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

As filed with the Securities and Exchange Commission on November 18, 2009

File No. 811-05028

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Form N-1A

 

  REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940    x
  Amendment No. 215    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. 215 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. 205 under the Investment Company Act of 1940, as amended (the “1940 Act”), filed on July 29, 2009. This Amendment pertains to the Offering Memorandum Supplements of the Trust’s Private Account Portfolio Series, each dated July 29, 2009.

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 November 18, 2009 to the

Offering Memorandum Supplement and the

Offering Memorandum Supplement for the

PIMCO Funds: Private Account Portfolio Series Short-Term Floating NAV Portfolio,

each dated July 29, 2009

Disclosure Related to All Portfolios

THIS SUPPLEMENT SUPERSEDES IN ITS ENTIRETY

THE SUPPLEMENT DATED NOVEMBER 12, 2009

Effective immediately, the final sentence of the second to last paragraph in the “Investment Restrictions” section of the Offering Memorandum Supplement on page 41 is deleted in its entirety and replaced with the following:

For all Portfolios except the High Yield Portfolio, in the event that ratings services assign different ratings to the same security, PIMCO will use the highest rating as the credit rating for that security. For the High Yield Portfolio, in the event that ratings services assign different ratings to the same security, PIMCO will use the lowest rating as the credit rating for that security.

Effective immediately, the final sentence of the second to last paragraph in the “Investment Restrictions” section of the Offering Memorandum Supplement for the PIMCO Funds: Private Account Portfolio Series Short-Term Floating NAV Portfolio on page 28 is deleted in its entirety and replaced with the following:

In the event that ratings services assign different ratings to the same security, PIMCO will use the highest rating as the credit rating for that security.

Investors Should Retain This Amendment For Future Reference


PART C. OTHER INFORMATION

 

Item 23. Exhibits

 

(a)    (1)    Amended and Restated Declaration of Trust Dated March 31, 2000(4)
   (2)    Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest dated February 26, 2008(5)
   (3)    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(7)
   (4)    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(7)
   (5)    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(8)
   (6)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Global Multi-Asset Fund dated May 20, 2008(9)
   (7)    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(10)
   (8)    Amended Designation of One Existing Series of Shares of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio dated October 9, 2008(11)
   (9)    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(12)
   (10)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Long-Term Credit Fund dated December 30, 2008(13)
   (11)    Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008(14)
   (12)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio II dated February 23, 2009(15)
   (13)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets Infrastructure Bond Fund dated February 23, 2009(18)
   (14)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Muni GO Fund dated April 8, 2009(18)
   (15)    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(18)
   (16)    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(20)


   (17)    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(20)
   (18)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
(b)       Amended and Restated By-Laws of Registrant(19)
(c)       Not applicable
(d)    (1)    Amended and Restated Investment Advisory Contract dated February 23, 2009(16)
   (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(18)
   (3)    Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund, and PIMCO Tax Managed Real Return Fund dated August 11, 2009(20)
   (4)    Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to fee changes dated October 1, 2009(21)
   (5)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated July 18, 2002(17)
   (6)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated October 1, 2006(17)
   (7)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated September 30, 2003(17)
   (8)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated October 1, 2006(17)
   (9)    Sub-Advisory Agreement relating to the PIMCO Fundamental IndexPLUS Fund and PIMCO Fundamental IndexPLUS TR Fund(21)
   (10)    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(17)
   (11)    Sub-Advisory Agreement relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund dated November 10, 2008(19)
(e)    (1)    Amended and Restated Distribution Contract dated February 26, 2008(14)
   (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(7)
   (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(14)
   (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(14)


   (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(17)
   (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(18)
   (7)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund and PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
   (8)    Japan Dealer Sales Contract dated September 24, 2009(21)
(f)       Not Applicable
(g)    (1)    Custody and Investment Accounting Agreement dated January 1, 2000(19)
   (2)    Amendment to Custody and Investment Accounting Agreement dated June 8, 2001(19)
(h)    (1)    Supervision and Administration Agreement dated August 11, 2008(9)
   (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(9)
   (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(12)
   (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(16)
   (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(18)
   (6)    Supplement to the Supervision and Administration Agreement relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund and PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
   (7)    Supplement to the Supervision and Administration Agreement relating to fee changes dated October 1, 2009(21)
   (8)    Fee Waiver Agreement relating to the PIMCO Global Advantage Strategy Bond Fund dated February 5, 2009(19)
   (9)    Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund dated February 23, 2009(19)
   (10)    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(19)
   (11)    Amended and Restated Fee Waiver Agreement relating to PIMCO Income Fund dated February 23, 2009(19)


