real Income 2019 Fund and the PIMCO Real Income 2029 Fund dated May 19, 2009 /38/
  (4)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated July 18, 2002 /34/
  (5)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated September 30, 2003 /34/
  (6)    Form of Sub-Advisory Agreement relating to the PIMCO Fundamental IndexPLUS Fund and PIMCO Fundamental IndexPLUS TR Fund /14/
  (7)    Supplement to Sub-Advisory Agreement relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund and PIMCO Fundamental Advantage Total Return Strategy Fund dated February 28, 2008 /34/
  (8)    Sub-Advisory Agreement relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund dated November 10, 2008 /36/
  (9)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated October 1, 2006 /34/
  (10)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated October 1, 2006 /34/
(e)   (1)    Amended and Restated Distribution Contract dated February 26, 2008 /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)    Supplement to 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)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II dated February 23, 2009 /34/
  (6)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 19, 2009 /35/
  (7)    Form of Amended and Restated Distribution Contract relating to the PIMCO Real Income 2019 Fund and the PIMCO Real Income 2029 Fund /38/
  (8)    Japan Dealer Sales Contract dated May 5, 2000 /36/


(f)    Not applicable
(g)   

(1)

   Custody and Investment Accounting Agreement dated January 1, 2000 /36/
   (2)    Amendment to Custody and Investment Accounting Agreement dated June 8, 2001 /36/
(h)    (1)    Supervision and Administration Agreement dated August 11, 2008 /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 dated February 24, 2009 /33/

  

 

(5)

  

 

Supplement to the Supervision and Administration Agreement relating to the PIMCO Emerging Markets and Infrastructure Bond Fund, PIMCO MuniGO Fund and PIMCO Convertible Fund dated May 19, 2009 /35/

   (6)    Form of Supplement to the Supervision and Administration Agreement relating to the PIMCO Real Income 2019 Fund and the PIMCO Real Income 2029 Fund /38/
   (7)    Fee Waiver Agreement relating to the PIMCO Global Advantage Strategy Bond Fund dated February 5, 2009 /36/
   (8)    Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund dated February 23, 2009 /36/
   (9)    Amended and Restated Fee Waiver Agreement relating to PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund and PIMCO RealRetirement 2050 Fund dated February 23, 2009 /36/
   (10)    Amended and Restated Fee Waiver Agreement relating to PIMCO Income Fund dated February 23, 2009 /36/
   (11)    Second Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund for Class A, Class C and Class D Shares dated February 23, 2009 /36/
   (12)    Amended and Restated Fee Waiver Agreement relating to PIMCO Global Multi-Asset Fund dated February 23, 2009 /36/
   (13)    Fee and Expense Limitation Agreement relating to PIMCO Government Money Market Fund, PIMCO Money Market Fund and PIMCO Treasury Money Market Fund dated March 5, 2009 /36/
  

 

(14)

  

 

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

  

 

(15)

  

 

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

  

 

(16)

  

 

Transfer Agency and Service Agreement /31/

 

(i)

  

 

Opinion and Consent of Counsel /36/

 

(j)

  

 

Consent of Independent Registered Public Accounting Firm /37/

 

(k)

  

 

Not applicable

 

(l)

  

 

Not applicable

(m)    (1)    Distribution and Servicing Plan for Class A Shares /36/
   (2)    Distribution and Servicing Plan for Class B Shares /36/
   (3)    Distribution and Servicing Plan for Class C Shares /36/
   (4)    Amended and Restated Distribution Plan for Administrative Class Shares /36/
   (5)    Amended and Restated Administrative Services Plan for Administrative Class Shares /36/
   (6)    Form of Shareholder Servicing Agreement /5/
   (7)    Distribution and Servicing Plan for Class J Shares /36/
   (8)    Distribution and Servicing Plan for Class K Shares /36/
   (9)    Form of Distribution and Servicing Plan for Class C Shares of the Short Duration Municipal Income Fund /8/
   (10)    Administrative Services Plan for Advisor Class Shares /36/
   (11)    Distribution Plan for Advisor Class Shares /36/
   (12)    Distribution and Services Plan for Class R Shares /36/
   (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)    Code of Ethics for the Registrant /35/
   (2)    Code of Ethics for PIMCO /35/
   (3)    Code of Ethics for Allianz Global Investors Distributors LLC /35/
   (4)    Form of Code of Ethics for Research Affiliates, LLC /15/

 

* Power of Attorney /3/
** Form of Power of Attorney /7/
*** Power of Attorney /34/
**** Power of Attorney /36/


  /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/    Filed with Post-Effective Amendment No. 153 on April 13, 2009, and incorporated by reference herein.
  /35/    Filed with Post-Effective Amendment No. 157 on June 8, 2009, and incorporated by reference herein.
  /36/    Filed with Post-Effective Amendment No. 160 on July 29, 2009, and incorporated by reference herein.
  /37/    Filed herewith.
  /38/    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

Adatia, Tina

   Vice President, PIMCO.

