POS AMI 1 dposami.htm PIMCO FUNDS POS AMI PIMCO Funds POS AMI

As filed with the Securities and Exchange Commission on March 19, 2010

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. 222    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. 222 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 and the Trust’s Amendment No. 217 under the 1940 Act, filed on December 14, 2009. This Amendment pertains to (i) the Offering Memoranda of the Trust’s Private Account Portfolio Series, each dated July 29, 2009, as they pertain to the PIMCO Short-Term Floating NAV Portfolio and the PIMCO Short-Term Floating NAV Portfolio II and (ii) the Offering Memorandum Supplements, each dated as of July 29, 2009 (as revised as of December 11, 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 March 19, 2010 to the

Offering Memorandum dated July 29, 2009

Disclosure Related to the PIMCO Short-Term Floating NAV Portfolio II (the “Portfolio”)

Effective immediately, Jerome Schneider is the portfolio manager of the Portfolio. Therefore, effective immediately, the disclosure in the table providing information with respect to the Portfolio in the “Management of the Portfolios—Individual Portfolio Managers” section of the Offering Memorandum is deleted and replaced with the following:

 

Portfolio

    

Manager

     Since     

Recent Professional Experience

Short-Term

Floating

NAV II

     Jerome Schneider      3/10      Executive Vice President, PIMCO. He joined PIMCO in 2008. Prior to joining PIMCO, he served as Senior Managing Director with Bear Stearns, specializing in credit and mortgage-related funding transactions. Mr. Schneider joined Bear Stearns in 1995.

Investors Should Retain This Amendment For Future Reference


PIMCO Funds

Private Account Portfolio Series

Amendment Dated March 19, 2010 to the

Offering Memorandum for Short-Term Floating NAV Portfolio (the “Portfolio”)

dated July 29, 2009

Effective immediately, Jerome Schneider is the portfolio manager of the Portfolio. Therefore, effective immediately, the disclosure in the table providing information with respect to the Portfolio in the “Management of the Portfolio—Individual Portfolio Managers” section of the Offering Memorandum is deleted and replaced with the following:

 

Portfolio

    

Manager

     Since     

Recent Professional Experience

Short-Term

Floating

NAV

     Jerome Schneider      3/10      Executive Vice President, PIMCO. He joined PIMCO in 2008. Prior to joining PIMCO, he served as Senior Managing Director with Bear Stearns, specializing in credit and mortgage-related funding transactions. Mr. Schneider joined Bear Stearns in 1995.

Investors Should Retain This Amendment For Future Reference


PIMCO Funds

Private Account Portfolio Series

Amendment dated March 19, 2010 to the

Offering Memorandum Supplement dated July 29, 2009 (as revised as of December 11, 2009)

Disclosure Related to the PIMCO Short-Term Floating NAV Portfolio II (the “Portfolio”)

Effective immediately, Jerome Schneider is the portfolio manager of the Portfolio. Therefore, effective immediately, footnote 7 and the section accompanying footnote 7 in the table beginning on page 52 in the subsection titled “Portfolio Managers—Other Accounts Managed” are deleted and replaced with the following:

 

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

Schneider7

           

Registered Investment Companies

   1    44.97    0    N/A

Other Pooled Investment Vehicles

   0    N/A    N/A    N/A

Other Accounts

   2    4,964.56    0    N/A

 

7

As of March 19, 2010, Mr. Schneider manages the Short-Term Floating NAV Portfolio II, which, as of March 31, 2009, had $7,467.2 million in total assets under management.

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

Information pertaining to accounts managed by Mr. Schneider is as of December 31, 2009.

Additionally, effective immediately, the section of the table beginning on page 56 in the subsection titled “Portfolio Managers—Securities Ownership” relating to the Portfolio is deleted and replaced with the following:

 

Portfolio Manager

  

Funds Managed by Portfolio Manager

  

Dollar Range of Shares Owned

Jerome Schneider2

   Short-Term Floating NAV Portfolio II    None

 

2

As of March 19, 2010, Schneider manages the Short-Term Floating NAV Portfolio II. As of March 15, 2010, to the best of the Trust’s knowledge, Mr. Schneider did not own any shares of the Short-Term Floating NAV Portfolio II.

Investors Should Retain This Amendment For Future Reference


PIMCO Funds

Private Account Portfolio Series

Amendment dated March 19, 2010 to the

Offering Memorandum Supplement for Short-Term Floating NAV Portfolio (the “Portfolio”) dated

July 29, 2009 (as revised as of December 11, 2009)

Effective immediately, Jerome Schneider is the portfolio manager of the Portfolio. Therefore, effective immediately, footnote 1 and the section accompanying footnote 1 in the table beginning on page 38 in the subsection titled “Portfolio Manager—Other Accounts Managed” are deleted and replaced with the following:

 

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

Schneider1

           

Registered Investment Companies

   1    44.97    0    N/A

Other Pooled Investment Vehicles

   0    N/A    N/A    N/A

Other Accounts

   2    4,964.56    0    N/A

 

1

As of March 19, 2010, Mr. Schneider manages the Short-Term Floating NAV Portfolio, which, as of June 30, 2009, had $117.6 million in total assets under management.

