0000940400-11-000190.txt : 20110527
0000940400-11-000190.hdr.sgml : 20110527
20110527161331
ACCESSION NUMBER: 0000940400-11-000190
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 5
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110527
DATE AS OF CHANGE: 20110527
EFFECTIVENESS DATE: 20110527
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PACIFIC LIFE FUNDS
CENTRAL INDEX KEY: 0001137761
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-10385
FILM NUMBER: 11878399
BUSINESS ADDRESS:
STREET 1: 700 NEWPORT CENTER DRIVE
STREET 2: POST OFFFICE BOX 7500
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
BUSINESS PHONE: 9492193233
MAIL ADDRESS:
STREET 1: 700 NEWPORT CENTER DRIVE
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
FORMER COMPANY:
FORMER CONFORMED NAME: PACIFIC FUNDS
DATE OF NAME CHANGE: 20010405
0001137761
S000001887
PL PORTFOLIO OPTIMIZATION CONSERVATIVE
C000004960
CLASS A
POAAX
C000004961
CLASS B
POABX
C000004962
CLASS C
POACX
C000004963
CLASS R
POARX
0001137761
S000001888
PL INTERNATIONAL VALUE FUND
C000004964
CLASS P (FORMERLY CLASS A)
0001137761
S000001889
PL INTERNATIONAL LARGE-CAP FUND
C000004967
CLASS P (FORMERLY CLASS A)
0001137761
S000001890
PL SMALL-CAP GROWTH FUND
C000004970
CLASS P (FORMERLY CLASS A)
0001137761
S000001891
PL MAIN STREET CORE FUND
C000004973
CLASS P (FORMERLY CLASS A)
0001137761
S000001892
PL EMERGING MARKETS FUND
C000004974
CLASS P (FORMERLY CLASS A)
0001137761
S000001893
PL MANAGED BOND FUND
C000004975
CLASS P (FORMERLY CLASS A)
0001137761
S000001894
PL INFLATION MANAGED FUND
C000004978
CLASS P (FORMERLY CLASS A)
0001137761
S000001895
PL MONEY MARKET FUND
C000004981
CLASS A
PFAXX
0001137761
S000001896
PL LARGE-CAP VALUE FUND
C000004984
CLASS P (FORMERLY CLASS A)
0001137761
S000001897
PL COMSTOCK FUND
C000004987
CLASS P (FORMERLY CLASS A)
0001137761
S000001898
PL PORTFOLIO OPTIMIZATION MODERATE-CONSERVATIVE
C000004990
CLASS A
POBAX
C000004991
CLASS B
POBBX
C000004992
CLASS C
POBCX
C000004993
CLASS R
POBRX
0001137761
S000001899
PL MID-CAP GROWTH FUND
C000004994
CLASS P (FORMERLY CLASS A)
0001137761
S000001900
PL REAL ESTATE FUND
C000004997
CLASS P (FORMERLY CLASS A)
0001137761
S000001901
PL PORTFOLIO OPTIMIZATION MODERATE
C000005000
CLASS A
POCAX
C000005001
CLASS B
POMBX
C000005002
CLASS C
POMCX
C000005003
CLASS R
POCRX
0001137761
S000001902
PL PORTFOLIO OPTIMIZATION MODERATE-AGGRESSIVE
C000005004
CLASS A
PODAX
C000005005
CLASS B
PODBX
C000005006
CLASS C
PODCX
C000005007
CLASS R
PODRX
0001137761
S000001903
PL PORTFOLIO OPTIMIZATION AGGRESSIVE
C000005008
CLASS A
POEAX
C000005009
CLASS B
POEBX
C000005010
CLASS C
POCEX
C000005011
CLASS R
POERX
0001137761
S000001904
PL LARGE-CAP GROWTH FUND
C000005012
CLASS P (FORMERLY CLASS A)
0001137761
S000001905
PL SHORT DURATION BOND FUND
C000005015
CLASS P (FORMERLY CLASS A)
0001137761
S000001906
PL GROWTH LT FUND
C000005018
CLASS P (FORMERLY CLASS A)
0001137761
S000001907
PL MID-CAP EQUITY FUND
C000005021
CLASS P (FORMERLY CLASS A)
0001137761
S000017795
PL Small-Cap Value Fund
C000049251
CLASS P (FORMERLY CLASS A)
0001137761
S000022456
PL Floating Rate Loan Fund
C000064624
CLASS P (FORMERLY CLASS A)