Afrasiabi, Mark S.

   Vice President, PIMCO.

Agredano, Carlos

   Vice President, PIMCO

Akerberg, Oskar

   Vice President, PIMCO.

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, PCM Fund, Inc., PIMCO Variable Insurance Trust, and PIMCO Strategic Global Government Fund, Inc.

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.

Baker, Brian P.

   Managing Director, 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.

Beard, Christopher

   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.

Berman, Scott

   Senior Vice President. Formerly Vice President, JPMorgan Chase Proprietary Positioning Business.


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.

Brandl, Michael

   Vice President, PIMCO.

Braun, David L.

   Senior Vice President, PIMCO. Formerly Executive Vice President and Chief Risk Officer, The Hartford - Hartford Investment Management Co.

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, PCM Fund, Inc., PIMCO Variable Insurance Trust and PIMCO Strategic Global Government Fund, Inc.

Brune, Christopher P.

   Vice President, PIMCO.

Bui, Giang H.

   Senior Vice President, PIMCO.

Burdian, Michael R.

   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.

Cantrill, Elizabeth D.

   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 President, 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.

Colasuonno, Richard T.

   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.

Crescenzi, Anthony

   Senior Vice President, PIMCO. Formerly Chief Bond Market Strategist, Partner and Chairman Miller Tabak Asset Management.

Cressy, Jonathan B.

   Senior Vice President, PIMCO.

Cumby III, Williams 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.

Domodaran, 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.

Das, Aniruddha

   Vice President, PIMCO.

David, Evan A.

   Vice President, PIMCO.

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, PIMCO Funds 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.

Fan, Derek Chung L.

   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.

Gross, Jared B.

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

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.

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, PIMCO Funds 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, and PIMCO Variable Insurance Trust and PIMCO Funds. President, the Trust, the 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.

Hofmann, Richard P.E.

   Senior Vice President, PIMCO. Formerly Analyst, Creditsights, Inc.

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.

Huerta, Maryam

   Vice President, PIMCO.

Hughes, Mark Alan

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

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, Brian H.

   Vice President, PIMCO.

Jacobs IV, Lew W.

   Managing Director, PIMCO.

Jann, Juergen

   Senior Vice President, PIMCO.

Jelenz King, Silvia

   Vice President, PIMCO.

Johnson, Eric D.

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

Johnson, Kelly

   Vice President, PIMCO.

Johnson, Nicholas, J.

   Senior Vice President, PIMCO.

Jones, Jeff

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

Jones, Steven L.

   Vice President, PIMCO.

Jordan, Daniel V.

   Vice President, PIMCO.

Kakuchi, Tadashi

   Vice President, PIMCO.

Kam, Damien J.

   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.

Kim, Aaron

   Vice President, PIMCO. Formerly, Executive Director and Counsel, JPMorgan Chase Bank N.A.

Kim, Lisa

   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.

Kingston, Rafer A.

   Vice President, PIMCO.

Kirkbaumer, Steven P.

   Senior Vice President, PIMCO.

Kirkowski, John J.

   Vice President, PIMCO.

Kishimoto, Yayoi

   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.

Kuhner, Kevin D.

   Senior Vice President, PIMCO.

Kumar, Mukund

   Vice President, PIMCO.

Lackey, Warren M.

   Senior Vice President, PIMCO.

Lang, Eddie

   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.

Leong, Foong C.

   Vice President, PIMCO.

Lettich, Bruno J.

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

Li, Ji

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

Li, Li

   Vice President, PIMCO.

Lian, Chia Liang

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

Lilly III, Frederick V.

   Vice President, PIMCO. Formerly Vice President, Portfolio Manager, The Bank of New York.

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.

Loh, Cynthia E. Yue-Ling

   Vice President, 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.

Mittal, Mohit

   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.

