|
Common Shares | ||||
|
Inst Class |
Class A-1 |
Class A-2 |
Class A-3 |
Class A-4 |
PIMCO Flexible Credit Income Fund |
PFLEX |
PFAIX |
PFALX |
PFASX |
PFFLX |
|
Institutional
Class |
Class A-1 |
Class A-2 |
Class A-3 |
Class A-4 |
Maximum Initial Sales Charge
(Load) Imposed on Purchases
(as a percentage of offering
price) |
None(1) |
None(1) |
3.00%(2) |
None(1) |
3.00%(2) |
Maximum Early Withdrawal
Charge (Load) (as a percentage
of the lower of the original
purchase price or repurchase
price) |
None |
None |
1.00% |
None |
1.00% |
Dividend Reinvestment Fees |
None |
None |
None |
None |
None |
|
Institutional
Class |
Class A-1 |
Class A-2 |
Class A-3 |
Class A-4 |
Management Fees(1) |
2.29% |
2.29% |
2.29% |
2.29% |
2.29% |
Distribution and/or Service
(12b-1) Fees |
N/A |
0.50% |
0.50% |
0.75% |
0.75% |
Interested Payments on
Borrowed Funds(2) |
0.76% |
0.76% |
0.76% |
0.76% |
0.76% |
Other Expenses(3) |
0.01% |
0.01% |
0.01% |
0.01% |
0.01% |
Total Annual Fund
Operating Expenses(4) |
3.06% |
3.56% |
3.56% |
3.81% |
3.81% |
|
1 Year |
3 Years |
5 Years |
10 Years |
Institutional Class |
$31 |
$94 |
$161 |
$337 |
Class A-1 |
$36 |
$109 |
$184 |
$383 |
Class A-2 |
$75 |
$136 |
$209 |
$401 |
Class A-3 |
$38 |
$116 |
$196 |
$404 |
Class A-4 |
$77 |
$143 |
$220 |
$422 |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A-2 |
$65 |
$136 |
$209 |
$401 |
Class A-4 |
$67 |
$143 |
$220 |
$422 |
|
|
Investment
Operations |
Less
Distributions(c) | |||||
|
|
|
| |||||
Selected Per Share Data for the Year or Period Ended^: |
Net Asset Value
Beginning of Year or Period(a) |
Net Investment
Income (Loss)(b) |
Net Realized/
Unrealized Gain
(Loss) |
Total |
From Net
Investment Income |
From Net Realized Capital Gains |
Tax Basis Return
of Capital |
Total |
Institutional Class |
|
|
|
| ||||
06/30/2021 |
$8.21 |
$0.84
|
$1.40 |
$2.24 |
$(0.77)
|
$0.00
|
$0.00
|
$(0.77)
|
06/30/2020 |
10.09 |
0.73 |
(1.61) |
(0.88) |
(1.00) |
0.00 |
0.00 |
(1.00) |
06/30/2019 |
10.28 |
0.92 |
(0.10) |
0.82 |
(1.01) |
0.00 |
0.00 |
(1.01) |
06/30/2018 |
10.32 |
0.71 |
0.00 |
0.71 |
(0.75) |
0.00 |
0.00 |
(0.75) |
02/22/2017
- 06/30/2017 |
10.00 |
0.19 |
0.25 |
0.44 |
(0.12) |
0.00 |
0.00 |
(0.12) |
Class A-1 |
|
|
|
| ||||
01/29/2021 - 06/30/2021 |
$9.34
|
$0.32
|
$0.36
|
$0.68
|
$(0.34)
|
$0.00
|
$0.00
|
$(0.34) |
Class A-2 |
|
|
|
| ||||
06/30/2021 |
$8.21 |
$0.78
|
$1.38 |
$2.16 |
$(0.69)
|
$0.00
|
$0.00
|
$(0.69)
|
10/28/2019
- 06/30/2020 |
9.82 |
0.40 |
(1.33) |
(0.93) |
(0.68) |
0.00 |
0.00 |
(0.68) |
Class A-3 |
|
|
|
| ||||
11/09/2020 - 06/30/2021 |
$8.89
|
$0.48
|
$0.75
|
$1.23
|
$(0.44)
|
$0.00
|
$0.00
|
$(0.44) |
Class A-4 |
|
|
|
| ||||
06/30/2021 |
$8.21 |
$0.77
|
$1.39 |
$2.16 |
$(0.69)
|
$0.00
|
$0.00
|
$(0.69)
|
06/30/2020 |
10.09 |
0.64 |
(1.60) |