0001137761
S000030505
PL INCOME FUND
C000093886
CLASS A
C000093887
CLASS I
C000102195
Class C
0001137761
S000033079
PL FLOATING RATE INCOME FUND
C000101967
CLASS I
NSAR-B
1
paclife.fil
PAGE 1
000 B000000 03/31/2011
000 C000000 0001137761
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 PACIFIC LIFE FUNDS
001 B000000 811-10385
001 C000000 9492193183
002 A000000 700 NEWPORT CENTER DRIVE
002 B000000 NEWPORT BEACH
002 C000000 CA
002 D010000 92660
002 D020000 6397
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 24
007 C010100 1
007 C020100 PL Large-Cap Growth Fund
007 C030100 N
007 C010200 2
007 C020200 PL Small-Cap Growth Fund
007 C030200 N
007 C010500 5
007 C020500 PL Comstock Fund
007 C030500 N
007 C010600 6
007 C020600 PL Growth LT Fund
007 C030600 N
007 C010700 7
007 C020700 PL International Value Fund
007 C030700 N
007 C010800 8
007 C020800 PL Mid-Cap Growth Fund
007 C030800 N
007 C010900 9
007 C020900 PL International Large-Cap Fund
007 C030900 N
007 C011000 10
007 C021000 PL Managed Bond Fund
007 C031000 N
007 C011100 11
007 C021100 PL Money Market Fund
007 C031100 N
007 C011400 14
PAGE 2
007 C021400 PL Large-Cap Value Fund
007 C031400 N
007 C011500 15
007 C021500 PL Inflation Managed Fund
007 C031500 N
007 C011600 16
007 C021600 PL Short Duration Bond Fund
007 C031600 N
007 C011700 17
007 C021700 PL Portfolio Optimization Conservative
007 C031700 N
007 C011800 18
007 C021800 PL Portfolio Optimization Moderate-Conservati
007 C031800 N
007 C011900 19
007 C021900 PL Portfolio Optimization Moderate
007 C031900 N
007 C012000 20
007 C022000 PL Portfolio Optimization Moderate-Aggressive
007 C032000 N
007 C012100 21
007 C022100 PL Portfolio Optimization Aggressive
007 C032100 N
007 C012200 22
007 C022200 PL Mid-Cap Equity Fund
007 C032200 N
007 C012300 23
007 C022300 PL Real Estate Fund
007 C032300 N
007 C012400 24
007 C022400 PL Main Street Core Fund
007 C032400 N
007 C012500 25
007 C022500 PL Emerging Markets Fund
007 C032500 N
007 C012600 26
007 C022600 PL Small-Cap Value Fund
007 C032600 N
007 C012700 27
007 C022700 PL Floating Rate Loan Fund
007 C032700 N
007 C012800 28
007 C022800 PL Income Fund
007 C032800 N
008 A000101 PACIFIC LIFE FUND ADVISORS LLC
008 B000101 A
008 C000101 801-15057
008 D010101 NEWPORT BEACH
008 D020101 CA
008 D030101 92660
008 D040101 6397
PAGE 3
008 A000102 UBS Global Asset Management (Americas) Inc.
008 B000102 S
008 C000102 801-34910
008 D010102 Chicago
008 D020102 IL
008 D030102 60606
008 A000201 PACIFIC LIFE FUND ADVISORS LLC
008 B000201 A
008 C000201 801-15057
008 D010201 NEWPORT BEACH
008 D020201 CA
008 D030201 92660
008 D040201 6397
008 A000202 FRED ALGER MANAGEMENT, INC
008 B000202 S
008 C000202 801-6709
008 D010202 NEW YORK
008 D020202 NY
008 D030202 10003
008 A000501 PACIFIC LIFE FUND ADVISORS LLC
008 B000501 A
008 C000501 801-15057
008 D010501 NEWPORT BEACH
008 D020501 CA
008 D030501 92660
008 D040501 6397
008 A000502 INVESCO ADVISERS, INC.
008 B000502 A
008 C000502 801-33949
008 D010502 ATLANTA
008 D020502 GA
008 D030502 30309
008 A000601 PACIFIC LIFE FUND ADVISORS LLC
008 B000601 A
008 C000601 801-15057
008 D010601 NEWPORT BEACH
008 D020601 CA
008 D030601 92660
008 D040601 6397
008 A000602 JANUS CAPITAL MANAGEMENT LLC
008 B000602 S
008 C000602 801-13991
008 D010602 DENVER
008 D020602 CO
008 D030602 80206
008 A000701 PACIFIC LIFE FUND ADVISORS LLC
008 B000701 A
008 C000701 801-15057
008 D010701 NEWPORT BEACH
008 D020701 CA
008 D030701 92660
PAGE 4
008 D040701 6397
008 A000702 ALLIANCEBERNSTEIN L.P.
008 B000702 A
008 C000702 801-56720
008 D010702 New York
008 D020702 NY
008 D030702 10105
008 A000703 J.P. MORGAN INVESTMENT MANAGEMENT INC.
008 B000703 S
008 C000703 801-21011
008 D010703 NEW YORK
008 D020703 NY
008 D030703 10167
008 A000801 PACIFIC LIFE FUND ADVISORS LLC
008 B000801 A
008 C000801 801-15057
008 D010801 NEWPORT BEACH
008 D020801 CA
008 D030801 92660
008 D040801 6397
008 A000802 MORGAN STANLEY INVESTMENT MANAGEMENT INC.
008 B000802 S
008 C000802 801-15757
008 D010802 New York
008 D020802 NY
008 D030802 10036
008 A000901 PACIFIC LIFE FUND ADVISORS LLC
008 B000901 A
008 C000901 801-15057
008 D010901 NEWPORT BEACH
008 D020901 CA
008 D030901 92660
008 D040901 6397
008 A000902 MFS INVESTMENT MANAGEMENT
008 B000902 S
008 C000902 801-17352
008 D010902 BOSTON
008 D020902 MA
008 D030902 02081
008 A001001 PACIFIC LIFE FUND ADVISORS LLC
008 B001001 A
008 C001001 801-15057
008 D011001 NEWPORT BEACH
008 D021001 CA
008 D031001 92660
008 D041001 6397
008 A001002 PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
008 B001002 S
008 C001002 801-48187
008 D011002 NEWPORT BEACH
008 D021002 CA
PAGE 5
008 D031002 92660
008 A001101 PACIFIC LIFE FUND ADVISORS LLC
008 B001101 A
008 C001101 801-15057
008 D011101 NEWPORT BEACH
008 D021101 CA
008 D031101 92660
008 D041101 6397
008 A001401 PACIFIC LIFE FUND ADVISORS LLC
008 B001401 A
008 C001401 801-15057
008 D011401 NEWPORT BEACH
008 D021401 CA
008 D031401 92660
008 D041401 6397
008 A001402 CLEARBRIDGE ADVISORS, LLC
008 B001402 S
008 C001402 801-64710
008 D011402 NEW YORK
008 D021402 NY
008 D031402 10018
008 A001501 PACIFIC LIFE FUND ADVISORS LLC
008 B001501 A
008 C001501 801-15057
008 D011501 NEWPORT BEACH
008 D021501 CA
008 D031501 92660
008 D041501 6397
008 A001502 PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
008 B001502 S
008 C001502 801-48187
008 D011502 NEWPORT BEACH
008 D021502 CA
008 D031502 92660
008 A001601 PACIFIC LIFE FUND ADVISORS LLC
008 B001601 A
008 C001601 801-15057
008 D011601 NEWPORT BEACH
008 D021601 CA
008 D031601 92660
008 D041601 6397
008 A001602 GOLDMAN SACHS ASSET MANAGEMENT, L.P.
008 B001602 S
008 C001602 801-37591
008 D011602 NEW YORK
008 D021602 NY
008 D031602 10005
008 A001701 PACIFIC LIFE FUND ADVISORS LLC
008 B001701 A
008 C001701 801-15057
008 D011701 NEWPORT BEACH
PAGE 6
008 D021701 CA
008 D031701 92660
008 D041701 6397
008 A001801 PACIFIC LIFE FUND ADVISORS LLC
008 B001801 A
008 C001801 801-15057
008 D011801 NEWPORT BEACH
008 D021801 CA
008 D031801 92660
008 D041801 6397
008 A001901 PACIFIC LIFE FUND ADVISORS LLC
008 B001901 A
008 C001901 801-15057
008 D011901 NEWPORT BEACH
008 D021901 CA
008 D031901 92660
008 D041901 6397
008 A002001 PACIFIC LIFE FUND ADVISORS LLC
008 B002001 A
008 C002001 801-15057
008 D012001 NEWPORT BEACH
008 D022001 CA
008 D032001 92660
008 D042001 6397
008 A002101 PACIFIC LIFE FUND ADVISORS LLC
008 B002101 A
008 C002101 801-15057
008 D012101 NEWPORT BEACH
008 D022101 CA
008 D032101 92660
008 D042101 6397
008 A002201 PACIFIC LIFE FUND ADVISORS LLC
008 B002201 A
008 C002201 801-15057
008 D012201 NEWPORT BEACH
008 D022201 CA
008 D032201 92660
008 D042201 6397
008 A002202 LAZARD ASSET MANAGEMENT LLC
008 B002202 S
008 C002202 801-61701
008 D012202 NEW YORK
008 D022202 NY
008 D032202 10112
008 A002301 PACIFIC LIFE FUND ADVISORS LLC
008 B002301 A
008 C002301 801-15057
008 D012301 NEWPORT BEACH
008 D022301 CA
008 D032301 92660
008 D042301 6397
PAGE 7
008 A002302 MORGAN STANLEY INVESTMENT MANAGEMENT INC.
008 B002302 S
008 C002302 801-15757
008 D012302 New York
008 D022302 NY
008 D032302 10036
008 A002401 PACIFIC LIFE FUND ADVISORS LLC
008 B002401 A
008 C002401 801-15057
008 D012401 NEWPORT BEACH
008 D022401 CA
008 D032401 92660
008 D042401 6397
008 A002402 OPPENHEIMERFUNDS, INC.
008 B002402 S
008 C002402 801-8253
008 D012402 NEW YORK
008 D022402 NY
008 D032402 10080
008 A002501 PACIFIC LIFE FUND ADVISORS LLC
008 B002501 A
008 C002501 801-15057
008 D012501 NEWPORT BEACH
008 D022501 CA
008 D032501 92660
008 D042501 6397
008 A002502 OPPENHEIMERFUNDS, INC.
008 B002502 S
008 C002502 801-8253
008 D012502 NEW YORK
008 D022502 NY
008 D032502 10080
008 A002601 PACIFIC LIFE FUND ADVISORS LLC
008 B002601 A
008 C002601 801-15057
008 D012601 NEWPORT BEACH
008 D022601 CA
008 D032601 92660
008 D042601 6397
008 A002602 NFJ Investment Group L.P.
008 B002602 S
008 C002602 801-47940
008 D012602 Dallas
008 D022602 TX
008 D032602 75201
008 D042602 6760
008 A002701 PACIFIC LIFE FUND ADVISORS LLC
008 B002701 A
008 C002701 801-15057
008 D012701 NEWPORT BEACH
008 D022701 CA
PAGE 8
008 D032701 92660
008 D042701 6397
008 A002702 EATON VANCE MANAGEMENT
008 B002702 S
008 C002702 801-15930
008 D012702 Boston
008 D022702 MA
008 D032702 02110
008 A002801 PACIFIC LIFE FUND ADVISORS LLC
008 B002801 A
008 C002801 801-15057
008 D012801 NEWPORT BEACH
008 D022801 CA
008 D032801 92660
008 D042801 6397
010 A00AA01 PACIFIC LIFE INSURANCE COMPANY
010 B00AA01 801-15057
010 C01AA01 NEWPORT BEACH
010 C02AA01 CA
010 C03AA01 92660
010 C04AA01 6397
010 A00AA02 BNY MELLON INVESTMENT SERVICING (US) INC.
010 B00AA02 00-00000
010 C01AA02 WESTBOROUGH
010 C02AA02 MA
010 C03AA02 01581
011 A00AA01 PACIFIC SELECT DISTRIBUTORS, INC.
011 B00AA01 8-15264
011 C01AA01 NEWPORT BEACH
011 C02AA01 CA
011 C03AA01 92660
011 C04AA01 6397
012 A00AA01 BNY MELLON INVESTMENT SERVICING (US) INC.
012 B00AA01 84-01761
012 C01AA01 PAWTUCKET
012 C02AA01 RI
012 C03AA01 02860
013 A00AA01 DELOITTE & TOUCHE LLP
013 B01AA01 PHILADELPHIA
013 B02AA01 PA
013 B03AA01 19103
014 A00AA01 PACIFIC SELECT DISTRIBUTORS, INC.
014 B00AA01 8-15264
015 A00AA01 PFPC TRUST COMPANY
015 B00AA01 C
015 C01AA01 PHILADELPHIA
015 C02AA01 PA
015 C03AA01 19153
015 E01AA01 X
015 A00AA02 CITIBANK N.A.
015 B00AA02 S
PAGE 9
015 C01AA02 BUENOS AIRES
015 D01AA02 ARGENTINA
015 E04AA02 X
015 A00AA03 CITICORP NOMINEES PTY LTD.
015 B00AA03 S
015 C01AA03 MELBOURNE
015 D01AA03 AUSTRALIA
015 E04AA03 X
015 A00AA04 CITIBANK N.A.
015 B00AA04 S
015 C01AA04 MILAN
015 D01AA04 AUSTRIA
015 E04AA04 X
015 A00AA05 EUROCLEAR
015 B00AA05 S
015 C01AA05 BRUSSELS
015 D01AA05 BELGIUM
015 E04AA05 X