   (12)    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(19)
   (13)    Amended and Restated Fee Waiver Agreement relating to PIMCO Global Multi-Asset Fund dated February 23, 2009(19)
   (14)    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(19)
   (15)    PIMCO Cayman Commodity Fund I Ltd. Appointment of Agent for Service of Process(6)
   (16)    PIMCO Cayman Commodity Fund II Ltd. Appointment of Agent for Service of Process(12)
   (17)    Transfer Agency and Service Agreement(14)
(i)       Opinion and Consent of Counsel(22)
(j)       Consent of Independent Registered Public Accounting Firm(22)
(k)       Not Applicable
(l)       Not Applicable
(m)    (1)    Distribution and Servicing Plan for Class A Shares(19)
   (2)    Distribution and Servicing Plan for Class B Shares(19)
   (3)    Distribution and Servicing Plan for Class C Shares(19)
   (4)    Amended and Restated Distribution Plan for Administrative Class Shares(19)
   (5)    Amended and Restated Administrative Services Plan for Administrative Class Shares(19)
   (6)    Distribution and Servicing Plan for Class J Shares(19)
   (7)    Distribution and Servicing Plan for Class K Shares(19)
   (8)    Administrative Services Plan for Advisor Class Shares(19)
   (9)    Distribution Plan for Advisor Class Shares(19)
   (10)    Distribution and Services Plan for Class R Shares(19)
   (11)    Form of Administrative Services Plan for Class P Shares(6)
   (12)    Form of Shareholder Servicing Agreement for Class P Shares(6)
   (13)    Form of Shareholder Servicing Agreement for Class M Shares(16)
(n)       Eighth Amended and Restated Multi-Class Plan adopted pursuant to Rule 18f-3(12)
(p)    (1)    Code of Ethics for the Registrant(18)
   (2)    Code of Ethics for PIMCO(18)
   (3)    Code of Ethics for Allianz Global Investors Distributors LLC(18)
   (4)    Form of Code of Ethics for Research Affiliates, LLC(3)

 

*

Power of Attorney( 1)

**

Form of Power of Attorney(2)

***

Power of Attorney( 17)

****

Power of Attorney( 19)


(1) Filed with Post-Effective Amendment No. 36 on July 11, 1997, and incorporated by reference herein.
(2) Filed with Post-Effective Amendment No. 68 on June 28, 2002, and incorporated by reference herein.
(3) Filed with Post-Effective Amendment No. 119 on December 19, 2006, and incorporated by reference herein.
(4) Filed with Post-Effective Amendment No. 128 on December 14, 2007, and incorporated by reference herein.
(5) Filed with Post-Effective Amendment No. 129 on February 27, 2008, and incorporated by reference herein.
(6) Filed with Post-Effective Amendment No. 133 on April 29, 2008, and incorporated by reference herein.
(7) Filed with Post-Effective Amendment No. 136 on June 24, 2008, and incorporated by reference herein.
(8) Filed with Post-Effective Amendment No. 138 on July 28, 2008, and incorporated by reference herein.
(9) Filed with Post-Effective Amendment No. 140 on August 27, 2008, and incorporated by reference herein.
(10) Filed with Amendment No. 178 on October 1, 2008, and incorporated by reference herein.
(11) Filed with Amendment No. 180 on October 10, 2008, and incorporated by reference herein.
(12) Filed with Post-Effective Amendment No. 147 on December 22, 2008, and incorporated by reference herein.
(13) Filed with Post-Effective Amendment No. 148 on January 2, 2009, and incorporated by reference herein.
(14) Filed with Post-Effective Amendment No. 150 on January 26, 2009, and incorporated by reference herein.
(15) Filed with Amendment No. 191 on February 27, 2009, and incorporated by reference herein.
(16) Filed with Post-Effective Amendment No. 151 on March 18, 2009, and incorporated by reference herein.
(17) Filed with Post-Effective Amendment No. 153 on April 13, 2009, and incorporated by reference herein.
(18) Filed with Post-Effective Amendment No. 157 on June 8, 2009, and incorporated by reference herein.
(19) Filed with Post-Effective Amendment No. 160 on July 29, 2009, and incorporated by reference herein.
(20) Filed with Post-Effective Amendment No. 165 on August 28, 2009, and incorporated by reference herein.
(21) Filed with Post-Effective Amendment No. 167 on October 28, 2009, and incorporated by reference herein.
(22) To be filed by amendment.

