0001752724-20-069850.txt : 20200407
0001752724-20-069850.hdr.sgml : 20200407
20200407123818
ACCESSION NUMBER: 0001752724-20-069850
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200131
FILED AS OF DATE: 20200407
DATE AS OF CHANGE: 20200407
EFFECTIVENESS DATE: 20200407
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: 20779075
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
William B. Ogden, IV
000000000
N
Sarah E. Cogan
000000000
N
Hans W. Kertess
001741165
N
Thomas J. Fuccillo
002204906
Y
James A. Jacobson
002403846
N
James S. MacLeod
000000000
N
Alan Rappaport
001029265
N
Deborah A. DeCotis
000000000
N
Davey S. Scoon
000000000
N
Erick R. Holt
001973436
Y
F. Ford Drummond
000000000
N
Thomas L. Harter
000000000
600 West Broadway
San Diego
92101
XXXXXX
N
N
N
N
N
N
N
N
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
N
N
N
N
N
N
AllianzGI Equity & Convertible Income Fund
549300E7CGC36IOELF91
N
0
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
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
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
ICE Data Services, Inc.
13-3668779
Tax ID
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
PIMCO (Schweiz) GmbH
N/A
000000000
0000000000
CH
0.00000000
PIMCO Investments LLC
008-68686
000154957
00000000000000000000
0.00000000
Allianz Global Investors (Schweiz) AG
N/A
000000000
549300HHHNE56IHKY326
CH
0.00000000
PIMCO Deutschland GmbH
N/A
000000000
549300KW6332H0XL8X85
DE
0.00000000
Allianz Life Financial Services, LLC
8-13630
000000612
5493008TSI0TRWDDGW79
0.00000000
Allianz Global Investors Distributors LLC
008-41811
000025567
549300SP22LYR965RW31
0.00000000
PIMCO Canada Corp.
N/A
000000000
549300PNZNS0LQSMZ318
CA
0.00000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
19597.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
10411.04000000
William Blair & Company, L.L.C.
8-2698
000001252
549300J0P7XYE8BMZ775
3490.50000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
23380.50000000
Oppenheimer & Co. Inc.
8-4077
000000249
254900VH02JQR2L8XD64
16663.50000000
KeyBanc Capital Markets Inc.
8-30177
000000566
2EQWV0180Z211YVAD813
11224.50000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
3462.50000000
Stifel, Nicolaus & Company, Incorporated
8-1447
000000793
5WUVMA08EYG4KEUPW589
3461.50000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
24712.62000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
50201.50000000
183786.17000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
16740347.26000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
5056783000.00000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
23296427.81000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
12130550.36000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
12096263.38000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
29161573.05000000
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
11512180.83000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
27235973.37000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
33348108.58000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
15328715.21000000
5293290909.28000000
Y
653635071.23000000
Common stock
AllianzGI Equity & Convertible Income Fund
N
N
N
N
N
N
1.00000000
1.07000000
23.14000000
24.89000000
true
INTERNAL CONTROL RPT
2
NCEN_1953785905328934.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, 2020, 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, 2020.
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 24, 2020