0001209191-19-003566.txt : 20190114
0001209191-19-003566.hdr.sgml : 20190114
20190114164255
ACCESSION NUMBER: 0001209191-19-003566
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190102
FILED AS OF DATE: 20190114
DATE AS OF CHANGE: 20190114
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BUFFINGTON THOMAS MATTHEW
CENTRAL INDEX KEY: 0001764108
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-10379
FILM NUMBER: 19525444
MAIL ADDRESS:
STREET 1: C/O PIMCO
STREET 2: 650 NEWPORT CENTER DRIVE
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PIMCO CALIFORNIA MUNICIPAL INCOME FUND
CENTRAL INDEX KEY: 0001140411
IRS NUMBER: 134174445
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1633 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-739-4000
MAIL ADDRESS:
STREET 1: 1633 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10019
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2019-01-02
0
0001140411
PIMCO CALIFORNIA MUNICIPAL INCOME FUND
PCQ
0001764108
BUFFINGTON THOMAS MATTHEW
C/O PIMCO
650 NEWPORT CENTER DRIVE
NEWPORT BEACH
CA
92660
1
0
0
0
Auction Rate Preferred Shares
5
I
By Dryden Capital Fund, LP
Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
Exhibit List: Exhibit 24 - Power of Attorney
/s/ Kevin Van Gorder, Attorney-in-Fact for Thomas Matthew Buffington
2019-01-14
EX-24.3_826542
2
poa.txt
POA DOCUMENT
SECTION 16
POWER OF ATTORNEY
T. MATTHEW BUFFINGTON
The undersigned hereby constitutes and appoints the individuals named on
Schedule A attached hereto and as may be amended from time to time, or any of
them signing singly, with full power of substitution and resubstitution, the
undersigned's true and lawful attorney in fact to:
1. as may be required, prepare, execute in the undersigned's name and on the
undersigned's behalf, and submit to the United States Securities and Exchange
Commission (the "SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required by
Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or
regulation of the SEC;
2. execute for and on behalf of the undersigned, in the undersigned's capacity
as a Section 16 reporting person of the applicable registered investment
companies (and any successor companies) listed on Schedule A attached hereto, as
amended from time to time, and any other registered investment company
affiliated with or established by Pacific Investment Management Company LLC
("PIMCO"), for which the undersigned becomes a Section 16 reporting person
(each, a "Fund"), Forms 3, 4, and 5 in accordance with Section 16 of the
Securities Exchange Act of 1934, as amended, and the rules thereunder;
3. do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4, or 5,
complete and execute any amendment or amendments thereto, and timely file such
form with the SEC and any stock exchange or similar authority; and
4. take any other action of any type whatsoever in connection with the foregoing
which, in the opinion of such attorney in fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney in fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney in fact may approve in such
attorney in fact's discretion.
The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution and
resubstitution or revocation, hereby ratifying and confirming all that such
attorney in fact, or such attorney in fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this Power of Attorney and the
rights and powers herein granted.
The undersigned acknowledges that the foregoing attorneys in fact, in serving in
such capacity at the request of the undersigned, are not assuming, nor is any
Fund assuming, any of the undersigned's responsibilities to comply with Section
16 of the Securities Exchange Act of 1934, as amended.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by any Fund,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys in fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 7th day of January, 2019.
/s/ T. Matthew Buffington
T. Matthew Buffington
SCHEDULE A
FUND NAME AND SYMBOL
1. PIMCO CALIFORNIA MUNICIPAL INCOME FUND PCQ
2. PIMCO CALIFORNIA MUNICIPAL INCOME FUND II PCK
3. PIMCO CALIFORNIA MUNICIPAL INCOME FUND III PZC
4. PIMCO MUNICIPAL INCOME FUND PMF
5. PIMCO MUNICIPAL INCOME FUND II PML
6. PIMCO MUNICIPAL INCOME FUND III PMX
7. PIMCO NEW YORK MUNICIPAL INCOME FUND PNF
8. PIMCO NEW YORK MUNICIPAL INCOME FUND II PNI
INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT,
WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION
1. Keisha L. Audain-Pressley, Chief Compliance Officer of the Funds, Senior Vice
President and Deputy Chief Compliance Officer of PIMCO
2. Jennifer Durham, Managing Director and Chief Compliance Officer of PIMCO
3. Joshua D. Ratner, Chief Legal Officer of the Funds, Executive Vice President
and Deputy General Counsel of PIMCO
4. Kevin Van Gorder, Vice President, Compliance Officer of PIMCO
5. Ryan Leshaw, Assistant Secretary of the Funds, Senior Vice President, Senior
Counsel of PIMCO
6. Wu-Kwan Kit, Vice President, Senior Counsel and Secretary of the Funds,
Senior Vice President, Counsel of PIMCO