 

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

The Trust through the CommodityRealReturn 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 Amended and Restated Declaration of Trust, which was filed with the Registrant’s Post-Effective Amendment No. 128 on December 14, 2007.

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 the 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.

   Senior 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.

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

Avancini, Joerg

   Vice President, PIMCO.

Baker, Brian P.

   Managing Director, PIMCO.

Balls, Andrew Thomas

   Executive Vice President, PIMCO.

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.


Name

  

Business and Other Connections

Benson, Sandra M.

   Vice President, PIMCO.

Benz II, William R.

   Managing Director, PIMCO.

Ben-Zvi, Kfir

   Vice President, PIMCO.

Berman, Scott

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

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.

Blau, Volker

   Executive Vice President, PIMCO.

Blomenkamp, Felix

   Senior Vice President, PIMCO.

Blute, Ryan Patrick

   Senior Vice President, PIMCO.

Bodereau, Philippe

   Executive 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.

Brittain, WH Bruce

   Executive Vice President, PIMCO.

Broadwater, Kevin M.

   Senior Vice President, PIMCO.

Brons, Jelle

   Vice President, PIMCO.

Brown, Erik C.

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

Byer, Jeffrey A.

   Vice President, PIMCO.

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.

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.


Name

  

Business and Other Connections

Chopra, Amit

   Vice President, PIMCO.

Clarida, Richard H.

   Executive Vice President, PIMCO.

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, 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.

Das, Aniruddha

   Vice President, PIMCO.

David, Evan A.

   Vice President, PIMCO.

Dawson, Craig A.

   Managing Director, PIMCO.

De Bellis, Mary

   Vice President, PIMCO.

De Leon, William

   Executive Vice President, PIMCO.

De Lorenzo, Nicola A.

   Vice President, PIMCO.

Devlin, Edward

   Executive Vice President, PIMCO.

Dialynas, Chris P.

   Managing Director, PIMCO.

Dilek, Burcin

   Vice President, PIMCO.

Dittrich, Hanno

   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.

Dorsten, Matthew P.

   Vice President, PIMCO.

Dubitsky, Rod S.

   Executive Vice President, PIMCO. Formerly, Managing Director, Credit Suisse.

Dugan, Travis J.

   Vice President, PIMCO.

Durham, Jennifer E.

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

Dutta, Manish

   Vice President, PIMCO.


Name

  

Business and Other Connections

Edler, Vernon

   Vice President, PIMCO.
Edwards, Ben M.    Vice President, PIMCO.
Eedes, Linda    Senior Vice President, PIMCO.
El-Erian, Mohamed A.    Managing Director, PIMCO. Formerly, President and CEO of Harvard Management Co. Senior Vice President of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
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.    Senior 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.
Flattum, David C.    Managing Director, General Counsel, PIMCO. Chief Legal Officer, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
Forsyth, Andrew C.    Vice President, PIMCO.
Fournier, Joseph A.    Executive Vice President, PIMCO.
Fowler, Ellen    Vice President, PIMCO.
Foxall, Julian    Senior Vice President, PIMCO.
Frisch, Ursula T.    Senior Vice President, PIMCO.
Froehlich, Frank    Vice President, PIMCO.
Fuhrmann, Dorothee 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.
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.


Name

  

Business and Other Connections

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.
Graham, 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, StocksPLUS Management, Inc. Senior Vice President of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
Gruben, Kristin L.    Vice President, PIMCO.
Grzesik, Marco    Vice President, PIMCO.
Gu, Haidi    Vice President, PIMCO.
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 Variable Insurance Trust and PIMCO ETF Trust.
Harris, Brent Richard    Managing Director and Executive Committee Member, PIMCO. Director and President, StocksPLUS Management, Inc. Trustee, Chairman and President of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust. Director, PIMCO Luxembourg S.A. and PIMCO Luxembourg II.
Harumi, Kazunori    Executive Vice President, PIMCO.
Hastings, Arthur J.    Senior Vice President, PIMCO. Vice President, StocksPLUS Management Inc.
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, JPMorgan.
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.