(0.96) |
(0.92) |
0.00 |
0.00 |
(0.92) |
11/30/2018 - 06/30/2019 |
10.17 |
0.52 |
0.06 |
0.58 |
(0.66) |
0.00 |
0.00 |
(0.66) |
|
|
Ratios/Supplemental Data | ||||||
|
|
|
Ratios to Average Net Assets |
| ||||
Net Asset Value End
of Year or Period(a) |
Total Return(a)
|
Net Assets End of
Year or Period (000s) |
Expenses(d) |
Expenses
Excluding Waivers(d) |
Expenses Excluding Interest Expense |
Expenses Excluding
Interest Expense and Waivers |
Net Investment
Income (Loss) |
Portfolio
Turnover Rate |
|
|
|
|
|
|
|
|
|
$9.68 |
28.02 % |
$1,971,964
|
3.06 % |
3.06 % |
2.30 % |
2.30 % |
9.19 % |
34 % |
8.21 |
(9.21) |
1,301,140 |
3.77 |
3.78 |
2.23 |
2.24 |
8.00 |
17 |
10.09 |
8.52 |
931,335 |
3.91 |
3.92 |
2.18 |
2.19 |
9.17 |
13 |
10.28 |
6.98 |
538,772 |
3.09 |
3.11 |
1.98 |
2.00 |
6.84 |
14 |
10.32 |
4.36 |
68,995 |
1.44 * |
5.70 * |
1.39 * |
5.65 * |
5.24 * |
11 |
|
|
|
|
|
|
|
|
|
$9.68
|
7.39 % |
$11
|
3.56 % * |
3.56 % * |
2.80 % * |
2.80 % * |
8.10 % * |
34 % |
|
|
|
|
|
|
|
|
|
$9.68 |
27.00 % |
$39,835 |
3.56 % |
3.56 % |
2.80 % |
2.80 % |
8.44 % |
34 % |
8.21 |
(9.77) |
5,476 |
4.27 * |
4.28 * |
2.73 * |
2.74 * |
7.32 * |
17 |
|
|
|
|
|
|
|
|
|
$9.68
|
14.01 % |
$88,868
|
3.81 % * |
3.81 % * |
3.05 % * |
3.05 % * |
7.81 % * |
34 % |
|
|
|
|
|
|
|
|
|
$9.68 |
27.05 % |
$116,482 |
3.81 % |
3.81 % |
3.05 % |
3.05 % |
8.42 % |
34 % |
8.21 |
(9.95) |
71,662 |
4.52 |
4.53 |
2.98 |
2.99 |
7.07 |
17 |
10.09 |
5.99 |
25,482 |
4.66 * |
4.67 * |
2.93 * |
2.94 * |
9.06 * |
14 |
Assumed Portfolio Total Return |
(10.00)% |
(5.00)% |
0.00% |
5.00% |
10.00% |
Common Shares Total Return (net of expenses) |
(17.28)% |
(8.97)% |
(0.65)% |
7.66% |
15.97% |
Name |
Since |
Recent Professional Experience |
Daniel J. Ivascyn |
Inception |
Group Chief Investment Officer and Managing Director, PIMCO. Mr. Ivascyn joined PIMCO in 1998,
previously having been associated with Bear Stearns in the asset backed securities
group, as well as T. Rowe Price and Fidelity Investments. He has
investment experience since 1992 and holds an MBA in analytic
finance from the University of Chicago Graduate School of Business and a bachelor’s degree in economics from Occidental College. |
Mark Kiesel |
Inception |
Chief Investment Officer Global Credit and Managing Director, PIMCO. Mr. Kiesel is a member of the
PIMCO Investment Committee, a generalist portfolio manager and the global head of
corporate bond portfolio management. He has served as a portfolio
manager, head of equity derivatives and as a senior Credit Analyst
since joining PIMCO in 1996. |
Alfred T. Murata |
Inception |
Managing Director, PIMCO. Mr. Murata is a portfolio manager on the mortgage credit team. Prior to
joining PIMCO in 2001, he researched and implemented exotic equity and
interest-rate derivatives at Nikko Financial