In addition, effective immediately, the second sentence in the paragraph immediately preceding the above table is deleted and replaced with the following:

The following table identifies, as of December 31, 2009: (i) the Portfolio(s) managed by the portfolio manager; (ii) the number of other registered investment companies, pooled investment vehicles and other accounts managed by the portfolio manager; and (iii) the total assets of such companies, vehicles and accounts, and the number and total assets of such companies, vehicles and accounts with respect to which the advisory fee is based on performance.

Additionally, effective immediately, the section of the table beginning on page 40 in the subsection titled “Portfolio Manager—Securities Ownership” relating to the Portfolio is deleted and replaced with the following:

 

Portfolio Manager

  

Funds Managed by Portfolio Manager

  

Dollar Range of Shares Owned

Jerome Schneider1

   Short-Term Floating NAV Portfolio    None

 

1

As of March 19, 2010, Schneider manages the Short-Term Floating NAV Portfolio. As of March 15, 2010, to the best of the Trust’s knowledge, Mr. Schneider did not own any shares of the Short-Term Floating NAV Portfolio.

Investors Should Retain This Amendment For Future Reference


PART C. OTHER INFORMATION

 

Item 28. 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)

 

C-1


   (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)
   (19)    Establishment and Designation of Series of Beneficial Interest relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund(25)
(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)    Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund(25)
   (6)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated July 18, 2002(17)
   (7)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated October 1, 2006(17)
   (8)    Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated September 30, 2003(17)
   (9)    Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated October 1, 2006(17)
   (10)    Sub-Advisory Agreement relating to the PIMCO Fundamental IndexPLUS Fund and PIMCO Fundamental IndexPLUS TR Fund(21)
   (11)    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)
   (12)    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)    Supplement to Amended and Restated Distribution Contract relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund(25)
   (9)    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)    Supplement to the Supervision and Administration Agreement relating to PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund(25)


   (9)    Fee Waiver Agreement relating to the PIMCO Global Advantage Strategy Bond Fund dated February 5, 2009(19)
   (10)    Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund dated February 23, 2009(19)
   (11)    Second 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 November 3, 2009(22)
   (12)    Amended and Restated Fee Waiver Agreement relating to PIMCO Income Fund dated February 23, 2009(19)
   (13)    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)
   (14)    Second Amended and Restated Fee Waiver Agreement relating to PIMCO Global Multi-Asset Fund dated November 3, 2009(22)
   (15)    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)
   (16)    PIMCO Cayman Commodity Fund I Ltd. Appointment of Agent for Service of Process(6)
   (17)    PIMCO Cayman Commodity Fund II Ltd. Appointment of Agent for Service of Process(12)
   (18)    Transfer Agency and Service Agreement(14)
(i)       Opinion and Consent of Counsel(24)
(j)       Consent of Independent Registered Public Accounting Firm(24)
(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(19)

****

Power of Attorney(23)

(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) Filed with Post-Effective Amendment No. 169 on December 11, 2009, and incorporated by reference herein.
(23) Filed with Post-Effective Amendment No. 171 on February 26, 2010, and incorporated by reference herein.
(24) Filed with Post-Effective Amendment No. 172 on February 26, 2010, and incorporated by reference herein.
(25) To be filed by amendment.

 

Item 29. 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 30. 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 31. 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.
Agrawal, Shantanu    Vice President, PIMCO. Formerly Consulting Financial Analyst, White & Case LLP.
Allamanis, Georgios    Vice President, PIMCO.
Althof, Michael    Vice President, PIMCO.
Amey, Mike    Executive Vice President, PIMCO.


Name

  

Business and Other Connections

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.
Baker, Brian P.    Managing Director, PIMCO; Director, PIMCO Asia Pte Ltd. and PIMCO Asia Limited (Hong Kong).
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.
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.
Bradshaw, Myles E.    Senior 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    Managing Director, 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.


Name

  

Business and Other Connections

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.
Burns, Robert    Vice President, PIMCO.
Byer, Jeffrey A.    Vice President, PIMCO.
Callin, Sabrina C.    Managing Director, PIMCO; Acting Head of PIMCO Advisory; and 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.
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.    Managing Director, 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.
Davies, William    Senior Vice President, PIMCO. Formerly ABS Portfolio Manager, Axial Investments.
Dawson, Craig A.    Managing Director, PIMCO; Director, PIMCO Europe Ltd.
De Bellis, Mary    Vice President, PIMCO.
De Leon, William    Executive Vice President, PIMCO.