Name

  

Business and Other Connections

Horne, Jonathan L.

   Senior Vice President, PIMCO.
Hsiang, Hwa-Ming    Vice President, PIMCO.
Hu, Gang    Senior Vice President, PIMCO. Formerly, Director, Deutsche Bank.
Huerta, Maryam    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.
Jacobs, Brian H.    Vice President, PIMCO.
Jann, Juergen    Senior Vice President, PIMCO.
Johnson, Eric D.    Vice President, PIMCO.
Johnson, Kelly    Vice President, PIMCO.
Johnson, Nicholas J.    Senior Vice President, PIMCO.
Jones, Jeff    Vice President, PIMCO. Formerly, Head of Leadership Assessment & Development Group, HSBC Holding PLC.
Jones, Steven L.    Vice President, PIMCO. Vice President, StocksPLUS Management Inc.
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.
Keck, Andreas    Senior Vice President, PIMCO.
Kellerhals, Philipp    Vice President, PIMCO.
Kelly, Benjamin Marcus    Senior 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.
King Jr., John Stephen    Senior Vice President, PIMCO. Vice President, Senior Counsel, and Secretary, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF 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.
Klug, Harald    Vice President, PIMCO.
Komatsu, Hugo    Vice President, PIMCO.
Komatsu, Mitsuaki    Senior Vice President, PIMCO.
Korinke, Kimberley Grace    Senior Vice President, PIMCO.
Korinke, Ryan P.    Senior Vice President, PIMCO.
Kressin, Thomas    Senior Vice President, PIMCO.
Kuhner, Kevin D.    Senior Vice President, PIMCO.


Name

  

Business and Other Connections

Kumar, Mukund

   Vice President, PIMCO.
Lachhammer, Stefan    Vice President, PIMCO.
Lackey, Warren M.    Senior Vice President, PIMCO.
Lang, Eddie    Vice President, PIMCO.
Lange, Thomas    Vice President, PIMCO.
Larsen, Henrik P.    Senior Vice President, PIMCO. Vice President, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
LeBrun Jr., Richard R.    Senior Vice President, PIMCO; Assistant Secretary, StocksPLUS Management, Inc.
Lee, Alvin Lip Sin    Vice President, PIMCO.
Lee, Robert Ru-Bor    Vice President, PIMCO.
Lehavi, Yanay    Executive Vice President, PIMCO.
Leong, Chon-Ian    Vice President, PIMCO.
Leong, Foong C.    Vice President, PIMCO.
Lettich, Bruno J.    Executive Vice President, PIMCO. Formerly, Managing Director, Merrill Lynch & Co.
Li, Ji    Senior Vice President, PIMCO. Formerly, Vice President, Goldman Sachs.
Li, Li    Vice President, PIMCO.
Lian, Chia Liang    Senior Vice President, PIMCO.
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.
Loh, John J.    Senior 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.
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.
Lown, David C.    Managing Director, PIMCO.
Ludwig, Steven    Senior Vice President, PIMCO.
Mak, Richard    Senior Vice President, PIMCO.
Mandy, Alain    Vice President, PIMCO. Formerly, Audit Senior Manager/Director, PricewaterhouseCoopers.
Manseau Guerdat, Chantal Marie-Helene    Vice President, PIMCO.
Maoui, Idriss    Vice President, PIMCO. Formerly, Assistant Vice President, Barclays Capital.
Martel, Rene    Senior Vice President, PIMCO.
Martin, Scott W.    Senior Vice President, PIMCO.


Name

  

Business and Other Connections

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.
McCarthy, Sean M.    Vice President, PIMCO. Formerly, Senior Vice President, Lehman Brothers Inc.
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/Structurer, JPMorgan.
Miller Jr., Kendall P.    Senior Vice President, PIMCO.
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.
Mitchell, Gail    Senior Vice President, PIMCO.
Mittal, Mohit    Vice President, PIMCO.
Moeljanto, Lanny H.    Vice President, PIMCO.
Mogelof, Eric J.    Executive Vice President, PIMCO.
Molloy, Carol    Vice President, PIMCO.
Monson, Kristen S.    Executive Vice President, PIMCO.
Moore, James F.    Executive Vice President, PIMCO.
Morena, Robert    Executive 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.    Senior Vice President, PIMCO.