Technologies. |
Marc Seidner |
Inception |
Chief Investment Officer Non-traditional Strategies and Managing Director, PIMCO. Mr. Seidner is head
of portfolio management in the New York office. He is also a generalist portfolio
manager and a member of the Investment Committee. He rejoined PIMCO
in November 2014 after serving as head of fixed income at GMO LLC,
and previously he was a PIMCO Managing Director, generalist portfolio
manager and member of the Investment Committee until January 2014. Prior to
joining PIMCO in 2009, he was a managing director and domestic fixed
income portfolio manager at Harvard Management Company. Previously,
he was director of active core strategies at Standish Mellon Asset Management and a senior portfolio manager at Fidelity Management and Research. He has 29 years of investment
experience and holds an undergraduate degree in economics from Boston
College. |
Name |
Since |
Recent Professional Experience |
Christian Stracke |
Inception |
Managing Director, PIMCO. Mr. Stracke is a managing director in the Newport Beach office, global head
of the credit research group, and co-head of PIMCO’s BRAVO opportunistic
private strategies complex. Mr. Stracke is also a senior portfolio
manager across PIMCO’s suite of private credit strategies, investing across mortgage, real estate, specialty financials, corporate special situations, and performing private
corporate credit. In addition to his portfolio management responsibilities, he
sits on the firm’s Executive Committee. |
Eve Tournier |
Inception |
Managing Director, PIMCO. Ms. Tournier is a managing director in the London office and head of
pan-European credit portfolio management. She is the lead portfolio manager for
the firm’s global multi-sector credit strategies as well as
dedicated European credit and European incomeoriented portfolios,
and she is also a member of the European portfolio committee. |
Jamie Weinstein |
November 2020 |
Managing Director, PIMCO. Mr. Weinstein is a managing director and portfolio manager and head of
corporate special situations, focusing on PIMCO’s opportunistic and
alternative strategies within corporate credit. Prior to joining
PIMCO in 2019, he worked for KKR as a portfolio manager for the
firm’s special situations funds and portfolios, which he managed since their
inception in 2009. He was also a member of the firm’s special
situations, real estate, and India NBFC investment committees and
the KKR credit portfolio management committee. Previously, Mr. Weinstein was a
portfolio manager with responsibility across KKR’s credit
strategies. He has 18 years of investment experience and holds an
MBA from Stanford University and a bachelor’s degree in civil engineering
and operations research from Princeton University.
