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 |
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). |
30 |
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). |
30 |
Trustee, Allianz Funds
(2019-2021);
Trustee, Virtus Funds
(2021-Present). |
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 |
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, The Doctors Company, a medical malpractice insurance company (since 2020); Chief Financial Officer, ShoulderUp 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 and Member of the Audit Committee and the Wealth Solutions Advisory Committee, M Financial Group, a life insurance company (2015-2021); Director, SBLI USA, a life insurance company (2015-2018). |
30 |
None |
Joseph B. Kittredge, Jr.
1954 |
Trustee |
Since 2020 |
Trustee (since 2019) and Governance Committee Chair (since 2020), Vermont Law School; 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). |
30 |
Trustee, GMO Trust
(2010-2018);
Chairman of the Board of Trustees,
GMO Series Trust
(2011-2018). |
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. |
30 |
Trustee, Allianz Funds
(2006-2021);
Trustee, Virtus AllianzGI
Closed-End Funds
(2021-Present). |
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 |
Alan Rappaport
1953 |
Trustee |
Since inception. |
Director, Victory Capital Holdings, Inc., an asset management firm (since 2013). Formerly, Adjunct Professor, New York University Stern School of Business (2011-2020); Lecturer, Stanford University Graduate School of Business (2013-2020); 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). |
30 |
Trustee, Allianz Funds
(2010-2021);
Trustee, Virtus AllianzGI
Closed-End Funds
(2021-Present). |
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 1633 Broadway, New York, NY 10019 |
Trustee |
Since 2019 |
Managing Director and Co-Head of U.S. Global Wealth Management Strategic Accounts, PIMCO (since 2021); and Director, Court Appointed Special Advocates (CASA) of Orange County, a non-profit organization (since 2015). Formerly, Managing Director and Head of Traditional Product Strategies, PIMCO (2015-2021); Global Bond Strategist, PIMCO (2008-2015); and Managing Director and Head of Global Fixed Income, HSBC Global Asset Management (2005-2008). |
30 |
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). |
30 |
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 2019 |
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. |
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 G. Leshaw1 1980 |
Chief Legal Officer |
Since 2019 |
Executive Vice President and Senior Counsel, PIMCO. Chief Legal Officer, PIMCO-Managed Funds. Chief Legal Offficer 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 2019 |
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 2019 |
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. |
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 |
Wu-Kwan Kit1
1981 |
Vice President, Senior Counsel and Secretary |
Since 2018 |
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 2020 |
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. |
Elizabeth A. Duggan1 1964 |
Vice President |
Since 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
|
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 2020 |
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. |
Bijal Parikh1 1978 |
Treasurer |
Since 2021 |
Executive Vice President, PIMCO. 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 March 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. |
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 |
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. |
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 |
Over $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*** |
None |
None |
Interested Trustees |
|
|
David N. Fisher |
Over $100,000 |
