0001193125-21-059739.txt : 20210226 0001193125-21-059739.hdr.sgml : 20210226 20210226143201 ACCESSION NUMBER: 0001193125-21-059739 CONFORMED SUBMISSION TYPE: DEFA14A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PIMCO Equity Series CENTRAL INDEX KEY: 0001479360 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: DEFA14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-22375 FILM NUMBER: 21687447 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 FORMER COMPANY: FORMER CONFORMED NAME: PIMCO Funds Equity Trust DATE OF NAME CHANGE: 20091223 0001479360 S000034646 PIMCO Dividend and Income Fund C000106724 Institutional Class PQIIX C000106725 I-2 PQIPX C000106728 Class A PQIZX C000106729 Class C PQICX C000203309 I-3 0001479360 S000048952 PIMCO RAE Emerging Markets Fund C000154250 Institutional Class PEIFX C000154251 I-2 PEPFX C000154254 Class A PEAFX 0001479360 S000048953 PIMCO RAE Global Fund C000154259 Class A PFQAX C000154262 Institutional Class PFQIX C000154263 I-2 PFQPX 0001479360 S000048954 PIMCO RAE Global ex-US Fund C000154264 Institutional Class PZRIX C000154265 I-2 PZRPX C000154268 Class A PZRAX 0001479360 S000048955 PIMCO RAE International Fund C000154271 Institutional Class PPYIX C000154272 I-2 PPYPX C000154275 Class A PPYAX 0001479360 S000048956 PIMCO RAE US Fund C000154278 Institutional Class PKAIX C000154279 I-2 PKAPX C000154282 Class A PKAAX C000203310 I-3 0001479360 S000048957 PIMCO RAE US Small Fund C000154285 Institutional Class PMJIX C000154286 I-2 PMJPX C000154289 Class A PMJAX 0001479360 S000057223 PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF C000182353 PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF MFEM 0001479360 S000057224 PIMCO RAFI Dynamic Multi-Factor International Equity ETF C000182354 PIMCO RAFI Dynamic Multi-Factor International Equity ETF MFDX 0001479360 S000057225 PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF C000182355 PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF MFUS 0001479360 S000066985 PIMCO RAFI ESG U.S. ETF C000215599 PIMCO RAFI ESG U.S. ETF RAFE DEFA14A 1 d119615ddefa14a.htm DEFA14A DEFA14A

SCHEDULE 14A INFORMATION

Proxy Statement Pursuant to Section 14(a) of

the Securities Exchange Act of 1934

Filed by the Registrant [X]

Filed by a Party other than the Registrant [    ]

Check the appropriate box:

[    ]

Preliminary Proxy Statement

[    ]

Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))

[    ]

Definitive Proxy Statement

[X]

Definitive Additional Materials

[    ]

Soliciting Material Pursuant to Section 240.14a-12

                             PIMCO EQUITY SERIES                            

(Name of Registrant as Specified In Its Charter)

 

      

 

       
  (Name of Person(s) Filing Proxy Statement, if other than the Registrant)  

Payment of Filing Fee (Check the appropriate box):

[X]

No fee required.

[    ]

Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.

(1)   Title of each class of securities to which transaction applies:  
 

 

       
(2)   Aggregate number of securities to which transaction applies:  
 

 

  
(3)   Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):  
 

 

  
(4)   Proposed maximum aggregate value of transaction:  
 

 

  
(5)   Total fee paid:  
 

 

  
[    ]

Fee paid previously with preliminary materials.

[    ]

Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

(1)    Amount Previously Paid        
  

 

   
(2)    Form, Schedule or Registration Statement No.:   
  

 

   
(3)    Filing Party:   
  

 

   
(4)    Date Filed:   
  

 

   

LOGO   

PIMCO Equity Series

650 Newport Center Drive

Newport Beach, California 92660

(888) 877-4626

 

 

March 2, 2021

 

Subject:   PIMCO RAE EMERGING MARKETS FUND
  PIMCO RAE GLOBAL FUND
  PIMCO RAE GLOBAL EX-US FUND
  PIMCO RAE INTERNATIONAL FUND
  PIMCO RAE US FUND
  PIMCO RAE US SMALL FUND
  PIMCO DIVIDEND AND INCOME FUND

Dear Valued Shareholder:

We recently sent you information regarding the upcoming Special Meeting for the above-listed Funds scheduled for March 26, 2021. According to our records, you have not yet voted on the proposed new portfolio implementation agreement. If you don’t have the Proxy Statement we mailed previously, you can review it online at https://vote.proxyonline.com/PIMCOFunds/docs/PES_Proxy.pdf.

We urge you to read the Proxy Statement because it contains important information. You may also obtain a copy of the Proxy Statement for free at the Securities and Exchange Commission’s website.

We are working with AST Fund Solutions to manage the voting process. AST will begin calling shareholders to ensure the fund receives a sufficient number of votes on the proposal. To avoid receiving calls on this matter, please vote as soon as possible.

Voting is fast and easy using one of the options below:

 

•  

Visit the website on the enclosed proxy card and enter your control number.

•  

Call (888) 548-6498 to speak with a representative.

•  

Sign, date and return the enclosed proxy card in the postage-paid envelope provided.

If you vote now, you will ensure your shares are represented and we will not contact you further on this issue. Detailed information about the Special Meeting and proposed new portfolio implementation agreement can be found in the Proxy Statement.

If you have any questions about the proposal, contact your financial advisor, client service representative or AST Fund Solutions at (888) 548-6498.

Thank you for your attention and cooperation.

LOGO   

PIMCO Equity Series

650 Newport Center Drive

Newport Beach, California 92660

(888) 877-4626

 

 

March 2, 2021

 

Subject:   PIMCO RAFI DYNAMIC MULTI-FACTOR EMERGING MARKETS EQUITY ETF
  PIMCO RAFI DYNAMIC MULTI-FACTOR U.S. EQUITY ETF
  PIMCO RAFI DYNAMIC MULTI-FACTOR INTERNATIONAL EQUITY ETF
  PIMCO RAFI ESG U.S. ETF

Dear Valued Shareholder:

We recently sent you information regarding the upcoming Special Meeting for the above-listed Funds scheduled for March 26, 2021. According to our records, you have not yet voted on the proposed new sub-advisory agreement. If you don’t have the Proxy Statement we mailed previously, you can review it online at https://vote.proxyonline.com/PIMCOFunds/docs/PES_Proxy.pdf.

We urge you to read the Proxy Statement because it contains important information. You may also obtain a copy of the Proxy Statement for free at the Securities and Exchange Commission’s website.

We are working with AST Fund Solutions to manage the voting process. AST will begin calling shareholders to ensure the fund receives a sufficient number of votes on the proposal. To avoid receiving calls on this matter, please vote as soon as possible.

Voting is fast and easy using one of the options below:

 

•  

Visit the website on the enclosed proxy card and enter your control number.

•  

Call (888) 548-6498 to speak with a representative.

•  

Sign, date and return the enclosed proxy card in the postage-paid envelope provided.

If you vote now, you will ensure your shares are represented and we will not contact you further on this issue. Detailed information about the Special Meeting and proposed new sub-advisory agreement can be found in the Proxy Statement.

If you have any questions about the proposal, contact your financial advisor, client service representative or AST Fund Solutions at (888) 548-6498.

Thank you for your attention and cooperation.

GRAPHIC 2 g119615g0226124238165.jpg GRAPHIC begin 644 g119615g0226124238165.jpg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end