|
Initial Investment |
Subsequent Investments |
$2,500 per account |
$50 |
Initial Investment |
Subsequent Investments |
$1 million per account |
None |
Your Investment |
As a % of
offering price |
As a % of net
amount invested |
Less than $100,000 |
2.00%(1) |
2.04%(1) |
$100,000 - $249,999.99 |
1.00% |
1.01% |
$250,000 and over |
0.00%(2) |
0.00%(2) |
Your Investment |
As a % of
offering price |
As a % of net
amount invested |
Less than $100,000 |
2.00%(1) |
2.04%(1) |
$100,000 - $249,999.99 |
1.00% |
1.01% |
$250,000 and over |
0.00%(2) |
0.00%(2) |
(1) |
(2) |
(3) |
(4) |
Title of Class |
Amount Authorized |
Amount Held by the Fund
for its Account |
Amount
Outstanding
Exclusive of
Amount Shown
Under(3) |
Institutional Class Common Shares |
Unlimited |
0 |
223,948,347 |
Class A-1 Common Shares |
Unlimited |
0 |
1,124 |
Class A-2 Common Shares |
Unlimited |
0 |
6,690,903 |
Class A-3 Common Shares |
Unlimited |
0 |
15,908,335 |
Class A-4 Common Shares |
Unlimited |
0 |
13,081,705 |
Break Point |
As a % of
offering price |
As a % of
net amount invested |
Less than $500,000 |
2.0% |
2.04% |
$500,000 - $999,999 |
1.0% |
1.01% |
$1,000,000 or more |
0.50% |
0.502% |
Name
and Year of Birth |
Position(s) Held with the Fund |
Term of Office and Length of Time Served(2) |
Principal Occupation(s) During the Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee(3)
|
Other
Directorships Held by Trustee During the Past 5 Years |
Deborah A. DeCotis 1952 |
Chair of the Board, Trustee |
Since inception |
Advisory Director, Morgan Stanley & Co., Inc. (since 1996); Member, Circle Financial Group (since 2009); Member, Council on Foreign Relations (since 2013); Trustee, Smith College (since 2017); and Director, Watford Re (since 2017). Formerly, Co-Chair Special Projects Committee, Memorial Sloan Kettering (2005-2015); Trustee, Stanford University (2010- 2015); Principal, LaLoop LLC, a retail accessories company (1999-2014); Director, Helena Rubenstein Foundation (1997-2010); and Director, Armor Holdings (2002-2010). |
29 |
Trustee, Allianz Funds
(2011-2021);
Trustee, Virtus Funds
(2021-Present). |
Sarah E. Cogan 1956 |
Trustee |
Since 2019 |
Retired Partner, Simpson Thacher & Bartlett LLP (law firm); Director, Girl Scouts of Greater New York, Inc. (since 2016); and Trustee, Natural Resources Defense Council, Inc. (since 2013). Formerly, Partner, Simpson Thacher & Bartlett LLP (1989-2018). |
29 |
Trustee, Allianz Funds
(2019-2021);
Trustee, Virtus Funds
(2021-Present). |
Joseph B. Kittredge, Jr. 1954 |
Trustee |
Since 2020 |
Trustee, Vermont Law School (since 2019); Director and Treasurer, Center for Reproductive Rights (since 2015); Formerly, Director (2013-2020) and Chair (2018-2020), ACLU of Massachusetts; General Counsel, Grantham, Mayo, Van Otterloo & Co. LLC (2005-2018) and Partner (2007-2018); President, GMO Trust (institutional mutual funds) (2009-2018); Chief Executive Officer, GMO Trust (2009-2015); President and Chief Executive Officer, GMO Series Trust (platform based mutual funds) (2011-2013). |
29 |
Trustee, GMO Trust
(2010- 2018);
Chairman of the Board of Trustees,
GMO Series Trust (2011-
2018). |
Name
and Year of Birth |
Position(s) Held with the Fund |
Term of Office and Length of Time Served(2) |
Principal Occupation(s) During the Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee(3)
|
Other
Directorships Held by Trustee During the Past 5 Years |
William B. Ogden, IV 1945 |
Trustee |
Since inception |
Retired. Formerly, Asset Management Industry Consultant; and Managing Director, Investment Banking Division of Citigroup Global Markets Inc. |
