0001752724-19-024397.txt : 20190411 0001752724-19-024397.hdr.sgml : 20190411 20190411095522 ACCESSION NUMBER: 0001752724-19-024397 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190131 FILED AS OF DATE: 20190411 DATE AS OF CHANGE: 20190411 EFFECTIVENESS DATE: 20190411 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AllianzGI Equity & Convertible Income Fund CENTRAL INDEX KEY: 0001383441 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-21989 FILM NUMBER: 19743003 BUSINESS ADDRESS: STREET 1: C/O ALLIANZ GLOBAL INVESTORS FUND MGMT STREET 2: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-739-3000 MAIL ADDRESS: STREET 1: C/O ALLIANZ GLOBAL INVESTORS FUND MGMT STREET 2: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: AGIC Equity & Convertible Income Fund DATE OF NAME CHANGE: 20100825 FORMER COMPANY: FORMER CONFORMED NAME: Nicholas-Applegate Equity & Convertible Income Fund DATE OF NAME CHANGE: 20070118 FORMER COMPANY: FORMER CONFORMED NAME: Nicholas-Applegate Equity & Income Capture Fund DATE OF NAME CHANGE: 20061213 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001383441 XXXXXXXX 811-21989 false false false N-2 AllianzGI Equity & Convertible Income Fund 811-21989 0001383441 549300E7CGC36IOELF91 C/O ALLIANZ GLOBAL INVESTORS U.S. LLC 1633 BROADWAY NEW YORK 10019 US-NY US 212-739-3367 American Stock Transfer & Trust Company, LLC 6201 15th Avenue Brooklyn 11219 718-921-8200 Records related to its functions as transfer agent and shareholder service agent. Allianz Global Investors U.S. LLC 1633 Broadway New York 10019 212-739-3000 Records related to its function as investment manager. State Street Bank and Trust Company 801 Pennsylvania Ave Kansas City 64105 816-871-4100 Custody and Accounting Records. N N N-2 Y Erick R. Holt 001973436 Y Bradford K. Gallagher 000000000 N Alan Rappaport 001029265 N James S. MacLeod 000000000 N Sarah E. Cogan 000000000 N William B. Ogden, IV 000000000 N Hans W. Kertess 001741165 N Thomas J. Fuccillo 002204906 Y Deborah A. DeCotis 000000000 N Davey S. Scoon 000000000 N F. Ford Drummond 000000000 N James A. Jacobson 002403846 N Thomas L. Harter 000000000 600 West Broadway San Diego 92101 XXXXXX N N N N N N N PricewaterhouseCoopers LLP 238 5493002GVO7EO8RNNS37 N N N N N AllianzGI Equity & Convertible Income Fund 549300E7CGC36IOELF91 N 0 0 0 N/A N N Y N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 17a-7 (17 CFR 270.17a-7) N N N N Allianz Global Investors U.S. LLC 801-69803 000149003 549300QJHGSKBIX1VE40 N American Stock Transfer & Trust Company, LLC 084-00416 254900TS5EWP83BEOU02 N N N ICE Data Services, Inc. 5493000NQ9LYLDBCTL34 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N Bloomberg L.P. 549300B56MD0ZC402L06 N Thomson Reuters Corporation 549300561UZND4C7B569 CA N N State Street Bank and Trust Company (Kansas City, MO, US, Branch) 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N American Stock Transfer & Trust Company, LLC 254900TS5EWP83BEOU02 N N N Allianz Global Investors U.S. LLC 549300QJHGSKBIX1VE40 Y N N Allianz Global Investors Distributors LLC 008-41811 000025567 549300SP22LYR965RW31 0.00000000 PIMCO Investments LLC 008-68686 000154957 00000000000000000000 0.00000000 PIMCO Canada Corp. N/A 000000000 549300PNZNS0LQSMZ318 CA 0.00000000 Allianz Global Investors (Schweiz) AG N/A 000000000 549300HHHNE56IHKY326 CH 0.00000000 PIMCO (Schweiz) GmbH N/A 000000000 0000000000 CH 0.00000000 PIMCO Deutschland GmbH N/A 000000000 549300KW6332H0XL8X85 DE 0.00000000 Allianz Life Financial Services, LLC 8-13630 000000612 00000000000000000000 0.00000000 Questar Capital Corporation 8-50174 000043100 00000000000000000000 0.00000000 William Blair & Company, L.L.C. 8-2698 000001252 549300J0P7XYE8BMZ775 14765.00000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 13653.50000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 15595.44000000 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 27048.85000000 KeyBanc Capital Markets Inc. 8-30177 000000566 2EQWV0180Z211YVAD813 8007.31000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 8760.31000000 Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 31292.25000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 44617.14000000 Deutsche Bank Securities Inc. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 17357.68000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 19672.55000000 231923.20000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 20880338.61000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 14476272.39000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 18390896.15000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 13520722.60000000 Nomura Securities International, Inc. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 12769242.87000000 First Union National Bank 8-31606 000015001 00000000000000000000 14721060.29000000 Barclays Capital Inc. 8-41342 000019714 AC28XWWI3WIBK2824319 28138861.20000000 Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 20894132.23000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 4268503000.00000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 27775075.42000000 4485559989.43000000 Y 649038963.15000000 Common stock Common Shares N N N N N N 1.00000000 1.13000000 20.52000000 22.53000000 true INTERNAL CONTROL RPT 2 NCEN_3244137719702503.txt Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AllianzGI Equity & Convertible Income Fund In planning and performing our audit of the financial statements of AllianzGI Equity & Convertible Income Fund (the "Fund") as of and for the year ended January 31, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund'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-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting. The management of the Fund 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 fund'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 fund'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 fund; (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 fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund'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 fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund'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 over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of January 31, 2019. This report is intended solely for the information and use of the Board of Trustees of AllianzGI Equity & Convertible Income Fund 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/PricewaterhouseCoopers LLP New York, New York March 22, 2019