Moyer, Stephen G.

   Senior Vice President, PIMCO. Formerly Director, Tennenbaum Capital Partners, LLC.

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.

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.

Nunziata, Cristina

   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.

Ollenburger, Loren P.

   Vice President, PIMCO.

Ong, Arthur Y.D.

   Executive 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.

Padmanabhan, Lalantika

   Vice President, PIMCO.

Pagani, Lorenzo P.

   Senior Vice President, PIMCO.

Parikh, Bijaly

   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.

Pejavar, Sheila M.

   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.

Pont, Nicholas J.

   Vice President, PIMCO.

Porterfield, Mark J.

   Executive Vice President, PIMCO.

Posch, Brigitte

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

Pothalingam, Ketishwaran S.

   Senior Vice President, PIMCO. Formerly Credit Fund Manager, Threadneedle Asset Management.

Potthof, Axel

   Senior Vice President, PIMCO.

Powers, William C.

   Managing Director, PIMCO.

Pricer, Jesse L.

   Vice President, PIMCO.

Putnicki, Matthew S.

   Vice President, PIMCO.

Putyatin, Vladyslav

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

Qiao, Yi

   Vice President, PIMCO.

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.

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 the Trust and PIMCO Variable Insurance Trust.

Schaus, Stacy Leigh

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

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.

Scott, Brad Charles

   Senior Vice President, PIMCO. Formerly Executive Director, JPMorgan.

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.

Serafino Jr., George P.

   Vice President, PIMCO.

Sesay, Therenah

   Vice President, PIMCO.

Shah, Sapna K.

   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.

Singal, Alka

   Vice President, 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 M.

  

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.

Taborsky, Mark A.

   Executive Vice President, PIMCO. Formerly Managing Director of External Management, Harvard Management Company.

Takano, Makoto

   Managing Director, PIMCO.

Takeuchi, Ichiro

   Vice President, PIMCO.

Takizuka, Hikaru

   Vice President, PIMCO.

Tam, Joe

   Vice President, PIMCO.

Tamura, Mairo

   Vice President, PIMCO. Formerly Manager, AIG Japan Capital Investment Co., Ltd.

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.

To, Steven P.

   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.

Tournier, Eve

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

Traber, Eva-Maria

   Executive Vice President, PIMCO.

Tran, Loc K.

   Vice President, PIMCO.

Tredwell, Alonzo S.

   Vice President, PIMCO.

Trevithick, Natalie

   Senior 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.

Tzemach, Y. Gayle

   Vice President, PIMCO.

Upadhyay, Nishant

   Vice President, PIMCO.


Name

  

Business and Other Connections

Vallarta-Jordal, Maria-Theresa F.    Senior Vice President, PIMCO.
Vames, Steven    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.
Veit, Konstantin    Vice President, PIMCO.
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 PIMCO Funds and PIMCO Variable Insurance Trust. Formerly Senior Manager, Pricewaterhouse Coopers.
Walsh, Lauren R.    Vice President, PIMCO.
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 Variable Insurance Trust, and PIMCO ETF Trust.
Weinberger, Michele Deborah    Vice President, PIMCO. Formerly Vice President, Goldman Sachs Asset Mgmt.
Wendler IV, Paul F.    Vice President, PIMCO.
Werber, Keith A.    Vice President, PIMCO. Formerly Vice President, Countrywide Securities Corporation.
White, Timothy C.    Senior Vice President, PIMCO.
Whitewolf, Lance E.    Vice President, PIMCO.
Whitton, Bransby M.    Senior Vice President, PIMCO.
Wild, Christian    Senior Vice President, PIMCO.
Wildermuth, Paul T.    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.
Yip, Jonathon    Vice President, PIMCO.
Yoon, Kenneth G.    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.
Harkins, Daniel M    Associate Director, Investment Operations, Research Affiliates, LLC
Hennessy, David    Managing Director, Marketing, Research Affiliates, LLC
Hsu, Jason    Managing Director, Chief Investment Officer, Research Affiliates, LLC
Nesbit, Janine    Managing Director, Chief Legal Officer and Chief Compliance Officer, Research Affiliates, LLC
Larsen, Michael    Associate Director., Affiliate Relations, Research Affiliates, LLC
Li, Feifei    Director, Research, Research Affiliates, LLC
Sherrerd, Katy    Managing Director, Chief Operating Officer, Research Affiliates, LLC
West, John    Director, Marketing & Client Services, Research Affiliates, LLC

 

The address of Research Affiliates, LLC is 620 Newport Center Drive, Newport Beach, California, 92660.