29 |
Trustee, Allianz Funds
(2006-2021);
Trustee, Virtus AllianzGI
Closed-End Funds
(2021-Present). |
Alan Rappaport 1953 |
Trustee |
Since inception |
Adjunct Professor, New York University Stern School of Business (since 2011); Lecturer, Stanford University Graduate School of Business (since 2013); and Director, Victory Capital Holdings, Inc., an asset management firm (since 2013). Formerly, Advisory Director (formerly Vice Chairman), Roundtable Investment Partners (2009-2018); Member of Board of Overseers, NYU Langone Medical Center (2015-2016); Trustee, American Museum of Natural History (2005-2015); Trustee, NYU Langone Medical Center (2007-2015); and Vice Chairman (formerly, Chairman and President), U.S. Trust (formerly, Private Bank of Bank of America, the predecessor entity of U.S. Trust) (2001-2008). |
29 |
Trustee, Allianz Funds
(2010-2021);
Chairman of the Board of Trustees,
Virtus AllianzGI Closed-End
Funds (2021-Present). |
Name
and Year of Birth |
Position(s) Held with the Fund |
Term of Office and Length of Time Served(2) |
Principal Occupation(s) During the Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee(3)
|
Other
Directorships Held by Trustee During the Past 5 Years |
E. Grace Vandecruze(4) 1963 |
Trustee |
Since 2021 |
Founder and Managing Director, Grace Global Capital LLC, a strategic advisory firm to the insurance industry (since 2006); Director and Member of the Audit Committee and the Wealth Solutions Advisory Committee, M Financial Group, a life insurance company (since 2015); Director, The Doctors Company, a medical malpractice insurance company (since 2020); Chief Financial Officer, Athena Technology Acquisition Corp, a special purpose acquisition company (since 2021); Director, Link Logistics REIT, a real estate company (since 2021); Director and Member of the Investment & Risk Committee, Resolution Life Group Holdings, a global life insurance group (since 2021); and Director, Wharton Graduate Executive Board. Formerly, Director, Resolution Holdings (2015-2019). Formerly, Director, SBLI USA, a life insurance company (2015-2018). |
29 |
None. |
Name,
Address and Year of Birth |
Position(s) Held with the Fund |
Term of Office and Length of Time Served(2) |
Principal Occupation(s) During the Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee(3)
|
Other
Directorships Held by Trustee During the Past 5 Years |
David N. Fisher(5)
1968
650 Newport
Center Drive,
Newport Beach, CA 92660 |
Trustee |
Since 2019 |
Managing Director and Co-Head of U.S. Global Wealth Management Strategic Accounts, PIMCO (since 2021); Managing Director and Head of Traditional Product Strategies, PIMCO (2015-2021); and Director, Court Appointed Special Advocates (CASA) of Orange County, a non-profit organization (since 2015). Formerly, Global Bond Strategist, PIMCO (2008-2015); and Managing Director and Head of Global Fixed Income, HSBC Global Asset Management (2005-2008). |
29 |
None. |
Name,
Address and Year of Birth |
Position(s) Held with the Fund |
Term of Office and Length of Time Served(2) |
Principal Occupation(s) During the Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee(3)
|
Other
Directorships Held by Trustee During the Past 5 Years |
John C. Maney(5)
1959
650 Newport
Center Drive,
Newport Beach, CA 92660 |
Trustee |
Since inception |