015 A00AA06 CITIBANK N.A.
015 B00AA06 S
015 C01AA06 SAO PAULO
015 D01AA06 BRAZIL
015 E04AA06 X
015 A00AA07 CITIBANK CANADA
015 B00AA07 S
015 C01AA07 TORONTO
015 D01AA07 CANADA
015 E04AA07 X
015 A00AA08 BANCO DE CHILE
015 B00AA08 S
015 C01AA08 SANTIAGO
015 D01AA08 CHILE
015 E04AA08 X
015 A00AA09 CITIBANK (CHINA) CO., LTD.
015 B00AA09 S
015 C01AA09 SHANGHAI
015 D01AA09 China
015 E04AA09 X
015 A00AA10 CITITRUST COLOMBIA S.A.SOCIEDAD FIDUCIARIA
015 B00AA10 S
015 C01AA10 BOGOTA
015 D01AA10 COLUMBIA
015 E04AA10 X
015 A00AA11 CITIBANK EUROPE PLC
015 B00AA11 S
015 C01AA11 Prague
015 D01AA11 CZECH REPUBLIC
015 E04AA11 X
015 A00AA12 CITIBANK N.A.
015 B00AA12 S
015 C01AA12 CAIRO
PAGE 10
015 D01AA12 EGYPT
015 E04AA12 X
015 A00AA13 CITIBANK INTERNATIONAL PLC
015 B00AA13 S
015 C01AA13 PARIS
015 D01AA13 FRANCE
015 E04AA13 X
015 A00AA14 CITIGROUP GLOBAL MARKETS DEUTSCHLAND AG & CO.
015 B00AA14 S
015 C01AA14 FRANKFURT
015 D01AA14 GERMANY
015 E04AA14 X
015 A00AA15 CITIBANK INTERNATIONAL PLC
015 B00AA15 S
015 C01AA15 ATHENS
015 D01AA15 GREECE
015 E04AA15 X
015 A00AA16 CITIBANK N.A.
015 B00AA16 S
015 C01AA16 HONG KONG
015 D01AA16 CHINA
015 E04AA16 X
015 A00AA17 CITIBANK ZRT.
015 B00AA17 S
015 C01AA17 BUDAPEST
015 D01AA17 HUNGARY
015 E04AA17 X
015 A00AA18 CITIBANK, N.A.
015 B00AA18 S
015 C01AA18 MUMBAI
015 D01AA18 INDIA
015 E04AA18 X
015 A00AA19 CITIBANK, N.A.
015 B00AA19 S
015 C01AA19 JAKARTA
015 D01AA19 INDONESIA
015 E04AA19 X
015 A00AA20 CITIBANK N.A.
015 B00AA20 S
015 C01AA20 DUBLIN
015 D01AA20 IRELAND
015 E04AA20 X
015 A00AA21 CITIBANK, N.A.
015 B00AA21 S
015 C01AA21 TEL-AVIV
015 D01AA21 ISRAEL
015 E04AA21 X
015 A00AA22 CITIBANK, N.A.
015 B00AA22 S
015 C01AA22 MILAN
015 D01AA22 ITALY
PAGE 11
015 E04AA22 X
015 A00AA23 CITIBANK JAPAN LIMITED
015 B00AA23 S
015 C01AA23 TOKYO
015 D01AA23 JAPAN
015 E04AA23 X
015 A00AA24 CITIBANK KOREA INC.
015 B00AA24 S
015 C01AA24 SEOUL
015 D01AA24 KOREA
015 E04AA24 X
015 A00AA25 CLEARSTREAM BANKING
015 B00AA25 S
015 C01AA25 LUXEMBOURG
015 D01AA25 LUXEMBOURG
015 E04AA25 X
015 A00AA26 CITIBANK BERHAD
015 B00AA26 S
015 C01AA26 KUALA LUMPUR
015 D01AA26 MALAYSIA
015 E04AA26 X
015 A00AA27 BANCO NACIONAL DE MEXICO S.A.
015 B00AA27 S
015 C01AA27 SANTA FE
015 D01AA27 MEXICO
015 E04AA27 X
015 A00AA28 CITIBANK INTERNATIONAL PLC
015 B00AA28 S
015 C01AA28 AMSTERDAM
015 D01AA28 NETHERLANDS
015 E04AA28 X
015 A00AA29 CITIBANK N.A.
015 B00AA29 S
015 C01AA29 AUCKLAND
015 D01AA29 NEW ZEALAND
015 E04AA29 X
015 A00AA30 CITIBANK N.A.
015 B00AA30 S
015 C01AA30 KARACHI
015 D01AA30 PAKISTAN
015 E04AA30 X
015 A00AA31 CITIBANK DEL PERU S.A.
015 B00AA31 S
015 C01AA31 LIMA
015 D01AA31 PERU
015 E04AA31 X
015 A00AA32 CITIBANK N.A., MANILA BRANCH
015 B00AA32 S
015 C01AA32 MAKATI CITY
015 D01AA32 PHILIPPINES
015 E04AA32 X
PAGE 12
015 A00AA33 BANK HANDLOWY W WARSZAWIE S.A.
015 B00AA33 S
015 C01AA33 WARSAW
015 D01AA33 POLAND
015 E04AA33 X
015 A00AA34 CITIBANK INTERNATIONAL PLC
015 B00AA34 S
015 C01AA34 LISBON
015 D01AA34 PORTUGAL
015 E04AA34 X
015 A00AA35 CITIBANK ROMANIA S.A.
015 B00AA35 S
015 C01AA35 BUCHAREST
015 D01AA35 ROMANIA
015 E04AA35 X
015 A00AA36 ZAO CITIBANK
015 B00AA36 S
015 C01AA36 MOSCOW
015 D01AA36 RUSSIA
015 E04AA36 X
015 A00AA37 CITIBANK, N.A.
015 B00AA37 S
015 C01AA37 SINGAPORE
015 D01AA37 SINGAPORE
015 E04AA37 X
015 A00AA38 CITIBANK, (SLOVAKIA) A.S.
015 B00AA38 S
015 C01AA38 BRATISLAVA
015 D01AA38 SLOVAKIA
015 E04AA38 X
015 A00AA39 CITIBANK INTERNATIONAL PLC
015 B00AA39 S
015 C01AA39 MADRID
015 D01AA39 SPAIN
015 E04AA39 X
015 A00AA40 CITIBANK, N.A.
015 B00AA40 S
015 C01AA40 COLOMBO
015 D01AA40 SRI LANKA
015 E04AA40 X
015 A00AA41 CITIBANK INTERNATIONAL PLC
015 B00AA41 S
015 C01AA41 STOCKHOLM
015 D01AA41 SWEDEN
015 E04AA41 X
015 A00AA42 CITIBANK N.A.
015 B00AA42 S
015 C01AA42 ZURICH
015 D01AA42 SWITZERLAND
015 E04AA42 X
015 A00AA43 CITIBANK N.A., TAIPEI BRANCH
PAGE 13
015 B00AA43 S
015 C01AA43 TAIPEI
015 D01AA43 TAIWAN
015 E04AA43 X
015 A00AA44 CITIBANK, N.A.
015 B00AA44 S
015 C01AA44 BANGKOK
015 D01AA44 THAILAND
015 E04AA44 X
015 A00AA45 CITIBANK A.S.
015 B00AA45 S
015 C01AA45 ISTANBUL
015 D01AA45 TURKEY
015 E04AA45 X
015 A00AA46 CITIBANK N.A.
015 B00AA46 S
015 C01AA46 LONDON
015 D01AA46 UNITED KINGDOM
015 E04AA46 X
015 A00AA47 CITIBANK N.A.
015 B00AA47 S
015 C01AA47 NEW YORK
015 C02AA47 NY
015 C03AA47 10005
015 E01AA47 X
015 A00AA48 CITIBANK, N.A.
015 B00AA48 S
015 C01AA48 CARACAS
015 D01AA48 VENEZUELA
015 E04AA48 X
015 A00AA49 CITIBANK N.A.
015 B00AA49 S
015 C01AA49 HANOI
015 D01AA49 VIETNAM
015 E04AA49 X
015 A00AA50 CITIBANK, NA
015 B00AA50 S
015 C01AA50 DHAKA
015 D01AA50 BANGLADESH
015 E04AA50 X
015 A00AA51 CITIBANK LIMITED
015 B00AA51 S
015 C01AA51 LAGOS
015 D01AA51 NIGERIA
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015 B00AA52 S
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PAGE 14
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PAGE 15
022 A000004 JPMORGAN CHASE & CO
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022 C000008 590604
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PAGE 16
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PAGE 17
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PAGE 18
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PAGE 19
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PAGE 20
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PAGE 21
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PAGE 22
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PAGE 23
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PAGE 24
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PAGE 25
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PAGE 26
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PAGE 27
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PAGE 28
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PAGE 29
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PAGE 30
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PAGE 31
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PAGE 32
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PAGE 33
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030 C000600 0.00
030 A000700 0
030 B000700 0.00
030 C000700 0.00
030 A000800 0
030 B000800 0.00
030 C000800 0.00
030 A000900 0
030 B000900 0.00
030 C000900 0.00
030 A001000 0
030 B001000 0.00
030 C001000 0.00
030 A001100 0
030 B001100 0.00
030 C001100 0.00
030 A001400 0
030 B001400 0.00
030 C001400 0.00
030 A001500 0
030 B001500 0.00
030 C001500 0.00
030 A001600 0
030 B001600 0.00
030 C001600 0.00
PAGE 34
030 A001700 2507
030 B001700 5.50
030 C001700 0.00
030 A001800 2589
030 B001800 5.50
030 C001800 0.00
030 A001900 6725
030 B001900 5.50
030 C001900 0.00
030 A002000 4662
030 B002000 5.50
030 C002000 0.00
030 A002100 1231
030 B002100 5.50
030 C002100 0.00
030 A002200 0
030 B002200 0.00
030 C002200 0.00
030 A002300 0
030 B002300 0.00
030 C002300 0.00
030 A002400 0
030 B002400 0.00
030 C002400 0.00
030 A002500 0
030 B002500 0.00
030 C002500 0.00
030 A002600 0
030 B002600 0.00
030 C002600 0.00
030 A002700 0
030 B002700 0.00
030 C002700 0.00
030 A002800 119
030 B002800 4.25
030 C002800 0.00
031 A000100 0
031 B000100 0
031 A000200 0
031 B000200 0
031 A000500 0
031 B000500 0
031 A000600 0
031 B000600 0
031 A000700 0
031 B000700 0
031 A000800 0
031 B000800 0
031 A000900 0
031 B000900 0
031 A001000 0
PAGE 35
031 B001000 0
031 A001100 0
031 B001100 0
031 A001400 0
031 B001400 0
031 A001500 0
031 B001500 0
031 A001600 0
031 B001600 0
031 A001700 0
031 B001700 406
031 A001800 0
031 B001800 126
031 A001900 0
031 B001900 84
031 A002000 82
031 B002000 0
031 A002100 15
031 B002100 0
031 A002200 0
031 B002200 0
031 A002300 0
031 B002300 0
031 A002400 0
031 B002400 0
031 A002500 0
031 B002500 0
031 A002600 0
031 B002600 0
031 A002700 0
031 B002700 0
031 A002800 0
031 B002800 6
032 000100 0
032 000200 0
032 000500 0
032 000600 0
032 000700 0
032 000800 0
032 000900 0
032 001000 0
032 001100 0
032 001400 0
032 001500 0
032 001600 0
032 001700 2913
032 001800 2715
032 001900 6810
032 002000 4580
032 002100 1216
032 002200 0
PAGE 36
032 002300 0
032 002400 0
032 002500 0
032 002600 0
032 002700 0
032 002800 125
033 000100 0
033 000200 0
033 000500 0
033 000600 0
033 000700 0
033 000800 0
033 000900 0
033 001000 0
033 001100 0
033 001400 0
033 001500 0
033 001600 0
033 001700 0
033 001800 0
033 001900 0
033 002000 0
033 002100 0
033 002200 0
033 002300 0
033 002400 0
033 002500 0
033 002600 0
033 002700 0
033 002800 0
034 000100 N
034 000200 N
034 000500 N
034 000600 N
034 000700 N
034 000800 N
034 000900 N
034 001000 N
034 001100 N
034 001400 N
034 001500 N
034 001600 Y
034 001700 Y
034 001800 Y
034 001900 Y
034 002000 Y
034 002100 Y
034 002200 N
034 002300 N
034 002400 N
034 002500 N
PAGE 37
034 002600 N
034 002700 N
034 002800 N
035 000100 0
035 000200 0
035 000500 0
035 000600 0
035 000700 0
035 000800 0
035 000900 0
035 001000 0
035 001100 0
035 001400 0
035 001500 0
035 001600 0
035 001700 96
035 001800 107
035 001900 245
035 002000 268
035 002100 96
035 002200 0
035 002300 0
035 002400 0
035 002500 0
035 002600 0
035 002700 0
035 002800 0
036 B000100 0
036 B000200 0
036 B000500 0
036 B000600 0
036 B000700 0
036 B000800 0
036 B000900 0
036 B001000 0
036 B001100 0
036 B001400 0
036 B001500 0
036 A001600 N
036 B001600 0
036 A001700 N
036 B001700 0
036 A001800 N
036 B001800 0
036 A001900 N
036 B001900 0
036 A002000 N
036 B002000 0
036 A002100 N
036 B002100 0
036 B002200 0
PAGE 38
036 B002300 0
036 B002400 0
036 B002500 0
036 B002600 0
036 B002700 0
036 B002800 0
037 000100 N
037 000200 N
037 000500 N
037 000600 N
037 000700 N
037 000800 N
037 000900 N