Name

  

Business and Other Connections

Murano, Yuko

   Vice President, PIMCO.
Murata, Alfred T.    Executive Vice President, PIMCO.
Murray, John W.    Senior Vice President, PIMCO. Formerly, Vice President, JER Partners.
Nabors, Robin    Vice President, PIMCO.
Nambimadom, Ramakrishnan S.    Senior Vice President, PIMCO.
Nest, Matthew J.    Senior 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.
Okamura, Shigeki    Senior Vice President, PIMCO.
Okuma, Sachiko    Vice President, PIMCO.
Okun, Eric A.    Executive Vice President, PIMCO.
Olazabal, Joshua A.    Vice President, PIMCO.
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    Senior Vice President, PIMCO.
Osses, Guillermo Ariel    Executive 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, Bijal Y.    Vice President, PIMCO.
Parikh, Saumil H.    Executive Vice President, PIMCO.
Park, Jung    Executive Vice President, PIMCO. Formerly, Senior Managing Director, Bear Stearns Asia Limited.
Pascutti, Michael J.    Executive Vice President, PIMCO. Formerly Founding Partner, Sandelman Partners.
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    Senior 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.


Name

  

Business and Other Connections

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.
Price, Rosamond J.    Vice President, 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).
Rahman, Lupin    Vice President, PIMCO. Formerly, Policy Review Division, Policy Development and Review.
Ratner, Joshua D.    Vice President, PIMCO. Assistant Secretary, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
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.
Ruebesam, Roland    Vice President, PIMCO.
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, PIMCO Variable Insurance Trust and ETF 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.
Schneider, Patrick    Vice President, PIMCO.


Name

  

Business and Other Connections

Schuetz, Patricia Ann

   Vice President, PIMCO. Formerly, Director, Credit Suisse Asset Management.
Schulist, Stephen O.    Senior Vice President, PIMCO.
Schultes, Adrian O.    Vice President, PIMCO. Formerly, Regional Director, Ibbotson Associates.
Schwab, Gerlinde    Vice President, PIMCO.
Schwab, Stephen D.    Vice President, PIMCO. Formerly, Vice President, Fidelity Investment.
Schwetz, Myckola    Senior Vice President, PIMCO.
Scibisz, Iwona E.    Vice President, PIMCO.
Scorah, Ian    Vice President, PIMCO. Formerly, Senior Investment Lawyer, Morley Fund Management Limited.
Seidner, Marc P.    Vice President, PIMCO. Formerly, Managing Director, Domestic Fixed Income Portfolio Manager, Harvard Management Company.
Sejima, Toru    Senior 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.    Senior 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.
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    Executive 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.    Senior Vice President, PIMCO.
Stancil, Thomas A.    Vice President, PIMCO. Formerly Partner, Ashland Partners & Co., LLP
Staub, Christian M.    Senior Vice President, PIMCO.
Stauffer, Christina    Vice President, PIMCO.
Steele, Scott Patrick    Senior Vice President, PIMCO. Formerly, Chief Investment Officer, BMO Mutual Funds.

Steiner, Jason R.

   Vice President, PIMCO. Formerly Consultant, Centerline Capital Group.


Name

  

Business and Other Connections

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.
Strelow, Peter G.    Executive Vice President, PIMCO.
Struc, Alexandru    Vice President, PIMCO.
Sun, Hao    Vice President, PIMCO.
Suo, Yuanyuan    Vice President, PIMCO.
Suskind, Donald W.    Vice President, PIMCO; Vice President, 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, Maiko    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.
Thurston, Powell C.    Senior Vice President, PIMCO.
To, Steven P.    Vice President, PIMCO.
Toloui-Tehrani, Ramin    Executive Vice President, PIMCO.
Tomlinson, Brian    Vice President, PIMCO.
Tournier, Eve    Executive Vice President, PIMCO. Formerly, Managing Director, Deutsche Bank AG.
Traber, Eva-Maria    Vice President, PIMCO.
Tran, Loc K.    Vice President, PIMCO.
Tredwell, Alonzo S.    Vice President, PIMCO.
Trevithick, Natalie    Senior Vice President, PIMCO.
Trovato, Michael J.    Vice President, PIMCO.
Tsubota, Shiro    Senior Vice President, PIMCO.
Tyson, Richard E.    Executive Vice President, PIMCO.
Tzemach, Y. Gayle    Vice President, PIMCO.
Upadhyay, Nishant    Vice President, PIMCO.
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.