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

Anders, Michael L.

   Vice President    None

Aronovitz, Jill L.

   Vice President    None

Aymond, Colin C.

   Senior Vice President    None

Bechor, David

   Vice President    None

Berge, Wendy

   Senior Vice President    None

Biggers, Clark H.

   Vice President    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

   Managing Director    None

Casenhiser, Christopher A.

   Senior Vice President    None

Chnatwal, Inderjits

   Vice President    None

Chung, Alice W.

   Vice President    None

Clark, Kevin

   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

Dane, Stephen J.

   Senior Vice President    None

Davidson, Kellie E.

   Assistant Secretary    None

DeBlasio, Kerry M.

   Vice President    None

DeCicco, Lucianne

   Vice President    None

DeNicolo, Paul

   Senior Vice President    None

Dewar Neil I.

   Senior Vice President    None

Dieterle, Sean W.

   Vice President    None

Dietrich, Marc R.

   Vice President    None

Deitsch, Chaya S.

   Vice President    None

Douvogiannis, Martha

   Vice President    None

Downing, Eric D.

   Senior Vice President    None

Eleccion Joseph F.

   Vice President    None

Ellis, Michelle N.

   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

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

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, Christopher

   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

Kervabon, Rose

   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

   Senior Vice President    None

Lewis, Robert J.

   Senior Vice President    None

Lynch, William E.

   Senior Vice President, Divisional Sales Manager    None

Lyons, James F.

   Senior Vice President    None

Maag, Troy C.

   Vice President    None

Macey, James D.

   Vice President    None

Maher, John

   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

Matos, Gabriel

   Vice President    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

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.

   Senior 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

Poplarski, Greg H.

   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

Ridolfo, Francis N.

   Vice President    None

Rokose, Robert J.

   Managing Director    None

Rose, Scott

   Senior Vice President    None

Rosoff, Jay S.

   Managing Director    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.

   Senior 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.

   Senior Vice President    None

Stahl, Cathleen Meere

   Senior Vice President    None

Stepanov, Vadim V.

   Vice President    None

Stergiou, John J.

   Vice President    None

Storlie Steven R.

   Vice President    None

Straughn, Ruth A.

   Senior 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.

   Managing Director    None

Thompson, Kathleen C.

   Senior Vice President    None

Tiedemann Jr., Barrie L.

   Senior Vice President    None

Toner, William T.

   Senior Vice President    None

Triolo, Richard

   Senior Vice President    None

Wagner, Keith C.

   Managing Director    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

Wolf, Jenny M.

   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 Securities Act of 1933 and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all the requirements of effectiveness of this Post-Effective Amendment No. 161 to its Registration Statement under Rule 485(b) of the 1933 Act and has duly caused this Post-Effective Amendment No. 161 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 July, 2009.

 

PIMCO FUNDS

(Registrant)

By:    
 

Brent R. Harris*

President

*By:   /s/ ROBERT W. HELM
 

Robert W. Helm

as attorney-in-fact

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following person in the capacities and on the dates indicated:

 

Signature

  

Title

 

Date

 

Brent R. Harris*

   Trustee   July 29, 2009

 

William J. Popejoy*

   Trustee   July 29, 2009

 

Vern O. Curtis*

   Trustee   July 29, 2009

 

E. Philip Cannon**

   Trustee   July 29, 2009

 

J. Michael Hagan**

   Trustee   July 29, 2009

 

Richard M. Weil***

   Trustee   July 29, 2009

 

Ronald C. Parker****

   Trustee   July 29, 2009

 

Brent R. Harris*

  

President

(Principal Executive Officer)

  July 29, 2009

 

John P. Hardaway*

  

Treasurer

(Principal Financial and Accounting Officer)

  July 29, 2009

 

*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.

 

** Pursuant to power of attorney filed with Post-Effective Amendment No. 54 to Registration Statement No. 33-12113 on May 18, 2000.

 

*** Pursuant to power of attorney filed with Post-Effective Amendment No. 153 to Registration Statement No. 33-12113 on April 13, 2009.

 

**** Pursuant to power of attorney filed with Post-Effective Amendment No. 160 to Registration Statement No. 33-12113 on July 29, 2009.