037 001000 N
037 001100 N
037 001400 N
037 001500 N
037 001600 N
037 001700 N
037 001800 N
037 001900 N
037 002000 N
037 002100 N
037 002200 N
037 002300 N
037 002400 N
037 002500 N
037 002600 N
037 002700 N
037 002800 N
038 000100 0
038 000200 0
038 000500 0
038 000600 0
038 000700 0
038 000800 0
038 000900 0
038 001000 0
038 001100 0
038 001400 0
038 001500 0
038 001600 0
038 001700 0
038 001800 0
038 001900 0
038 002000 0
038 002100 0
038 002200 0
038 002300 0
038 002400 0
038 002500 0
PAGE 39
038 002600 0
038 002700 0
038 002800 0
039 000100 Y
039 000200 Y
039 000500 Y
039 000600 Y
039 000700 Y
039 000800 Y
039 000900 Y
039 001000 Y
039 001100 Y
039 001400 Y
039 001500 Y
039 001600 Y
039 001700 Y
039 001800 Y
039 001900 Y
039 002000 Y
039 002100 Y
039 002200 Y
039 002300 Y
039 002400 Y
039 002500 Y
039 002600 Y
039 002700 Y
039 002800 Y
040 000100 N
040 000200 N
040 000500 N
040 000600 N
040 000700 N
040 000800 N
040 000900 N
040 001000 N
040 001100 N
040 001400 N
040 001500 N
040 001600 N
040 001700 Y
040 001800 Y
040 001900 Y
040 002000 Y
040 002100 Y
040 002200 N
040 002300 N
040 002400 N
040 002500 N
040 002600 N
040 002700 N
040 002800 N
PAGE 40
041 001700 Y
041 001800 Y
041 001900 Y
041 002000 Y
041 002100 Y
042 A000100 0
042 B000100 0
042 C000100 0
042 D000100 0
042 E000100 0
042 F000100 0
042 G000100 0
042 H000100 0
042 A000200 0
042 B000200 0
042 C000200 0
042 D000200 0
042 E000200 0
042 F000200 0
042 G000200 0
042 H000200 0
042 A000500 0
042 B000500 0
042 C000500 0
042 D000500 0
042 E000500 0
042 F000500 0
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042 B000600 0
042 C000600 0
042 D000600 0
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042 H000600 0
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042 B000700 0
042 C000700 0
042 D000700 0
042 E000700 0
042 F000700 0
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042 D000800 0
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042 F000800 0
PAGE 41
042 G000800 0
042 H000800 0
042 A000900 0
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042 C000900 0
042 D000900 0
042 E000900 0
042 F000900 0
042 G000900 0
042 H000900 0
042 A001000 0
042 B001000 0
042 C001000 0
042 D001000 0
042 E001000 0
042 F001000 0
042 G001000 0
042 H001000 0
042 A001100 0
042 B001100 0
042 C001100 0
042 D001100 0
042 E001100 0
042 F001100 0
042 G001100 0
042 H001100 0
042 A001400 0
042 B001400 0
042 C001400 0
042 D001400 0
042 E001400 0
042 F001400 0
042 G001400 0
042 H001400 0
042 A001500 0
042 B001500 0
042 C001500 0
042 D001500 0
042 E001500 0
042 F001500 0
042 G001500 0
042 H001500 0
042 A001600 0
042 B001600 0
042 C001600 0
042 D001600 0
042 E001600 0
042 F001600 0
042 G001600 0
042 H001600 0
042 A001700 0
PAGE 42
042 B001700 0
042 C001700 100
042 D001700 0
042 E001700 0
042 F001700 0
042 G001700 0
042 H001700 0
042 A001800 0
042 B001800 0
042 C001800 100
042 D001800 0
042 E001800 0
042 F001800 0
042 G001800 0
042 H001800 0
042 A001900 0
042 B001900 0
042 C001900 100
042 D001900 0
042 E001900 0
042 F001900 0
042 G001900 0
042 H001900 0
042 A002000 0
042 B002000 0
042 C002000 100
042 D002000 0
042 E002000 0
042 F002000 0
042 G002000 0
042 H002000 0
042 A002100 0
042 B002100 0
042 C002100 100
042 D002100 0
042 E002100 0
042 F002100 0
042 G002100 0
042 H002100 0
042 A002200 0
042 B002200 0
042 C002200 0
042 D002200 0
042 E002200 0
042 F002200 0
042 G002200 0
042 H002200 0
042 A002300 0
042 B002300 0
042 C002300 0
042 D002300 0
PAGE 43
042 E002300 0
042 F002300 0
042 G002300 0
042 H002300 0
042 A002400 0
042 B002400 0
042 C002400 0
042 D002400 0
042 E002400 0
042 F002400 0
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042 H002400 0
042 A002500 0
042 B002500 0
042 C002500 0
042 D002500 0
042 E002500 0
042 F002500 0
042 G002500 0
042 H002500 0
042 A002600 0
042 B002600 0
042 C002600 0
042 D002600 0
042 E002600 0
042 F002600 0
042 G002600 0
042 H002600 0
042 A002700 0
042 B002700 0
042 C002700 0
042 D002700 0
042 E002700 0
042 F002700 0
042 G002700 0
042 H002700 0
042 A002800 0
042 B002800 0
042 C002800 0
042 D002800 0
042 E002800 0
042 F002800 0
042 G002800 0
042 H002800 0
043 000100 0
043 000200 0
043 000500 0
043 000600 0
043 000700 0
043 000800 0
043 000900 0
PAGE 44
043 001000 0
043 001100 0
043 001400 0
043 001500 0
043 001600 0
043 001700 8959
043 001800 8959
043 001900 8959
043 002000 8959
043 002100 8959
043 002200 0
043 002300 0
043 002400 0
043 002500 0
043 002600 0
043 002700 0
043 002800 0
044 000100 0
044 000200 0
044 000500 0
044 000600 0
044 000700 0
044 000800 0
044 000900 0
044 001000 0
044 001100 0
044 001400 0
044 001500 0
044 001600 0
044 001700 14247
044 001800 14247
044 001900 14247
044 002000 14247
044 002100 14247
044 002200 0
044 002300 0
044 002400 0
044 002500 0
044 002600 0
044 002700 0
044 002800 0
045 000100 Y
045 000200 Y
045 000500 Y
045 000600 Y
045 000700 Y
045 000800 Y
045 000900 Y
045 001000 Y
045 001100 Y
045 001400 Y
PAGE 45
045 001500 Y
045 001600 Y
045 001700 Y
045 001800 Y
045 001900 Y
045 002000 Y
045 002100 Y
045 002200 Y
045 002300 Y
045 002400 Y
045 002500 Y
045 002600 Y
045 002700 Y
045 002800 Y
046 000100 N
046 000200 N
046 000500 N
046 000600 N
046 000700 N
046 000800 N
046 000900 N
046 001000 N
046 001100 N
046 001400 N
046 001500 N
046 001600 N
046 001700 N
046 001800 N
046 001900 N
046 002000 N
046 002100 N
046 002200 N
046 002300 N
046 002400 N
046 002500 N
046 002600 N
046 002700 N
046 002800 N
047 000100 Y
047 000200 Y
047 000500 Y
047 000600 Y
047 000700 Y
047 000800 Y
047 000900 Y
047 001000 Y
047 001100 Y
047 001400 Y
047 001500 Y
047 001600 Y
047 001700 Y
PAGE 46
047 001800 Y
047 001900 Y
047 002000 Y
047 002100 Y
047 002200 Y
047 002300 Y
047 002400 Y
047 002500 Y
047 002600 Y
047 002700 Y
047 002800 Y
048 000100 0.750
048 A010100 0
048 A020100 0.000
048 B010100 0
048 B020100 0.000
048 C010100 0
048 C020100 0.000
048 D010100 0
048 D020100 0.000
048 E010100 0
048 E020100 0.000
048 F010100 0
048 F020100 0.000
048 G010100 0
048 G020100 0.000
048 H010100 0
048 H020100 0.000
048 I010100 0
048 I020100 0.000
048 J010100 0
048 J020100 0.000
048 K010100 0
048 K020100 0.000
048 000200 0.600
048 A010200 0
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048 B010200 0
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048 H020200 0.000
PAGE 47
048 I010200 0
048 I020200 0.000
048 J010200 0
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048 K010200 0
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048 000500 0.750
048 A010500 0
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048 H010600 0
048 H020600 0.000
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PAGE 48
048 K020600 0.000
048 000700 0.650
048 A010700 0
048 A020700 0.000
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PAGE 49
048 B020900 0.000
048 C010900 0
048 C020900 0.000
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048 A011100 250000
048 A021100 0.200
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PAGE 50
048 E011100 0
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PAGE 51
048 G021500 0.000
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PAGE 52
048 J011700 0
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PAGE 53
048 A012000 0
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PAGE 54
048 C022200 0.000
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PAGE 55
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PAGE 56
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PAGE 57
048 K012800 0
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PAGE 58
051 000200 N
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PAGE 59
053 B000200 Y
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PAGE 60
053 A002400 Y
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PAGE 61
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PAGE 62
057 000600 N
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PAGE 63
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PAGE 64
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PAGE 65
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PAGE 66
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PAGE 67
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PAGE 68
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PAGE 69
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PAGE 70
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PAGE 71
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PAGE 72
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PAGE 73
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PAGE 74
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066 G000500 N
066 A000600 Y
066 B000600 N
066 C000600 N
066 D000600 Y
066 E000600 N
066 F000600 N
066 G000600 N
066 A000700 Y
PAGE 75
066 B000700 N
066 C000700 Y
066 D000700 N
066 E000700 N
066 F000700 N
066 G000700 N
066 A000800 Y
066 B000800 N
066 C000800 N
066 D000800 Y
066 E000800 N
066 F000800 N
066 G000800 N
066 A000900 Y
066 B000900 N
066 C000900 N
066 D000900 Y
066 E000900 N
066 F000900 N
066 G000900 N
066 A001000 N
066 A001100 N
066 A001400 Y
066 B001400 N
066 C001400 N
066 D001400 Y
066 E001400 N
066 F001400 N
066 G001400 N
066 A001500 N
066 A001600 N
066 A001700 Y
066 B001700 N
066 C001700 N
066 D001700 N
066 E001700 N
066 F001700 Y
066 G001700 N
066 A001800 Y
066 B001800 N
066 C001800 N
066 D001800 N
066 E001800 Y
066 F001800 N
066 G001800 N
066 A001900 Y
066 B001900 N
066 C001900 N
066 D001900 N
066 E001900 Y
066 F001900 N
PAGE 76
066 G001900 N
066 A002000 Y
066 B002000 N
066 C002000 Y
066 D002000 N
066 E002000 N
066 F002000 N
066 G002000 N
066 A002100 Y