Name

  

Business and Other Connections

van Heel, Marc

   Executive Vice President, PIMCO.
van Zoelen, Henk Jan    Senior Vice President, PIMCO.
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.
Walenbergh, Mark    Vice President, PIMCO.
Walker, Trent W.    Senior Vice President, PIMCO and Assistant Treasurer of Trust, PIMCO Funds and PIMCO Variable Insurance Trust. Vice President, StocksPLUS Management Inc.
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.
Watford, Charles    Vice President, PIMCO.
Weil, Richard M.    Managing Director, PIMCO. Trustee and Senior Vice President 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.
Williams III, Charles A.    Vice President, PIMCO.
Williams, Jason A.    Vice President, PIMCO.
Wilner, Mitchell W.    Senior Vice President, PIMCO.
Wilson, John F.    Executive Vice President, PIMCO.
Wilson, Susan L.    Executive Vice President, PIMCO.
Winters, Kevin M.    Vice President, PIMCO.
Witt, Frank    Executive Vice President, PIMCO.
Wittkop, Andrew T.    Vice President, PIMCO.
Wolf, Greggory S.    Vice President, PIMCO.
Wong, Tammy Nguyen    Vice President, PIMCO
Wood, George H.    Executive Vice President, PIMCO.
Worah, Mihir P.    Executive Vice President, PIMCO.
Xu, Jianghua    Vice President, PIMCO.
Yamamoto, Shinichi    Senior Vice President, PIMCO.
Yang, Jing    Vice President, PIMCO.
Yasnov, Vadim I.    Vice President, PIMCO.
Yildiz, Sadettin    Vice President, PIMCO.
Yip, Jonathan    Vice President, PIMCO.
Yoon, Kenneth G.    Vice President, PIMCO.


Name

  

Business and Other Connections

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.
Zerner, Mary    Vice President, PIMCO. Formerly Senior Vice President, Lazard Asset Management Limited – London.
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
Hsu, Jason    Managing Director, Chief Investment Officer
Sherrerd, Katrina    Managing Director, Chief Operating Officer
Hennessy, David    Managing Director, Marketing
Nesbit, Janine    Managing Director
Harkins, Daniel M.    Chief Compliance and Legal Officer; Associate Director, Investment Operations
Li, Feifei    Director, Research
West, John    Director, Product Specialist
Larsen, Michael    Associate Director, Affiliate Relations

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

 

Item 27. Principal Underwriter

(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) The officers of the Distributor are:

 

Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

Aarts, Erik M.

   Managing Director    None

Anders, Michael L.

   Vice President    None

Aronovitz, Jill L.

   Vice President    None

Aymond, Colin C.

   Senior Vice President    None

Basile, Isabella

   Vice President    None

Bechor, David

   Vice President    None

Berge, Wendy

   Vice President    None

Biggers, Clark H.

   Senior 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

Chhatwal, Inderjit

   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

Gaffney, Brian J.

   Managing Director and Chief Executive Officer    None

Gallagher, Michael J.

   Senior Vice President    None


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

Galsim, Linda Shuen

   Vice President    None

Georgiou, Patrice

   Vice President    None

Gengo, Joseph

   Senior Vice President    None

Gibbons, Michaela A.

   Senior Vice President    None

Goodside, Scott B.

   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

Higgins, Timothy J.

   Senior Vice President    None

Hofmann, 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

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    None

Lyons, James F.

   Senior Vice President    None

Maag, Troy C.

   Vice President    None

Maher, John

   Vice President    None

Maher, Sean P.

   Vice President    None

Maloney, Andy

   Senior Vice President    None

Martin, Colleen

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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

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
Pisapia, Glynne    Senior Vice President    None
Plump, Steven B.    Executive Vice President    None
Poplarski, Greg H.    Vice President    None
Prasad, Satya A.    Vice President    None
Prendergast, Shivaun C.    Vice President    None
Prinstein, Peter M.    Vice President    None
Puntoriero, Michael J.    Managing Director    None
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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

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
Sutherland, Eric M.    Managing Director    None
Taha, Raad J.    Vice President    None
Teceno, Fred    Senior 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
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 Ave., 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

 

23


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 18th day of November, 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.