Over $100,000 |
John C. Maney |
None |
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(1)
211 MAIN ST
SAN FRANCISCO, CA 94105-1905 |
Institutional |
33.56% |
MORGAN STANLEY SMITH BARNEY LLC 1 NEW YORK PLAZA 12TH FL NEW YORK, NY 10004-1932 |
Institutional |
20.35% |
BRENT R HARRIS TTEE BRENT R HARRIS SEPARATE PROPERTY TR 1633 BROADWAY NEW YORK, NY 10019 |
Institutional |
5.74% |
UBS FINANCIAL SERVICES INC FBO SUZANNE TYNER TRUST UAD SUZANNE TYNER
TTEE(1)
26590 DRUMMOND CT
FRANKLIN, MI 48025-1077 |
Class A-2 |
37.70% |
UBS FINANCIAL SERVICES INC FBO CHARLES M FALCONE AIMEE L FALCONE
741 SW BAY POINTE CIR
PALM CITY, FL 34990-1755 |
Class A-2 |
5.94% |
MORGAN STANLEY SMITH BARNEY
LLC(1)
1 NEW YORK PLAZA 12TH FL
NEW YORK, NY 10004-1932 |
Class A-3 |
94.13% |
BANC OF AMERICA PREFERRED FUNDING CORPORATION
ONE BRYANT PARK 1111 AVENUE OF THE AMERICAS, 9TH
FLOOR, NEW YORK, NY 10036 |
Preferred Class |
36.36% |
BNY MELLON/WFB NA WELLS FARGO BANK NA PL ONE WALL STREET
NEW YORK, NY 10286 |
Preferred Class |
36.36% |
JP MORGAN CHASE BANK MUNICIPAL DEALER
383 MADISON AVENUE 3RD FLOOR NEW YORK, NY 10152 |
Preferred Class |
27.27% |
Name of Trustee |
Aggregate compensation
from the Fund for the Fiscal
Year Ended December 31, 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, 2021* |
Sarah E. Cogan |
$5,436 |
N/A |
N/A |
$225,000 |
Deborah A. DeCotis |
$14,433 |
N/A |
N/A |
$300,000 |
Name of Trustee |
Aggregate compensation
from the Fund for the Fiscal
Year Ended December 31, 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, 2021* |
Hans W. Kertess** |
$10,825 |
N/A |
N/A |
$225,000 |
Joseph B. Kittredge |
$13,230 |
N/A |
N/A |
$275,000 |
William B. Ogden, IV |
$10,825 |
N/A |
N/A |
$225,000 |
Alan Rappaport |
$10,825 |
N/A |
N/A |
$225,000 |
E. Grace Vandecruze*** |
$8,890 |
N/A |
N/A |
$168,750 |
Fiscal Year |
Management Fee Paid by Fund |
December 31, 2021 |
$8,940,364 |
December 31, 2020 |
$3,435,742 |
December 31, 2019* |
$769,878 |
Fiscal Year |
Management Fees Waived |
Previously Waived Management Fees Recouped |
December 31, 2021 |
$2,785,373 |
$321,971 |
December 31, 2020 |
$1,427,789 |
$337,821 |
December 31, 2019* |
$1,373,525 |
$63,600 |
|
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) |
David Hammer |
|
|
|
|
Registered Investment Companies |
23 |
$12,478.75
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
9 |
$45,111.29
|
5 |
$44,556.23 |
Other Accounts |
147 |
$12,671.14
|
0 |
$0.00 |
Rachel Betton |
|
|
|
|
Registered Investment Companies |
11 |
$8,744.05 |
0 |
$0.00 |
Other Pooled Investment Vehicles |
3 |
$381.18 |
1 |
$192.19 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Amit Arora |
|
|
|
|
Registered Investment Companies |
3 |
$19,590.38
|
0 |
$0.00 |
Other Pooled Investment Vehicles |
7 |
$2,133.56 |
0 |
$0.00 |
Other Accounts |
101 |
$13,788.88
|
1 |
$496.72 |
Name of Portfolio Manager |
Dollar
Range of Equity Securities in the Fund |
David Hammer |
$500,001-$1,000,000 |
Rachel Betton |
None |
Amit Arora |
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%1
|
2.04%1
|
2.00% |
$100,000 – $249,999.99 |
1.00% |
1.01% |
1.00% |
$250,000 and over |
0.00%2
|
0.00%2
|
0.00% |
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 |
12/31/21 |
$13,380 |
12/31/20 |
$18,084 |
12/31/19* |
$18,311 |
Broker or Dealer |
Value of Securities
Held by the Fund as
of December 31, 2021 ($000) |
State Street Bank & Trust Co. |
$23,208
|
Banc of America Securities, Inc. |
4,165 |
J. P. Morgan Securities LLC |
1,878 |
Citigroup Global Markets Inc. |
1,033 |
Barclays Capital Inc. |
886 |
Dividend Rate |
|
Rate Period Fraction |
|
RVMTP Shares
Liquidation
Preference |
|
Dividend |
Dividend Rate |
X |
Number of days in the Rate Period
(or a part thereof) |
X |
100,000 |
= |
Dividends per RVMTP Share |
Divided by Total number of days
in the year |