066 B002100 Y
066 C002100 N
066 D002100 N
066 E002100 N
066 F002100 N
066 G002100 N
066 A002200 Y
066 B002200 N
066 C002200 Y
066 D002200 N
066 E002200 N
066 F002200 N
066 G002200 N
066 A002300 Y
066 B002300 N
066 C002300 N
066 D002300 N
066 E002300 Y
066 F002300 N
066 G002300 N
066 A002400 Y
066 B002400 N
066 C002400 N
066 D002400 N
066 E002400 Y
066 F002400 N
066 G002400 N
066 A002500 Y
066 B002500 N
066 C002500 N
066 D002500 Y
066 E002500 N
066 F002500 N
066 G002500 N
066 A002600 Y
066 B002600 N
066 C002600 N
066 D002600 Y
066 E002600 N
066 F002600 N
066 G002600 N
066 A002700 N
PAGE 77
066 A002800 N
067 000100 N
067 000200 N
067 000500 N
067 000600 N
067 000700 N
067 000800 N
067 000900 N
067 001000 N
067 001100 N
067 001400 N
067 001500 N
067 001600 N
067 001700 N
067 001800 N
067 001900 N
067 002000 N
067 002100 N
067 002200 N
067 002300 N
067 002400 N
067 002500 N
067 002600 N
067 002700 N
067 002800 N
068 A000100 N
068 B000100 N
068 A000200 N
068 B000200 N
068 A000500 N
068 B000500 N
068 A000600 N
068 B000600 N
068 A000700 N
068 B000700 Y
068 A000800 N
068 B000800 N
068 A000900 N
068 B000900 Y
068 A001000 N
068 B001000 N
068 A001100 N
068 B001100 N
068 A001400 N
068 B001400 N
068 A001500 N
068 B001500 N
068 A001600 N
068 B001600 N
068 A001700 N
068 B001700 N
PAGE 78
068 A001800 N
068 B001800 N
068 A001900 N
068 B001900 N
068 A002000 N
068 B002000 N
068 A002100 N
068 B002100 N
068 A002200 N
068 B002200 N
068 A002300 N
068 B002300 N
068 A002400 N
068 B002400 N
068 A002500 N
068 B002500 Y
068 A002600 N
068 B002600 N
068 A002700 N
068 B002700 N
068 A002800 N
068 B002800 N
069 000100 N
069 000200 N
069 000500 N
069 000600 N
069 000700 N
069 000800 N
069 000900 N
069 001000 N
069 001100 N
069 001400 N
069 001500 N
069 001600 N
069 001700 N
069 001800 N
069 001900 N
069 002000 N
069 002100 N
069 002200 N
069 002300 N
069 002400 N
069 002500 N
069 002600 N
069 002700 N
069 002800 N
070 A010100 Y
070 A020100 N
070 B010100 Y
070 B020100 N
070 C010100 Y
PAGE 79
070 C020100 N
070 D010100 Y
070 D020100 N
070 E010100 Y
070 E020100 N
070 F010100 Y
070 F020100 N
070 G010100 Y
070 G020100 N
070 H010100 Y
070 H020100 N
070 I010100 Y
070 I020100 N
070 J010100 Y
070 J020100 N
070 K010100 Y
070 K020100 Y
070 L010100 Y
070 L020100 Y
070 M010100 Y
070 M020100 N
070 N010100 Y
070 N020100 N
070 O010100 Y
070 O020100 N
070 P010100 Y
070 P020100 Y
070 Q010100 Y
070 Q020100 N
070 R010100 Y
070 R020100 N
070 A010200 Y
070 A020200 N
070 B010200 Y
070 B020200 N
070 C010200 Y
070 C020200 N
070 D010200 Y
070 D020200 N
070 E010200 Y
070 E020200 N
070 F010200 Y
070 F020200 N
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 Y
070 I020200 N
070 J010200 Y
070 J020200 N
PAGE 80
070 K010200 Y
070 K020200 Y
070 L010200 Y
070 L020200 N
070 M010200 Y
070 M020200 N
070 N010200 Y
070 N020200 N
070 O010200 Y
070 O020200 N
070 P010200 Y
070 P020200 Y
070 Q010200 N
070 Q020200 N
070 R010200 Y
070 R020200 N
070 A010500 Y
070 A020500 N
070 B010500 Y
070 B020500 N
070 C010500 Y
070 C020500 N
070 D010500 Y
070 D020500 N
070 E010500 Y
070 E020500 N
070 F010500 Y
070 F020500 N
070 G010500 Y
070 G020500 N
070 H010500 Y
070 H020500 N
070 I010500 Y
070 I020500 N
070 J010500 Y
070 J020500 N
070 K010500 Y
070 K020500 Y
070 L010500 Y
070 L020500 Y
070 M010500 Y
070 M020500 Y
070 N010500 Y
070 N020500 N
070 O010500 Y
070 O020500 N
070 P010500 Y
070 P020500 Y
070 Q010500 N
070 Q020500 N
070 R010500 Y
PAGE 81
070 R020500 N
070 A010600 Y
070 A020600 N
070 B010600 Y
070 B020600 N
070 C010600 Y
070 C020600 N
070 D010600 Y
070 D020600 N
070 E010600 Y
070 E020600 N
070 F010600 Y
070 F020600 N
070 G010600 Y
070 G020600 N
070 H010600 Y
070 H020600 N
070 I010600 Y
070 I020600 N
070 J010600 Y
070 J020600 N
070 K010600 Y
070 K020600 Y
070 L010600 Y
070 L020600 Y
070 M010600 Y
070 M020600 Y
070 N010600 Y
070 N020600 N
070 O010600 Y
070 O020600 N
070 P010600 Y
070 P020600 N
070 Q010600 Y
070 Q020600 N
070 R010600 N
070 R020600 N
070 A010700 Y
070 A020700 N
070 B010700 Y
070 B020700 N
070 C010700 Y
070 C020700 N
070 D010700 Y
070 D020700 N
070 E010700 Y
070 E020700 N
070 F010700 Y
070 F020700 Y
070 G010700 Y
070 G020700 N
PAGE 82
070 H010700 Y
070 H020700 N
070 I010700 Y
070 I020700 N
070 J010700 Y
070 J020700 N
070 K010700 Y
070 K020700 Y
070 L010700 Y
070 L020700 Y
070 M010700 Y
070 M020700 Y
070 N010700 Y
070 N020700 N
070 O010700 Y
070 O020700 N
070 P010700 Y
070 P020700 Y
070 Q010700 Y
070 Q020700 N
070 R010700 Y
070 R020700 N
070 A010800 Y
070 A020800 N
070 B010800 Y
070 B020800 N
070 C010800 Y
070 C020800 N
070 D010800 Y
070 D020800 N
070 E010800 Y
070 E020800 N
070 F010800 Y
070 F020800 N
070 G010800 Y
070 G020800 N
070 H010800 Y
070 H020800 N
070 I010800 Y
070 I020800 N
070 J010800 Y
070 J020800 N
070 K010800 Y
070 K020800 Y
070 L010800 Y
070 L020800 Y
070 M010800 Y
070 M020800 Y
070 N010800 Y
070 N020800 N
070 O010800 Y
PAGE 83
070 O020800 N
070 P010800 Y
070 P020800 Y
070 Q010800 N
070 Q020800 N
070 R010800 Y
070 R020800 N
070 A010900 Y
070 A020900 N
070 B010900 Y
070 B020900 N
070 C010900 Y
070 C020900 N
070 D010900 Y
070 D020900 N
070 E010900 Y
070 E020900 N
070 F010900 Y
070 F020900 N
070 G010900 Y
070 G020900 N
070 H010900 Y
070 H020900 N
070 I010900 Y
070 I020900 N
070 J010900 Y
070 J020900 Y
070 K010900 Y
070 K020900 Y
070 L010900 Y
070 L020900 Y
070 M010900 Y
070 M020900 Y
070 N010900 Y
070 N020900 N
070 O010900 Y
070 O020900 N
070 P010900 Y
070 P020900 N
070 Q010900 N
070 Q020900 N
070 R010900 Y
070 R020900 N
070 A011000 Y
070 A021000 Y
070 B011000 Y
070 B021000 N
070 C011000 Y
070 C021000 N
070 D011000 Y
070 D021000 N
PAGE 84
070 E011000 Y
070 E021000 Y
070 F011000 Y
070 F021000 N
070 G011000 Y
070 G021000 Y
070 H011000 Y
070 H021000 N
070 I011000 Y
070 I021000 N
070 J011000 Y
070 J021000 Y
070 K011000 Y
070 K021000 Y
070 L011000 Y
070 L021000 Y
070 M011000 Y
070 M021000 Y
070 N011000 Y
070 N021000 N
070 O011000 Y
070 O021000 N
070 P011000 Y
070 P021000 N
070 Q011000 N
070 Q021000 N
070 R011000 Y
070 R021000 Y
070 A011100 Y
070 A021100 N
070 B011100 N
070 B021100 N
070 C011100 N
070 C021100 N
070 D011100 N
070 D021100 N
070 E011100 N
070 E021100 N
070 F011100 N
070 F021100 N
070 G011100 N
070 G021100 N
070 H011100 N
070 H021100 N
070 I011100 N
070 I021100 N
070 J011100 Y
070 J021100 Y
070 K011100 Y
070 K021100 Y
070 L011100 Y
PAGE 85
070 L021100 Y
070 M011100 Y
070 M021100 N
070 N011100 Y
070 N021100 N
070 O011100 Y
070 O021100 N
070 P011100 Y
070 P021100 N
070 Q011100 N
070 Q021100 N
070 R011100 N
070 R021100 N
070 A011400 Y
070 A021400 N
070 B011400 Y
070 B021400 N
070 C011400 Y
070 C021400 N
070 D011400 Y
070 D021400 N
070 E011400 Y
070 E021400 N
070 F011400 Y
070 F021400 N
070 G011400 Y
070 G021400 N
070 H011400 Y
070 H021400 N
070 I011400 Y
070 I021400 N
070 J011400 Y
070 J021400 N
070 K011400 Y
070 K021400 Y
070 L011400 Y
070 L021400 Y
070 M011400 Y
070 M021400 N
070 N011400 Y
070 N021400 N
070 O011400 Y
070 O021400 N
070 P011400 Y
070 P021400 N
070 Q011400 N
070 Q021400 N
070 R011400 Y
070 R021400 N
070 A011500 Y
070 A021500 Y
PAGE 86
070 B011500 Y
070 B021500 N
070 C011500 Y
070 C021500 N
070 D011500 Y
070 D021500 N
070 E011500 Y
070 E021500 Y
070 F011500 Y
070 F021500 N
070 G011500 Y
070 G021500 Y
070 H011500 Y
070 H021500 N
070 I011500 Y
070 I021500 N
070 J011500 Y
070 J021500 N
070 K011500 Y
070 K021500 Y
070 L011500 Y
070 L021500 Y
070 M011500 Y
070 M021500 Y
070 N011500 Y
070 N021500 N
070 O011500 Y
070 O021500 N
070 P011500 Y
070 P021500 N
070 Q011500 N
070 Q021500 N
070 R011500 Y
070 R021500 N
070 A011600 Y
070 A021600 Y
070 B011600 Y
070 B021600 N
070 C011600 Y
070 C021600 N
070 D011600 Y
070 D021600 N
070 E011600 Y
070 E021600 Y
070 F011600 Y
070 F021600 N
070 G011600 Y
070 G021600 N
070 H011600 Y
070 H021600 N
070 I011600 Y
PAGE 87
070 I021600 N
070 J011600 Y
070 J021600 N
070 K011600 Y
070 K021600 N
070 L011600 Y
070 L021600 Y
070 M011600 Y
070 M021600 N
070 N011600 Y
070 N021600 N
070 O011600 Y
070 O021600 N
070 P011600 Y
070 P021600 Y
070 Q011600 N
070 Q021600 N
070 R011600 Y
070 R021600 N
070 A011700 Y
070 A021700 N
070 B011700 N
070 B021700 N
070 C011700 N
070 C021700 N
070 D011700 N
070 D021700 N
070 E011700 N
070 E021700 N
070 F011700 N
070 F021700 N
070 G011700 N
070 G021700 N
070 H011700 N
070 H021700 N
070 I011700 N
070 I021700 N
070 J011700 N
070 J021700 N
070 K011700 Y
070 K021700 Y
070 L011700 N
070 L021700 N
070 M011700 N
070 M021700 N
070 N011700 N
070 N021700 N
070 O011700 N
070 O021700 N
070 P011700 N
070 P021700 N
PAGE 88
070 Q011700 N
070 Q021700 N
070 R011700 N
070 R021700 N
070 A011800 Y
070 A021800 N
070 B011800 N
070 B021800 N
070 C011800 N
070 C021800 N
070 D011800 N
070 D021800 N
070 E011800 N
070 E021800 N
070 F011800 N
070 F021800 N
070 G011800 N
070 G021800 N
070 H011800 N
070 H021800 N
070 I011800 N
070 I021800 N
070 J011800 N
070 J021800 N
070 K011800 Y
070 K021800 Y
070 L011800 N
070 L021800 N
070 M011800 N
070 M021800 N
070 N011800 N
070 N021800 N
070 O011800 N
070 O021800 N
070 P011800 N
070 P021800 N
070 Q011800 N
070 Q021800 N
070 R011800 N
070 R021800 N
070 A011900 Y
070 A021900 N
070 B011900 N
070 B021900 N
070 C011900 N
070 C021900 N
070 D011900 N
070 D021900 N
070 E011900 N
070 E021900 N
070 F011900 N
PAGE 89
070 F021900 N
070 G011900 N
070 G021900 N
070 H011900 N
070 H021900 N
070 I011900 N
070 I021900 N
070 J011900 N
070 J021900 N
070 K011900 Y
070 K021900 Y
070 L011900 N
070 L021900 N
070 M011900 N
070 M021900 N
070 N011900 N
070 N021900 N
070 O011900 N
070 O021900 N
070 P011900 N
070 P021900 N
070 Q011900 N
070 Q021900 N
070 R011900 N
070 R021900 N
070 A012000 Y
070 A022000 N
070 B012000 N
070 B022000 N