Name

  

Business and Other Connections

De Lorenzo, Nicola A.    Vice President, PIMCO.
De Silva, Harin A.    Executive Vice President, PIMCO. Formerly Managing Director, Merrill Lynch & Co.
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; Chief Compliance Officer, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
Dutta, Manish    Vice President, PIMCO.
Edler, Vernon    Vice President, PIMCO.
Edwards, Ben M.    Vice President, PIMCO.
Eedes, Linda    Senior Vice President, PIMCO.
El-Erian, Mohamed A.    Managing Director, Chief Executive Officer and Co- Chief Investment Officer, PIMCO; Senior Vice President, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust. Formerly President and CEO of Harvard Management Co.
Ellis, Edward L.    Vice President, PIMCO.
Eltz, Antoinette    Vice President, PIMCO.
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.


Name

  

Business and Other Connections

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.
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.
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 and Vice President, 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.
Gubner, Adam L.    Senior Vice President, PIMCO. Formerly Co-Founder and Co-Portfolio Manager, ALJ Capital Management LLC.
Gudefin, Anne E.    Executive Vice President, PIMCO. Formerly Lead Portfolio Manager, Franklin Mutual Advisers, LLC.
Gupta, Sachin    Senior Vice President, PIMCO.
Gupta, Shailesh    Senior Vice President, PIMCO.
Haaf, Tim    Vice President, PIMCO.
Hagmeier, William Robert    Vice President, PIMCO.
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


Name

  

Business and Other Connections

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.
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 and Chief Operating Officer, PIMCO; Director and Vice President, StocksPLUS Management Inc.; Director, PIMCO Europe Ltd., PIMCO Asia Pte Ltd., PIMCO Australia Pty Ltd, PIMCO Japan Ltd. and PIMCO Asia Limited (Hong Kong); Trustee of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
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.    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.
Ivascyn, Daniel J.    Managing Director, PIMCO.
Jacobs IV, Lew W.    Managing Director, PIMCO.
Jacobs, Brian H.    Vice President, PIMCO.
Jessop, Andrew R.    Executive Vice President, PIMCO. Formerly Managing Director, Goldman Sacs Asset Management.
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.


Name

  

Business and Other Connections

Kashkari, Neel T.    Managing Director, PIMCO. Formerly Interim Assistant Secretary for Financial Stability, Assistant Secretary for International Economics and Senior Advisor to Secretary Paulson, United States Department of Treasury.
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.
Kennedy, Gregory J.    Vice President, PIMCO. Formerly Research Analyst, Redrock Capital Management, LLC.
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.
Kumar, Mukund    Vice President, PIMCO.
Lachhammer, Stefan    Vice President, PIMCO.
Lackey, Warren M.    Senior Vice President, PIMCO.
Lahr, Charles M.    Executive Vice President, PIMCO. Formerly Portfolio Manager, Franklin Mutual Advisers, LLC.
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.


Name

  

Business and Other Connections

Li, Ji    Senior Vice President, PIMCO. Formerly Vice President, Goldman Sachs.
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.
Martini, Nadege    Vice President, PIMCO.
Masanao, Tomoya    Managing Director, 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.
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.


Name

  

Business and Other Connections

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.    Managing Director, 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.
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.
Neumeyer, Christopher D.    Vice President, PIMCO. Formerly Investment Analyst, The Blackstone Group L.P.
Ng, Albert K.    Vice President, PIMCO.
Nguyen, Luyen D.    Vice President, PIMCO. Formerly Senior Infrastructure Manager, State Street IMS.
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.
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.


Name

  

Business and Other Connections

Oliva, Jennifer L.    Vice President, PIMCO.
Ollenburger, Loren P.    Vice President, PIMCO.
Ong, Arthur Y.D.    Executive Vice President, PIMCO; Secretary, StocksPLUS Management, Inc.; Secretary, PIMCO Canada Corp.
Ongaro, Douglas J.    Managing Director, PIMCO.
Osses, Guillermo Ariel    Executive Vice President, PIMCO.
Otterbein, Marie S.    Vice President, PIMCO.
Otterbein, Thomas J.    Managing Director, PIMCO.
Ozeki, Koyo    Executive Vice President, PIMCO.
Padmanabhan, Lalantika    Vice President, PIMCO.
Pagani, Lorenzo P.    Senior Vice President, PIMCO.
Parikh, Bijal Y.    Vice President, PIMCO.
Parikh, Saumil H.    Managing Director, 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; Director, Vice President and Secretary, PIMCO Europe Ltd.; Director, PIMCO Asia Pte Ltd.; Director, Vice President and Assistant Secretary, PIMCO Australia Pty Ltd.; Vice President and Secretary, PIMCO Japan Ltd; Director, PIMCO Asia Limited (Hong Kong); and Assistant Secretary, PIMCO Canada Corp.
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.
Pickering, Natalie J.    Senior Vice President, PIMCO. Formerly Principal, Senior Director of Business Development and Strategy, Barclays Global Investors.
Pimentel, Rudolph    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.
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.


