0001410368-17-001322.txt : 20170828
0001410368-17-001322.hdr.sgml : 20170828
20170828163647
ACCESSION NUMBER: 0001410368-17-001322
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170828
DATE AS OF CHANGE: 20170828
EFFECTIVENESS DATE: 20170828
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PIMCO Dynamic Credit & Mortgage Income Fund
CENTRAL INDEX KEY: 0001558629
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22758
FILM NUMBER: 171054970
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
FORMER COMPANY:
FORMER CONFORMED NAME: PIMCO Dynamic Credit Income Fund
DATE OF NAME CHANGE: 20120920
NSAR-B
1
px5d.fil
ANSWER FILE
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PAGE 8
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PAGE 9
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PAGE 11
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SIGNATURE WILLIAM G. GALIPEAU
TITLE TREASURER
EX-99.77B ACCT LTTR
2
77b.txt
AUDIT LETTER
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of PIMCO Dynamic Credit and
Mortgage Income Fund
In planning and performing our audits of the financial statements of PIMCO
Dynamic Credit and Mortgage Income Fund (formerly PIMCO Dynamic Credit
Income Fund) (the Fund) as of and for the year ended June 30, 2017, in
accordance with the standards of the Public Company Accounting Oversight
Board (United States), we considered the Funds 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 NSAR, but not for the purpose of expressing an opinion on the
effectiveness of the Funds internal control over financial reporting.
Accordingly, we do not express an opinion on the effectiveness of the Funds
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 funds
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 funds 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 funds 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 Funds annual or interim financial statements
will not be prevented or detected on a timely basis.
Our consideration of the Funds 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 Public Company Accounting Oversight Board (United States). However, we
noted no deficiencies in the Funds 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 June 30, 2017.
This report is intended solely for the information and use of management and
the Board of Trustees of PIMCO Dynamic Credit and Mortgage 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.
PricewaterhouseCoopers LLP
Kansas City, Missouri
August 25, 2017
EX-99.77C VOTES
3
77c.txt
SHAREHOLDER VOTE
Annual Shareholder Meeting Results
PCM Fund, Inc., PIMCO Income Opportunity Fund and
PIMCO Dynamic Credit and Mortgage Income Fund held their annual
meetings ofshareholders on April 28, 2017. Shareholders voted
as indicated below:
PIMCO Dynamic Credit and Mortgage Income Fund
Re-election of Hans W. Kertess Class I to serve until the annual
Meeting held during the 2019-2020 fiscal year
Withheld
Affirmative Authority
114,830,372 2,243,477
Re-election of Alan Rappaport Class I to serve until the annual
Meeting held during the 2019-2020 fiscal year
114,967,497 2,106,352
Re-election of William B. Ogden, IV Class I to serve until the
annual Meeting held during the 2019-2020 fiscal year
114,828,630 2,245,219
The other members of the Board of Trustees at the time of the
meeting, namely, Ms. Deborah A. DeCotis and Messrs. Bradford K.
Gallagher, James A. Jacobson, John C. Maney and Craig A.
Dawson continued to serve as Trustees of the Fund.