070 C012000 N
070 C022000 N
070 D012000 N
070 D022000 N
070 E012000 N
070 E022000 N
070 F012000 N
070 F022000 N
070 G012000 N
070 G022000 N
070 H012000 N
070 H022000 N
070 I012000 N
070 I022000 N
070 J012000 N
070 J022000 N
070 K012000 Y
070 K022000 Y
070 L012000 N
070 L022000 N
070 M012000 N
070 M022000 N
PAGE 90
070 N012000 N
070 N022000 N
070 O012000 N
070 O022000 N
070 P012000 N
070 P022000 N
070 Q012000 N
070 Q022000 N
070 R012000 N
070 R022000 N
070 A012100 Y
070 A022100 N
070 B012100 N
070 B022100 N
070 C012100 N
070 C022100 N
070 D012100 N
070 D022100 N
070 E012100 N
070 E022100 N
070 F012100 N
070 F022100 N
070 G012100 N
070 G022100 N
070 H012100 N
070 H022100 N
070 I012100 N
070 I022100 N
070 J012100 N
070 J022100 N
070 K012100 Y
070 K022100 Y
070 L012100 N
070 L022100 N
070 M012100 N
070 M022100 N
070 N012100 N
070 N022100 N
070 O012100 N
070 O022100 N
070 P012100 N
070 P022100 N
070 Q012100 N
070 Q022100 N
070 R012100 N
070 R022100 N
070 A012200 Y
070 A022200 N
070 B012200 Y
070 B022200 N
070 C012200 Y
PAGE 91
070 C022200 N
070 D012200 Y
070 D022200 N
070 E012200 Y
070 E022200 N
070 F012200 Y
070 F022200 N
070 G012200 Y
070 G022200 N
070 H012200 Y
070 H022200 N
070 I012200 Y
070 I022200 N
070 J012200 Y
070 J022200 Y
070 K012200 Y
070 K022200 Y
070 L012200 Y
070 L022200 Y
070 M012200 Y
070 M022200 N
070 N012200 Y
070 N022200 N
070 O012200 Y
070 O022200 N
070 P012200 Y
070 P022200 N
070 Q012200 Y
070 Q022200 N
070 R012200 Y
070 R022200 N
070 A012300 Y
070 A022300 N
070 B012300 Y
070 B022300 N
070 C012300 Y
070 C022300 N
070 D012300 Y
070 D022300 N
070 E012300 Y
070 E022300 N
070 F012300 Y
070 F022300 N
070 G012300 Y
070 G022300 N
070 H012300 Y
070 H022300 N
070 I012300 Y
070 I022300 N
070 J012300 Y
070 J022300 N
PAGE 92
070 K012300 Y
070 K022300 Y
070 L012300 Y
070 L022300 Y
070 M012300 Y
070 M022300 Y
070 N012300 Y
070 N022300 N
070 O012300 Y
070 O022300 N
070 P012300 Y
070 P022300 Y
070 Q012300 N
070 Q022300 N
070 R012300 N
070 R022300 N
070 A012400 Y
070 A022400 N
070 B012400 Y
070 B022400 N
070 C012400 Y
070 C022400 N
070 D012400 Y
070 D022400 N
070 E012400 Y
070 E022400 N
070 F012400 Y
070 F022400 N
070 G012400 Y
070 G022400 N
070 H012400 Y
070 H022400 N
070 I012400 Y
070 I022400 N
070 J012400 Y
070 J022400 N
070 K012400 Y
070 K022400 Y
070 L012400 Y
070 L022400 N
070 M012400 Y
070 M022400 N
070 N012400 Y
070 N022400 N
070 O012400 Y
070 O022400 N
070 P012400 Y
070 P022400 Y
070 Q012400 Y
070 Q022400 N
070 R012400 Y
PAGE 93
070 R022400 N
070 A012500 Y
070 A022500 N
070 B012500 Y
070 B022500 N
070 C012500 Y
070 C022500 N
070 D012500 Y
070 D022500 N
070 E012500 Y
070 E022500 N
070 F012500 Y
070 F022500 N
070 G012500 Y
070 G022500 N
070 H012500 Y
070 H022500 N
070 I012500 Y
070 I022500 N
070 J012500 Y
070 J022500 N
070 K012500 Y
070 K022500 N
070 L012500 Y
070 L022500 Y
070 M012500 Y
070 M022500 Y
070 N012500 Y
070 N022500 N
070 O012500 Y
070 O022500 N
070 P012500 Y
070 P022500 N
070 Q012500 N
070 Q022500 N
070 R012500 Y
070 R022500 N
070 A012600 Y
070 A022600 N
070 B012600 Y
070 B022600 N
070 C012600 Y
070 C022600 N
070 D012600 Y
070 D022600 N
070 E012600 Y
070 E022600 N
070 F012600 Y
070 F022600 N
070 G012600 Y
070 G022600 N
PAGE 94
070 H012600 Y
070 H022600 N
070 I012600 Y
070 I022600 N
070 J012600 Y
070 J022600 N
070 K012600 Y
070 K022600 N
070 L012600 Y
070 L022600 Y
070 M012600 Y
070 M022600 N
070 N012600 Y
070 N022600 N
070 O012600 Y
070 O022600 N
070 P012600 Y
070 P022600 N
070 Q012600 N
070 Q022600 N
070 R012600 Y
070 R022600 N
070 A012700 Y
070 A022700 N
070 B012700 Y
070 B022700 N
070 C012700 Y
070 C022700 N
070 D012700 Y
070 D022700 N
070 E012700 Y
070 E022700 N
070 F012700 Y
070 F022700 N
070 G012700 Y
070 G022700 N
070 H012700 Y
070 H022700 N
070 I012700 Y
070 I022700 N
070 J012700 Y
070 J022700 Y
070 K012700 Y
070 K022700 Y
070 L012700 Y
070 L022700 N
070 M012700 Y
070 M022700 N
070 N012700 Y
070 N022700 N
070 O012700 Y
PAGE 95
070 O022700 N
070 P012700 Y
070 P022700 N
070 Q012700 N
070 Q022700 N
070 R012700 Y
070 R022700 N
070 A012800 Y
070 A022800 N
070 B012800 N
070 B022800 N
070 C012800 N
070 C022800 N
070 D012800 N
070 D022800 N
070 E012800 N
070 E022800 N
070 F012800 N
070 F022800 N
070 G012800 N
070 G022800 N
070 H012800 N
070 H022800 N
070 I012800 N
070 I022800 N
070 J012800 Y
070 J022800 Y
070 K012800 Y
070 K022800 Y
070 L012800 Y
070 L022800 Y
070 M012800 Y
070 M022800 N
070 N012800 Y
070 N022800 N
070 O012800 Y
070 O022800 N
070 P012800 Y
070 P022800 N
070 Q012800 N
070 Q022800 N
070 R012800 N
070 R022800 N
071 A000100 99272
071 B000100 79962
071 C000100 78633
071 D000100 102
071 A000200 22733
071 B000200 23222
071 C000200 26564
071 D000200 86
PAGE 96
071 A000500 56495
071 B000500 40860
071 C000500 133621
071 D000500 31
071 A000600 91393
071 B000600 76443
071 C000600 92426
071 D000600 83
071 A000700 122307
071 B000700 120908
071 C000700 80631
071 D000700 150
071 A000800 23509
071 B000800 35480
071 C000800 52985
071 D000800 44
071 A000900 55847
071 B000900 38921
071 C000900 115382
071 D000900 34
071 A001000 1516688
071 B001000 1407092
071 C001000 280451
071 D001000 502
071 A001100 0
071 B001100 0
071 C001100 0
071 D001100 0
071 A001400 75044
071 B001400 34060
071 C001400 181506
071 D001400 19
071 A001500 820078
071 B001500 711631
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PAGE 98
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PAGE 99
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PAGE 100
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PAGE 101
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PAGE 102
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PAGE 104
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PAGE 105
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PAGE 107
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PAGE 114
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PAGE 115
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PAGE 116
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PAGE 118
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PAGE 119
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PAGE 120
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PAGE 121
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PAGE 122
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PAGE 123
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PAGE 124
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PAGE 125
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PAGE 126
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PAGE 127
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PAGE 128
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PAGE 129
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PAGE 130
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PAGE 131
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080 A00AA00 National Union Fire Insurance Company
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SIGNATURE BRIAN D. KLEMENS
TITLE VP & TREASURER
EX-99.77B ACCT LTTR
2
paclifet77b.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To Shareholders and Board of Trustees of
Pacific Life Funds:
In planning and performing our audits of the financial statements of Pacific
Life Funds (the "Trust"), including PL Portfolio Optimization Conservative
Fund, PL Portfolio Optimization Moderate-Conservative Fund, PL Portfolio
Optimization Moderate Fund, PL Portfolio Optimization Moderate-Aggressive
Fund, PL Portfolio Optimization Aggressive Fund, PL Money Market Fund, PL
Income Fund, PL Floating Rate Loan Fund, PL Inflation Managed Fund, PL Managed
Bond Fund, PL Short Duration Bond Fund, PL Comstock Fund, PL Growth LT Fund,
PL Large-Cap Growth Fund, PL Large-Cap Value Fund, PL Main Street Core Fund,
PL Mid-Cap Equity Fund, PL Mid-Cap Growth Fund, PL Small-Cap Growth Fund, PL
Small-Cap Value Fund, PL Real Estate Fund, PL Emerging Markets Fund, PL
International Large-Cap Fund, and PL International Value Fund, as of and for
the year ended March 31, 2011, in accordance with the standards of the Public
Company Accounting Oversight Board (United States), we considered the Trust's
internal control over financial reporting, including controls over safeguarding
securities, as a basis for designing our auditing procedures for the purpose
of expressing our opinion on the financial statements and to comply with the
requirements of Form N-SAR, but not for the purpose of expressing an opinion
on the effectiveness of the Trust's internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Trust is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A company's internal
control over financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and the preparation
of financial statements for external purposes in accordance with generally
accepted accounting principles. A company's internal control over financial
reporting includes those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately and fairly
reflect the transactions and dispositions of the assets of the company; (2)
provide reasonable assurance that transactions are recorded as necessary to
permit preparation of financial statements in accordance with generally
accepted accounting principles, and that receipts and expenditures of the
company are being made only in accordance with authorizations of management
and directors of the company; and (3) provide reasonable assurance regarding
prevention or timely detection of unauthorized acquisition, use, or disposition
of a company's assets that could have a material effect on the financial
statements.
