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
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AllianzGI Equity & Convertible Income Fund
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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.
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N
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Erick R. Holt
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Bradford K. Gallagher
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Alan Rappaport
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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
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N
N
N
N
N
N
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
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AllianzGI Equity & Convertible Income Fund
549300E7CGC36IOELF91
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Rule 17a-7 (17 CFR 270.17a-7)
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Allianz Global Investors U.S. LLC
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American Stock Transfer & Trust Company, LLC
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ICE Data Services, Inc.
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IHS Markit Ltd.
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GB
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Bloomberg L.P.
549300B56MD0ZC402L06
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Thomson Reuters Corporation
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CA
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State Street Bank and Trust Company (Kansas City, MO, US, Branch)
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
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Allianz Global Investors U.S. LLC
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Allianz Global Investors Distributors LLC
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PIMCO Investments LLC
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0.00000000
PIMCO Canada Corp.
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CA
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Allianz Global Investors (Schweiz) AG
N/A
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549300HHHNE56IHKY326
CH
0.00000000
PIMCO (Schweiz) GmbH
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0.00000000
PIMCO Deutschland GmbH
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Allianz Life Financial Services, LLC
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0.00000000
Questar Capital Corporation
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William Blair & Company, L.L.C.
8-2698
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549300J0P7XYE8BMZ775
14765.00000000
Citigroup Global Markets Inc.
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Credit Suisse Securities (USA) LLC
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RBC Capital Markets, LLC
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KeyBanc Capital Markets Inc.
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Goldman Sachs & Co. LLC
8-129
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Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
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Morgan Stanley & Co. LLC
8-15869
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Deutsche Bank Securities Inc.
8-17822
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JPMorgan Chase & Co.
8-35008
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Morgan Stanley & Co. LLC
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Citigroup Global Markets Inc.
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Jefferies LLC
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Goldman Sachs & Co. LLC
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Nomura Securities International, Inc.
8-15255
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First Union National Bank
8-31606
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Barclays Capital Inc.
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Merrill Lynch, Pierce, Fenner & Smith Incorporated
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State Street Bank and Trust Company
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JPMorgan Chase & Co.
8-35008
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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