Senior Advisor to PIMCO (since June 2021); Non-Executive Director and a member of the Compensation Committee of PIMCO Europe Ltd (since December 2017). Formerly, Consultant to PIMCO (January 2020-June 2021); Managing Director of Allianz Asset Management of America L.P. (2005-2019); member of the Management Board and Chief Operating Officer of Allianz Asset Management of America L.P (2006-2019); Member of the Management Board of Allianz Global Investors Fund Management LLC (2007-2014) and Managing Director of Allianz Global Investors Fund Management LLC (2011-2014). |
29 |
None. |
Name, Address and Year of Birth |
Position(s) Held with Fund |
Term of Office and Length of Time Served |
Principal Occupation(s) During the Past 5 Years |
Eric D. Johnson1
1970 |
President |
Since inception |
Executive Vice President and Head of Funds Business Group Americas, PIMCO. President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Name, Address and Year of Birth |
Position(s) Held with Fund |
Term of Office and Length of Time Served |
Principal Occupation(s) During the Past 5 Years |
Keisha Audain-Pressley2
1975 |
Chief Compliance Officer |
Since inception |
Executive Vice President and Deputy Chief Compliance Officer, PIMCO. Chief Compliance Officer, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Ryan Leshaw1
1980 |
Chief Legal Officer |
Since inception |
Executive Vice President and Senior Counsel, PIMCO. Chief Legal Officer, PIMCO-Managed Funds. Chief Legal Officer and Secretary, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Formerly, Associate, Willkie Farr & Gallagher LLP. |
Joshua D. Ratner2
1976 |
Senior Vice President |
Since inception |
Executive Vice President and Head of Americas Operations, PIMCO. Senior Vice President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Peter G. Strelow1
1970 |
Senior Vice President |
Since inception |
Managing Director and Co-Chief Operating Officer, PIMCO. Senior Vice President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Formerly, Chief Administrative Officer, PIMCO. |
Wu-Kwan Kit1
1981 |
Vice President Senior Counsel and Secretary |
Since inception |
Senior Vice President and Senior Counsel, PIMCO. Vice President, Senior Counsel and Secretary, PIMCO-Managed Funds. Assistant Secretary, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Formerly, Assistant General Counsel, VanEck Associates Corp. |
Jeffrey A. Byer1
1976 |
Vice President |
Since inception |
Executive Vice President, PIMCO. Vice President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Name, Address and Year of Birth |
Position(s) Held with Fund |
Term of Office and Length of Time Served |
Principal Occupation(s) During the Past 5 Years |
Elizabeth A. Duggan1
1964 |
Vice President |
Since March 2021 |
Executive Vice President, PIMCO. Vice President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Mark A. Jelic1
1981 |
Vice President |
Since September 2021 |
Senior Vice President, PIMCO. Vice President, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Brian J. Pittluck1
1977 |
Vice President |
Since inception |
Senior Vice President, PIMCO. Vice President, PIMCO Managed Funds, PIMCO Funds, PIMCO Variable |
Bijal Parikh1
1978 |
Treasurer |
Since inception |
Executive Vice President, PIMCO. Treasurer, PIMCO- Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series VIT. |
Erik C. Brown3
1967 |
Assistant Treasurer |
Since inception |
Executive Vice President, PIMCO. Assistant Treasurer, PIMCO-Managed Funds, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Brandon T. Evans1
1982 |
Deputy Treasurer |
Since 2022 |
Senior Vice President, PIMCO. Deputy Treasurer, PIMCO-Managed Funds. Assistant Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Jason J. Nagler3