Because of its inherent limitations, internal control over financial reporting
may not prevent or detect misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees, in
the normal course of performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial reporting,
such that there is a reasonable possibility that a material misstatement of
the company's annual or interim financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Trust's internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Trust's internal control over financial reporting and its operation,
including controls for safeguarding securities, that we consider to be a
material weakness, as defined above, as of March 31, 2011.
This report is intended solely for the information and use of management and
the Board of Trustees of Pacific Life Funds and the Securities and Exchange
Commission and is not intended to be and should not be used by anyone other
than these specified parties.
/s/ Deloitte & Touche LLP
Costa Mesa, California
May 26, 2011
EX-99.77O RULE 10F-3
3
paclife77o.txt
PACIFIC LIFE FUNDS
PL REAL ESTATE FUND
10f-3 Transactions
Quarter Ended DECEMBER 31, 2010
Securities Purchased
Item Common Stock
(1) Name of Issuer General Growth Properties Inc
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) Common Stock
(3) Date of Purchase 11/16/2010
(4) Date of Offering 11/16/2010
(5) Unit Price $14.75
(6) Principal Amount of Total Offering $1,991,250,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) 3.73%
(8) Names of Syndicate Members Goldman Sachs & Co, Deutsche Bank
Securities, Wells Fargo Securities,
RBC Capital Markets, Barclays Capital,
UBS Investment Bank, Morgan Stanley,
Macquarie Capital, TD Securities,
Piper Jaffray
(9) Dollar Amount of Purchase
by the Portfolio $925,563
(10) % of Offering Purchased by
Portfolio 0.0465%
(11) % of Offering Purchased by
Associated Accounts 5.5955%
(12) % of Portfolio Assets Applied
to Purchase 2.4700%
(13) Name(s) of Syndicate Members (s)
from whom Purchased Deutsche Bank
(14) Name of Affiliated Underwriter Morgan Stanley
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL REAL ESTATE FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 12/31/2010
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 1/7/11 Signed: /s/ TED BIGMAN
------- ------------------
Name: Ted Bigman
Title: Managing Director/Fund Manager
PACIFIC LIFE FUNDS
PL REAL ESTATE FUND
10f-3 Transactions
Quarter Ended DECEMBER 31, 2010
Securities Purchased
Item Common Stock
(1) Name of Issuer Senior Housing Property Trust
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) Common Stock
(3) Date of Purchase 12/10/2010
(4) Date of Offering 12/10/2010
(5) Unit Price $20.50
(6) Principal Amount of Total Offering $256,250,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) 4.25%
(8) Names of Syndicate Members Jefferies, BofA Merrill Lynch,
Morgan Stanley, Citi, Morgan
Keegan, RBC Capital Markets, UBS
Investment Bank,Wells Fargo
Securities, BB&T Capital Markets,
Janney Montgomery Scott, Oppenheimer
& Co.
(9) Dollar Amount of Purchase by
the Portfolio $55,555
(10) % of Offering Purchased
by Portfolio 0.0217%
(11) % of Offering Purchased by
Associated Accounts 3.9783%
(12) % of Portfolio Assets Applied
to Purchase 0.1400%
(13) Name(s) of Syndicate Members (s)
from whom Purchased Jefferies & Co.
(14) Name of Affiliated Underwriter Morgan Stanley
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL REAL ESTATE FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 12/31/2010
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 1/7/11 Signed: /s/ TED BIGMAN
------- ------------------
Name: Ted Bigman
Title: Managing Director/Fund Manager
PACIFIC LIFE FUNDS
PL REAL ESTATE FUND
10f-3 Transactions
Quarter Ended DECEMBER 31, 2010
Securities Purchased
Item Common Stock
(1) Name of Issuer HCP Inc.
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) Common Stock
(3) Date of Purchase 12/14/2010
(4) Date of Offering 12/14/2010
(5) Unit Price $32.00
(6) Principal Amount of Total Offering $1,280,000,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) 4.00%
(8) Names of Syndicate Members BofA Merrill Lynch, Citi,
J.P. Morgan,Wells Fargo Securities,
UBS Investment Bank, Barclays Capital,
Credit Agricole CIB, Credit Suisse,
Goldman Sachs & Co, KeyBanc Capital
Markets, RBS, Scotia Capital,
Deutsche Bank Securities, Morgan
Stanley, BNY Mellon Capital Markets LLC,
Piper Jaffray, PNC Capital Markets LLC,
SunTrust Robinson Humphrey,
Morgan Keegan
(9) Dollar Amount of Purchase by
the Portfolio $120,000
(10) % of Offering Purchased
by Portfolio 0.0094%
(11) % of Offering Purchased by
Associated Accounts 1.8031%
(12) % of Portfolio Assets Applied
to Purchase 0.3200%
(13) Name(s) of Syndicate Members (s)
from whom Purchased BofA Merrill Lynch
(14) Name of Affiliated Underwriter Morgan Stanley
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL REAL ESTATE FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 12/31/2010
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 1/7/11 Signed: /s/ TED BIGMAN
------- ------------------
Name: Ted Bigman
Title: Managing Director/Fund Manager
PACIFIC LIFE FUNDS
PL SHORT DURATION BOND FUND
10f-3 Transactions
Quarter Ended - March 31, 2011
Item Securities Purchased
(1) Name of Issuer Dominion Resources Inc
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) D 1.80%, 03/15/14
(3) Date of Purchase 03/02/2011
(4) Date of Offering 03/02/2011
(5) Unit Price $99.944
(6) Principal Amount of Total Offering $400,000,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) 0.40%
(8) Names of Syndicate Members Citi,
Goldman Sachs & Co,
JP Morgan,
Scotia Capital
(9) Dollar Amount of Purchase by the Portfolio $224,874
(10) % of Offering Purchased by Portfolio 0.06%
(11) % of Offering Purchased by Associated Accounts 6.64%
(12) % of Portfolio Assets Applied to Purchase 0.20%
(13) Name(s) of Syndicate Members (s) from
whom Purchased Citigroup Global Markets Inc
(14) Name of Affiliated Underwriter Goldman Sachs & Co
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL SHORT DURATION BOND FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 3/31/2011
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 4/25/11 Signed: /s/ JAMES P. MCCARTHY
------- ------------------
Name: James P. McCarthy
Title: Managing Director
PACIFIC LIFE FUNDS
PL SHORT DURATION BOND FUND
10f-3 Transactions
Quarter Ended - March 31, 2011
Item Securities Purchased
(1) Name of Issuer Johnson Controls Inc
(2) Description of Security (name, coupon,
maturity, subordination, common
stock, etc.) JCI 1.75%, 03/01/14
(3) Date of Purchase 02/01/2011
(4) Date of Offering 02/01/2011
(5) Unit Price $99.967
(6) Principal Amount of Total Offering $450,000,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) 0.45%
(8) Names of Syndicate Members BofA Merrill Lynch,JP Morgan, Citi,
Goldman, Sachs & Co, US Bancorp,
Banca IMI, Barclays Capital,
Commerzbank, Credit Agricole CIB,
Danske Markets Inc, Ing, Mitsubishi
UFJ Securities, Standard Chartered Bank,
Wells Fargo Securities, BBVA Securities,
RBS, TD Securities, UniCredit Capital
Markets
(9) Dollar Amount of Purchase by the Portfolio $324,893
(10) % of Offering Purchased by Portfolio 0.07%
(11) % of Offering Purchased by Associated Accounts 6.60%
(12) % of Portfolio Assets Applied to Purchase 0.29%
(13) Name(s) of Syndicate Members (s) from
whom Purchased JPMorgan
(14) Name of Affiliated Underwriter Goldman, Sachs & Co.
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL SHORT DURATION BOND FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 3/31/2011
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 4/25/11 Signed: /s/ JAMES P. MCCARTHY
------- ------------------
Name: James P. McCarthy
Title: Managing Director
PACIFIC LIFE FUNDS
PL REAL ESTATE FUND
10f-3 Transactions
Quarter Ended March 31, 2011
Securities Purchased
Item Common Stock
(1) Name of Issuer Mack-Cali Realty Corp.
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) Common Stock
(3) Date of Purchase 02/15/2011
(4) Date of Offering 02/15/2011
(5) Unit Price $33.00
(6) Principal Amount of Total Offering $206,250,000
(7) Underwriting Spread
$ (equity) or % (fixed-income) $1.32
(8) Names of Syndicate Members BofA Merrill Lynch,
Deutsche Bank Securities,
J.P. Morgan, BNY Capital
Markets LLC, Capital One
Southcoast, Citi, Comerica
Securities, Mitsubishi UFJ
Securities, Piper Jaffray, PNC
Capital Markets LLC, RBS, Scotia
Capital, SunTrust Robinson Humphrey
(9) Dollar Amount of Purchase
by the Portfolio $56,760
(10) % of Offering Purchased by
Portfolio 0.0275%
(11) % of Offering Purchased
by Associated Accounts 3.1725%
(12) % of Portfolio Assets
Applied to Purchase 0.1300%
(13) Name(s) of Syndicate
Members (s) from whom Purchased Merrill Lynch
(14) Name of Affiliated
Underwriter Mitsubishi UFJ
Securities
[PAGE BREAK]
PACIFIC LIFE FUNDS - PL REAL ESTATE FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 3/31/2011
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 5/17/11 Signed: /s/ TED BIGMAN
------- ------------------
Name: Ted Bigman
Title: Managing Director/Fund Manager
PACIFIC LIFE FUNDS
PL REAL ESTATE FUND
10f-3 Transactions
"Quarter Ended March 31, 2011"
Securities Purchased
Item Common Stock
(1) Name of Issuer HCP Inc.
(2) Description of Security (name,
coupon, maturity, subordination,
common stock, etc.) Common Stock
(3) Date of Purchase 03/22/2011
(4) Date of Offering 03/22/2011
(5) Unit Price $36.90
(6) Principal Amount of Total Offering "$1,107,000,000"
(7) Underwriting Spread
$ (equity) or % (fixed-income) $1.107
(8) Names of Syndicate Members BofA Merrill Lynch, Citi,
J.P. Morgan, UBS Investment Bank,
Wells Fargo Securities, Credit
Agricole CIB, Credit Suisse,
Goldmans Sachs & Co, Morgan Stanley,
BNY Capital Markets LLC, KeyBanc Capital
Markets, PNC Capital Markets LLC.