Name

  

Business and Other Connections

Rahman, Lupin    Vice President, PIMCO. Formerly Policy Development and Review Economist, Sri Lanka.
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.
Reynolds, Joel D.    Vice President, PIMCO. Formerly Vice President, Income Research & Management.
Rice, Thomas Edmund    Senior Vice President, PIMCO.
Riendeau, Kevin    Vice President, PIMCO. Formerly Vice President, Morgan Stanley.
Rodosky, Stephen A.    Managing Director, 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.
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.
Schaus, Stacy Leigh    Senior Vice President, PIMCO.
Schneider, Gero    Vice President, PIMCO.
Schneider, Jerome M.    Executive Vice President, PIMCO. Formerly Senior Managing Director, Bear, Stearns & Co., Inc.
Schneider, Patrick    Vice President, PIMCO.
Schuetz, Patricia Ann    Vice President, PIMCO.
Schulist, Stephen O.    Senior Vice President, PIMCO.
Schultes, Adrian O.    Vice President, PIMCO.
Schwab, Gerlinde    Vice President, PIMCO.
Schwab, Stephen D.    Vice President, PIMCO. Formerly Vice President, Fidelity Investments.
Schwetz, Myckola    Senior Vice President, PIMCO.
Scibisz, Iwona E.    Vice President, PIMCO.
Scorah, Ian    Vice President, PIMCO.
Seidner, Marc P.    Executive 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.


Name

  

Business and Other Connections

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.
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; Director, President, and Chief Compliance Officer, PIMCO (Switzerland) LLC.
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.
Stracke, Christian    Managing Director, 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; Vice President of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust.
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. and Vice President, PIMCO ETF Trust.
Taborsky, Mark A.    Executive Vice President, PIMCO. Formerly Managing Director of External Management, Harvard Management Company.
Takano, Makoto    Managing Director, PIMCO; Director and President, PIMCO Japan Ltd.
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.


Name

  

Business and Other Connections

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.
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.
Verma, Monica    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; Assistant Treasurer of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust; Vice President, StocksPLUS Management Inc.
Walsh, Lauren R.    Vice President, PIMCO.
Walther, Kasten    Vice President, PIMCO.
Warner IV, Hansford B.    Vice President, PIMCO.
Watchorn, Michael    Senior Vice President, PIMCO.
Watford, Charles    Vice President, PIMCO.
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.


Name

  

Business and Other Connections

Whitewolf, Lance E.    Vice President, PIMCO.
Whitton, Bransby M.    Senior Vice President, PIMCO; Director, PIMCO Asia Pte Ltd.
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; Director, PIMCO Australia Pty Ltd.
Wilson, Susan L.    Managing Director, 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.
Yip, Paul S.    Vice President, PIMCO. Formerly Principal Database Admin/Architect, Yahoo, Inc.
Yoon, Jinhy    Vice President, PIMCO. Formerly Vice President, J.P. Morgan Securities Inc.
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.
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.
West, John    Director, Product Specialist.
Li, Feifei    Director, Research.
Harkins, Daniel   

Chief Legal & Compliance Officer;

Associate Director, Investment Operations.

Larsen, Michael    Associate Director, Affiliate Relations.

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

 

Item 32. 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
Carlisle, Matthrew C.    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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

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
Donnelly, Thomas    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
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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

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
Marino, Gerard P.    Senior Vice President    None
Martin, Colleen    Chief Financial Officer, Financial Operations Principal, Senior Vice President and Controller    None
McAdams, Ann    Senior Vice President    None
McCarthy, Peter J.    Senior Vice President    None
McGeever, Kimberly    Vice President    None
McMenamin, Joseph T.    Senior Vice President    None
Meyer, Wayne    Senior Vice President    None
Meyers, Andrew J.    Managing Director, Chief Operating Officer    None
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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

Orvin, Henry W.    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
Rankin, James S.    Senior Vice President    None
Revell, Andrew    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
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


Name and Principal Business Address*

  

Positions and Offices With Underwriter

  

Positions and Offices with Registrant

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 33. 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 34. Management Services

Not applicable


SIGNATURES

Pursuant to the requirements of the Investment Company Act of 1940, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Washington in the District of Columbia on the 19th day of March, 2010.

 

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.