1982 |
Assistant Treasurer |
Since inception |
Senior Vice President, PIMCO. Assistant Treasurer, PIMCO-Managed Funds. Deputy Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Name of Trustee |
Dollar
Range of Equity Securities in the Fund |
Aggregate Dollar Range of Equity Securities in All Registered Investment Companies Overseen by Trustee in Family of Investment Companies* |
Independent Trustees |
|
|
Sarah E. Cogan |
None |
$50,001-$100,000 |
Deborah A. DeCotis |
None |
Over $100,000 |
Hans W. Kertess** |
None |
Over $100,000 |
Joseph B. Kittredge, Jr. |
None |
Over $100,000 |
William B. Ogden, IV |
None |
Over $100,000 |
Alan Rappaport |
None |
Over $100,000 |
E. Grace Vandecruze*** |
N/A |
N/A |
Interested Trustees |
|
|
David N. Fisher |
None |
Over $100,000 |
John C. Maney |
Over $100,000 |
Over $100,000 |
Name of Trustee |
Name of
Owners and Relations to Trustee |
Company |
Title of
Class |
Value
of Securities |
Percent of Class |
Sarah E. Cogan |
None |
N/A |
N/A |
N/A |
N/A |
Deborah A. DeCotis |
None |
N/A |
N/A |
N/A |
N/A |
Hans W. Kertess* |
None |
N/A |
N/A |
N/A |
N/A |
Joseph B. Kittredge, Jr. |
None |
N/A |
N/A |
N/A |
N/A |
William B. Ogden, IV** |
None |
N/A |
N/A |
N/A |
N/A |
Alan Rappaport |
None |
N/A |
N/A |
N/A |
N/A |
E. Grace Vandecruze*** |
None |
N/A |
N/A |
N/A |
N/A |
Name/Address of Shareholder |
Share Class |
Percentage of Class |
CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUNDS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO, CA 94105-1905 |
Institutional |
36.63%* |
ALLIANZ FUND INVESTMENTS INC 1633 BROADWAY NEW YORK, NY 10019 |
Class A-1 |
100% |
LPL FINANCIAL FBO CUSTOMER ACCOUNTS ATTN: MUTUAL FUND OPERATIONS 4707 EXECUTIVE DR SAN DIEGO, CA 92121-3091 |
Class A-2 |
5.83% |
MORGAN STANLEY SMITH BARNEY LLC 1 NEW YORK PLAZA 12TH FL NEW YORK, NY 10004-1932 |
Class A-3 |
25.26% |
Name of Trustee |
Aggregate compensation
from the Fund for the Fiscal
Year Ended June 30, 2021*# |
Pension
or Retirement Benefits
Accrued as Part of Fund
Expenses |
Estimated Annual Benefits
Upon Retirement |
Total Compensation from the Fund
Complex Paid to the Trustees for
the Calendar Year Ended
December 31, 2020* |
Sarah E. Cogan |
$19,250 |
N/A |
N/A |
$470,000 |
Deborah A. DeCotis |
$25,667 |
N/A |
N/A |
$535,000 |
James A. Jacobson** |
$11,948 |
N/A |
N/A |
$535,000 |
Hans W. Kertess*** |
$19,250 |
N/A |
N/A |
$460,000 |
Joseph B. Kittredge**** |
$21,355 |
N/A |
N/A |
$168,750 |
Name of Trustee |
Aggregate compensation
from the Fund for the Fiscal
Year Ended June 30, 2021*# |
Pension
or Retirement Benefits
Accrued as Part of Fund
Expenses |
Estimated Annual Benefits
Upon Retirement |
Total Compensation from the Fund
Complex Paid to the Trustees for
the Calendar Year Ended
December 31, 2020* |
William B. Ogden, IV |
$19,250 |
N/A |
N/A |
$465,000 |
Alan Rappaport |
$19,250 |
N/A |
N/A |
$535,000 |
E. Grace Vandecruze***** |
$4,963 |
N/A |
N/A |
N/A |
Fiscal Year |
Management Fee Paid by Fund |
June 30, 2021 |
$38,827,766 |
June 30, 2020 |
$25,676,021 |
June 30, 2019 |
$15,273,806 |
|
Total
Number of Other Accounts |
Total
Assets of All Other Accounts (in $ millions) |
Number of
Other Accounts Paying a Performance Fee |
Total Assets of Other Accounts Paying a Performance Fee
(in $ millions) |
Daniel J. Ivascyn |
|
|
|
|
Registered Investment Companies |
20 |
$185,390.28
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
16 |
$96,030.50 |
1 |
$3.60 |
Other Accounts |
7 |
$2,358.66 |
1 |
$271.10 |
Mark Kiesel |
|
|
|
|
Registered Investment Companies |