Piper Jaffray, RBS, Scotia Capital,
Suntrust Robinson Humphrey, CSCA,
Morgan Keegan
(9) Dollar Amount of Purchase
by the Portfolio $122,139
(10) % of Offering Purchased by Portfolio 0.0110%
(11) % of Offering Purchased by
Associated Accounts 2.1890%
(12) % of Portfolio Assets Applied
to Purchase 0.3000%
(13) Name(s) of Syndicate Members (s)
from whom Purchased Merrill Lynch
(14) Name of Affiliated Underwriter Morgan Stanley
PACIFIC LIFE FUNDS - PL REAL ESTATE FUND
REPORT PURSUANT TO RULE 10F-3 - QUARTER ENDED 3/31/2011
[ ] Eligibility (check one): [X] registered public offering [ ] government security [ ] Eligible Municipal Security
[ ] Eligible Foreign Offering [ ] Eligible Rule 144A Offering
Check if the following conditions have been met (and discuss any exceptions):
[X] The securities were purchased (1) prior to the end of the first day on which any sales were made at a price that did
not exceed the price paid by each other purchaser in the offering or any concurrent offering of the securities
(excepting, in an Eligible Foreign Offering, rights required by law to be granted to existing security holders) and
(2) on or before the fourth day before termination, if a rights offering.
[X] The securities were offered pursuant to an underwriting or similar agreement under which the underwriters were
committed to purchase all the securities offered, except those purchased by others pursuant to a rights offering, if
the underwriters purchase any of the securities.
[X] The commission, spread or profit was reasonable and fair in relation to that being received by others for
underwriting similar securities during a comparable period of time. If only one comparable security was reviewed for
these purposes, we represent that we are not aware of any other comparable underwritings.
[X] Except for Eligible Municipal Securities, the issuer of such securities has been in continuous operation for not less
than three years (including the operations of predecessors).
[ ] In the case of Eligible Municipal Securities, the issuer has been rated investment grade by at least one NRSRO,
provided that, if the issuer or entity supplying the funds from which the issue is to be paid has been in continuous
operation for less than three years (including the operations of any predecessors) the securities must have been
rated within the top three rating categories by an NRSRO.
[X] Percentage of offering purchased by the Portfolio and other funds advised by the same investment adviser (or its
affiliates) or accounts with respect to which the same investment adviser (or its affiliates) has, and has exercised,
investment discretion, did not exceed: (a) for Eligible Rule 144A offering, 25% of the total of (1) principal amount
of offering of such class sold by underwriters to qualified institution buyers plus (2) principal amount of class in
any concurrent public offering; (b) other securities, 25% of principal amount of offering of class. Identify such
other purchasers:
[X] The Portfolio did not purchase the securities being offered directly or indirectly from an Affiliated Underwriter,
provided that a purchase from a syndicate manager shall not be deemed to be a purchase from an Affiliated Underwriter
so long as (a) such Affiliated Underwriter did not benefit directly or indirectly from, the transaction, and, (b) in
the case of Eligible Municipal Securities, the purchase was not designated as a group sale or otherwise allocated to
the account of any Affiliated Underwriter.
Check below if written statements of issuer, syndicate manager, or underwriter or seller of securities were relied upon to
determine:
[ ] the securities were sold in an Eligible Rule 144A Offering;
[X] compliance with the first condition, above, regarding time and price.
Attach copy of written statement for each box checked.
The Portfolio Manager hereby certifies that the purchase of securities noted above under "Securities Purchased" complies with the
Fund's Rule 10f-3 Procedures.
Date: 5/17/11 Signed: /s/ TED BIGMAN
------- ------------------
Name: Ted Bigman
Title: Managing Director/Fund Manager
EX-99.77Q1 OTHR EXHB
4
paclife77q11.txt
Pacific Life Funds NSAR 03-31-11
EXHIBIT 77Q1(a)
MATERIAL AMENDMENTS TO REGISTRANT'S CHARTER OR BYLAWS
The following documents are included in Registrant's Form Type N1A/A,
Accession No. 0000950123-11-036495 filed on April 18, 2011, and
incorporated by reference herein:
Amended and Restated Declaration of Trust
Pacific Life Funds By-Laws
EX-99.77Q1 OTHR EXHB
5
paclife77q12.txt
Pacific Life Funds NSAR 03-31-11
EXHIBIT 77Q1(e) COPIES OF ANY NEW OR AMENDED REGISTRANT
INVESTMENT ADVISORY CONTRACTS
The following documents are included in Registrant's Form Type Type N1A/A,
Accession No. 0000950123-11-036495 filed on April 18, 2011, and
incorporated by reference herein:
Schedule A to Advisory Agreement
Advisory Fee Waiver Agreement - PL Comstock Fund
Amendment to Fund Management Agreement - Janus Capital Management LLC
Amendment No. 1 to Subadvisory Agreement - Invesco Advisers, Inc.
Subadvisory Agreement - J.P. Morgan Investment Management, Inc.
Subadvisory Agreement - T. Rowe Price Associates, Inc.
SCHEDULE A
(to the Advisory Agreement between Pacific Life Funds and Pacific Life Fund
Advisors LLC)
FUND ANNUAL INVESTMENT ADVISORY FEE
---- ------------------------------
(as a percentage of average daily net assets)
PL Portfolio Optimization Conservative Fund 0.20%
PL Portfolio Optimization Moderate-Conservative Fund 0.20%
PL Portfolio Optimization Moderate Fund 0.20%
PL Portfolio Optimization Moderate-Aggressive Fund 0.20%
PL Portfolio Optimization Aggressive Fund 0.20%
PL Money Market Fund 0.20% of the first $250 million
0.15% of the next $250 million
0.10% on excess
PL Income Fund 0.50%
PL Floating Rate Income Fund 0.65%
PL Floating Rate Loan Fund 0.75%
PL Small-Cap Value Fund 0.60%
PL Main Street(R) Core Fund 0.45%
PL Emerging Markets Fund 0.80%
PL Small-Cap Growth Fund 0.75%
PL International Value Fund 0.65%
PL Large-Cap Value Fund 0.65%
PL Short Duration Bond Fund 0.40%
PL Growth LT Fund 0.55%
PL Mid-Cap Equity Fund 0.65%
PL Large-Cap Growth Fund 0.75%
PL International Large-Cap Fund 0.85%
PL Managed Bond Fund 0.40%
PL Inflation Managed Fund 0.40%
PL Comstock Fund 0.75%
PL Mid-Cap Growth Fund 0.70%
PL Real Estate Fund 0.90%
EFFECTIVE: JULY 1, 2011
Page 2 of 2
Schedule A to the Advisory between Pacific Life Funds and Pacific Life Fund
Advisors LLC
IN WITNESS WHEREOF, the parties hereto have caused this Schedule to be executed
by their officers designated below to be effective on the Effective Date written
above.
PACIFIC LIFE FUNDS
By: /s/ Howard T. Hirakawa
-----------------------------------
Name: Howard T. Hirakawa
Title: Vice President
By: /s/ Laurene E. MacElwee
-----------------------------------
Name: Laurene E. MacElwee
Title: VP & Assistant Secretary
PACIFIC LIFE FUND ADVISORS LLC
By: /s/ Howard T. Hirakawa
-----------------------------------
Name: Howard T. Hirakawa
Title: VP, Fund Advisor Operations
By: /s/ Laurene E. MacElwee
-----------------------------------
Name: Laurene E. MacElwee
Title: VP & Assistant Secretary
AMENDMENT NO. 6 TO THE FUND MANAGEMENT AGREEMENT
PACIFIC LIFE FUNDS
THIS AMENDMENT made as of this 1st day of January, 2011 by and among
PACIFIC LIFE FUND ADVISORS LLC ("Adviser"), a Delaware limited liability
company, Massachusetts Financial Services Company, a Delaware corporation doing
business as MFS INVESTMENT MANAGEMENT ("MFS" or "Fund Manager"), and PACIFIC
LIFE FUNDS, a Delaware Statutory Trust (the "Trust").
WITNESSETH:
WHEREAS, Adviser, Fund Manager and the Trust are parties to that
certain Fund Management Agreement dated September 26, 2001, as amended on
October 1, 2001, April 1, 2002, December 4, 2003, November 7, 2005, May 1, 2006
and May 1, 2007 the (the "Agreement") pursuant to which Fund Manager furnishes
fund management services for the series of the Trust listed in the Agreement;
WHEREAS, the parties mutually desire to amend the Agreement as set
forth herein;
NOW, THEREFORE, in consideration of the premises, the promises, and
the mutual covenants contained in the Agreement and the good and fair
consideration paid in connection with that Agreement, the parties mutually agree
that the Agreement is hereby amended as follows:
1. The Fee Schedule of the Agreement is hereby deleted and the
replacement Fee Schedule attached hereto and made a part hereof, is
hereby substituted in lieu thereof and made effective January 1, 2011.
2. Except as herein above modified, all other terms and provisions of the
Agreement shall be and remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this instrument to be
executed as of the day and year provided above for the Amendment.
PACIFIC LIFE FUND ADVISORS LLC
By: /s/ Howard T. Hirakawa By: /s/ Jane M. Guon
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Name: Howard T. Hirakawa Name: Jane M. Guon
Title: VP, Fund Advisor Operations Title: Secretary
Page 2 of 3
Pacific Life Funds Amendment No. 6 to the Fund Management Agreement with MFS
MFS INVESTMENT MANAGEMENT
By: /s/ Robert J. Manning
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Name: Robert J. Manning
Title: Chief Executive Officer
PACIFIC LIFE FUNDS
By: /s/ Howard T. Hirakawa By: /s/ Jane M. Guon
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Name: Howard T. Hirakawa Name: Jane M. Guon
Title: Vice President Title: Secretary
Page 3 of 3
Pacific Life Funds Amendment No. 6 to the Fund Management Agreement with MFS
PACIFIC LIFE FUNDS
FEE SCHEDULE
MFS INVESTMENT MANAGEMENT
EFFECTIVE: JANUARY 1, 2011
FUND: PL INTERNATIONAL LARGE-CAP
The Adviser will pay to the Fund Manager a monthly fee based on an annual
percentage of the average daily net assets of the PL International Large-Cap
Fund according to the following calculations:
(a) 0.425% on the first $750 million of the Combined Assets as defined below,
0.375% on the next $750 million of the Combined Assets, plus
0.325% if the next $1.5 billon of the Combined Assets, plus
0.300% on Combined Assets above $3 billion;
MULTIPLIED BY
(b) The ratio of the PL International Large-Cap Fund's average daily net assets
over the Combined Assets.
For purposes of the above calculation, "Combined Assets" means the sum of the
average daily net assets of the International Large-Cap Portfolio of Pacific
Select Fund and the average daily net assets of the PL International Large-Cap
Fund of Pacific Life Funds.
Fees for services shall be prorated for any portion of a year in which the
Agreement is not effective.