0000750556-16-000221.txt : 20160212
0000750556-16-000221.hdr.sgml : 20160212
20160212145301
ACCESSION NUMBER: 0000750556-16-000221
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
GROUP MEMBERS: GENSPRING HOLDINGS, INC.
GROUP MEMBERS: SUNTRUST BANK
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: PIMCO ETF Trust
CENTRAL INDEX KEY: 0001450011
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-85082
FILM NUMBER: 161418027
BUSINESS ADDRESS:
STREET 1: 650 NEWPORT CENTER DRIVE
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
BUSINESS PHONE: 949.720.6000
MAIL ADDRESS:
STREET 1: 650 NEWPORT CENTER DRIVE
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: SUNTRUST BANKS INC
CENTRAL INDEX KEY: 0000750556
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 581575035
STATE OF INCORPORATION: GA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 303 PEACHTREE ST N E
CITY: ATLANTA
STATE: GA
ZIP: 30308
BUSINESS PHONE: 4045887711
MAIL ADDRESS:
STREET 1: 303 PEACHTREE ST N E
CITY: ATLANTA
STATE: GA
ZIP: 30308
SC 13G/A
1
r13gPIMCO2_1215.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1394
(Amendment No. 2)*
PIMCO 1-5 Year US TIPS Index ETF
72201R205
December 31, 2015
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[X] Rule 13d-1 (b)
[ ] Rule 13d-1 (c)
[ ] Rule 13d-1 (d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
CUSIP No. 72201R205
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons
SunTrust Banks, Inc. as Parent Holding Company for SunTrust Investment
Services, Inc. and for GenSpring Holdings, Inc. and for SunTrust Bank Holding
Company as Parent Company for SunTrust Bank in various fiduciary capacities.
58-1575035
2. Check the Appropriate Box if a Member of a Group
(a) __________
(b) __________
3. SEC Use Only
4. Citizenship or Place of Organization
Georgia
Number of 5. Sole Voting Power
Shares
Beneficially 6. Shared Voting Power
Owned by
Each 7. Sole Dispositive Power
Reporting
Person With 8. Shared Dispositive Power
9. Aggregate Amount Beneficially Owned by Each Reporting Person
Less than 1% of outstanding shares.
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares*
11. Percent of Class Represented by Amount in Row (9)
12. Type of Reporting Person*
HC / BK / IA / BD
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Item 1.
(a) Name of Issuer:
PIMCO ETF Trust
(b) Address of Issuer's Principal Executive Offices:
840 Newport Center Drive
Newport Beach, CA 92660
Item 2.
(a) Name of Person Filing:
SunTrust Banks, Inc. as Parent Holding Company for SunTrust Investment
Services, Inc. and for SunTrust Bank Holding Company as Parent Company for
SunTrust Bank in various fiduciary capacities.
(b) Address of Principal Business Office or, if none, Residence:
303 Peachtree Street, NE
Atlanta, Georgia 30308
(c) Citizenship:
SunTrust Banks, Inc. is a Georgia corporation; SunTrust Investment
Services, Inc. is a Georgia corporation; SunTrust Bank Holding Company is
a Florida corporation; SunTrust Bank is a Georgia banking association.
(d) Title of Class of Securities:
Exchange traded fund
(e) CUSIP Number
72201R205
Item 3. If this statement is filed pursuant to SS240.13d-1(b) or
240.13-2(b) or (c), check whether the person filing is a:
(a) [X] Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o);
(b) [x] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c);
(d) [X] Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8);
(e) [ ] An investment adviser in accordance with
SS240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
SS240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in accordance with
SS240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment Company Act
of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with SS240.13d-1(b)(1)(ii)(J).
Item 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in
Item 1.
(a) Amount beneficially owned:
(b) Percent of class: <1%.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
(ii) Shared power to vote or to direct the vote
(iii) Sole power to dispose or to direct the disposition of
(iv) Shared power to dispose or to direct the disposition of
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of
more than five percent of the class of securities, check the following
[X].
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding Company
See Item 2.
Item 8. Identification and Classification of Members of the Group
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for
the purpose of or with the effect of changing or influencing the control
of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that
purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
February 11, 2016
Date
/s/ Kathryn AB Vest
Signature
Kathryn AB Vest / Senior Vice President
Name / Title
SunTrust Banks, Inc.
303 Peachtree Street, Suite 1500
Atlanta, Georgia 30308
February 11, 2016
Ladies and Gentlemen:
There is hereby transmitted for filing pursuant to Section 13(g) of the
Securities and Exchange Act of 1934 and Rule 13G thereunder a Schedule
13G relating to beneficial ownership by SunTrust Banks, Inc. and its
subsidiaries of shares of PIMCO 1-5 year US TIPS Index ETF.
Please call the undersigned at (804) 782-5606 if you have any questions.
Sincerely,
/s/ Kathryn AB Vest
SunTrust Bank, Senior Vice President