23 |
$159,118.70
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
50 |
$95,089.19 |
8 |
$40,740.64 |
Other Accounts |
98 |
$76,219.11 |
6 |
$3,539.71 |
Alfred T. Murata |
|
|
|
|
Registered Investment Companies |
21 |
$187,342.65
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
15 |
$40,397.18 |
1 |
$3.60 |
Other Accounts |
6 |
$1,955.75 |
0 |
$0.00 |
Marc Seidner |
|
|
|
|
Registered Investment Companies |
4 |
$5,643.17 |
0 |
$0.00 |
Other Pooled Investment Vehicles |
20 |
$12,895.06 |
2 |
$903.63 |
Other Accounts |
30 |
$17,866.13 |
10 |
$9,922.24 |
|
Total
Number of Other Accounts |
Total
Assets of All Other Accounts (in $ millions) |
Number of
Other Accounts Paying a Performance Fee |
Total Assets of Other Accounts Paying a Performance Fee
(in $ millions) |
Christian Stracke |
|
|
|
|
Registered Investment Companies |
2 |
$961.45 |
0 |
$0.00 |
Other Pooled Investment Vehicles |
1 |
$102.38 |
0 |
$0.00 |
Other Accounts |
1 |
$2.57 |
0 |
$0.00 |
Eve Tournier |
|
|
|
|
Registered Investment Companies |
3 |
$14,969.72
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
24 |
$33,385.78
|
2 |
$885.65 |
Other Accounts |
23 |
$7,337.42 |
3 |
$709.51 |
Jamie Weinstein |
|
|
|
|
Registered Investment Companies |
1 |
$2,231.72 |
0 |
$0.00 |
Other Pooled Investment Vehicles |
3 |
$6,828.45 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Name of Portfolio Manager |
Dollar
Range of Equity Securities in the Fund |
Daniel J. Ivascyn |
Over $1,000,000 |
Mark Kiesel |
None |
Alfred T. Murata |
Over $1,000,000 |
Marc Seidner |
None |
Christian Stracke |
None |
Eve Tournier |
$100,001-$500,000 |
Jamie Weinstein |
None |
Facsimile: |
|
844.643.0432 |
|
Overnight Mail: PIMCO Interval Funds C/O DST Systems, Inc. 430 W. 7th Street Suite 219993 Kansas City, MO 64105-1407 |
RegularMail: PIMCO Interval Funds P.O. Box 219993 Kansas City, MO 64121-9993 |
E-mail: |
|
pimcoaltprocessing@dstsystems.com |
|
Initial Investment |
Subsequent Investments |
$2,500 per account |
$50 |
Initial Investment |
Subsequent Investments |
$1 million per account |
None |
Your Investment |
As a % of
offering price |
As a % of
net amount invested |
Discount or commission
to dealers as %
of public offering price |
Less than $100,000 |
2.00%* |
2.04%* |
2.00%1
|
$100,000 – $249,999.99 |
1.00% |
1.01% |
1.00% |
$250,000 and over |
0.00%2
|
0.00%2
|
0.00% |
Your Investment |
As a % of
offering price |
As a % of
net amount invested |
Discount or commission
to dealers as %
of public offering price |
Less than $100,000 |
2.00%* |
2.04%* |
2.00%1
|
$100,000 – $249,999.99 |
1.00% |
1.01% |
1.00%2
|
$250,000 and over |
0.00%3
|
0.00%3
|
0.00%4
|
Facsimile: |
|
844.643.0432 |
|
Overnight Mail: |
Regular Mail: |
PIMCO Interval Funds |
PIMCO Interval Funds |
C/O DST Systems, Inc. |
P.O. Box 219993 |
430 W. 7th Street |
Kansas City, MO 64121-9993 |
Suite 219993 |
|
Kansas City, MO 64105-1407 |
|
Email: |
|
pimcoaltprocessing@dstsystems.com |
|
Fiscal Year |
Brokerage
Commissions Paid |
June 30, 2021 |
$18,824 |
June 30, 2020 |
N/A |
June 30, 2019 |
N/A |
Broker or Dealer |
Value of Securities
Held by the Fund as
of June 30, 2021 ($000) |
Goldman Sachs & Co. |
$98,195 |
JPMorgan Chase & Co. |
75,696 |
Banc of America Securities LLC |
66,032 |
Credit Suisse (USA), Inc. |
55,914 |
Citigroup Global Markets, Inc. |
42,388 |
Nomura Securities International Inc. |
22,159 |
Barclays, Inc. |
12,225 |
UBS SECURITIES LLC |
5,953 |
Deutsche Bank Securities, Inc. |
5,050 |
HSBC Securities (USA), Inc. |
4,023 |
SG AMERICAS SECURITIES |
992 |