0000899243-18-024284.txt : 20180912 0000899243-18-024284.hdr.sgml : 20180912 20180912164327 ACCESSION NUMBER: 0000899243-18-024284 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100405 FILED AS OF DATE: 20180912 DATE AS OF CHANGE: 20180912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WFC HOLDINGS CORP CENTRAL INDEX KEY: 0000105598 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21188 FILM NUMBER: 181067209 BUSINESS ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 415-644-3500 MAIL ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FORMER NAME: FORMER CONFORMED NAME: WELLS FARGO & CO DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WELLS FARGO & COMPANY/MN CENTRAL INDEX KEY: 0000072971 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21188 FILM NUMBER: 181067210 BUSINESS ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94163 BUSINESS PHONE: 6126671234 MAIL ADDRESS: STREET 1: 420 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94163 FORMER NAME: FORMER CONFORMED NAME: WELLS FARGO & CO/MN DATE OF NAME CHANGE: 19981103 FORMER NAME: FORMER CONFORMED NAME: NORWEST CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NORTHWEST BANCORPORATION DATE OF NAME CHANGE: 19830516 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PIMCO CALIFORNIA MUNICIPAL INCOME FUND III CENTRAL INDEX KEY: 0001181504 IRS NUMBER: 161624050 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2010-04-05 0 0001181504 PIMCO CALIFORNIA MUNICIPAL INCOME FUND III PZC 0000072971 WELLS FARGO & COMPANY/MN 420 MONTGOMERY STREET SAN FRANCISCO CA 94104 0 0 1 0 0000105598 WFC HOLDINGS CORP 420 MONTGOMERY STREET SAN FRANCISCO CA 94104 0 0 1 0 Auction-Rate Preferred Shares 970 I By Subsidiary The Auction-Rate Preferred Shares of the Issuer ("Shares") reported in Table I (CUSIP Nos: 72201C208 and 72201C307) represent 964 Shares beneficially owned by WFC Holdings, LLC ("WFC Holdings") and an additional 6 Shares beneficially owned by EVEREN Capital Corporation ("EVEREN"). WFC Holdings and EVEREN are wholly owned subsidiaries of Wells Fargo & Company ("Wells Fargo"). For the purposes of this filing, all series of Shares identified in Item 1 of Table I are treated herein as one class of securities. The shareholdings identified in Table I and in this footnote reflect the number of Shares held by the reporting persons as of the date of this Form 3. This Form 3 was not timely filed to reflect the reporting persons' aggregate beneficial ownership of more than 10% of the Shares, which first occurred as of the date stated in Item 2 above, and subsequent Forms 4 were also not timely filed to reflect changes in the reporting persons' beneficial ownership. This statement is jointly filed by Wells Fargo and WFC Holdings. Wells Fargo holds an indirect interest in the Shares listed in Table I by virtue of its indirect ownership of its subsidiary, EVEREN, and direct ownership of its subsidiary, WFC Holdings. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. WELLS FARGO & COMPANY, /s/ Lori Ward 2018-09-11 WFC HOLDINGS, LLC, /s/ Arthur C. Evans 2018-09-11 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT 
                                                                    Exhibit 99.1

                             JOINT FILING AGREEMENT

        Pursuant to and in accordance with the Securities Exchange Act of 1934,
as amended (the "Exchange Act"), and the rules and regulations thereunder, each
party hereto hereby agrees to the joint filing, on behalf of each of them, of
any filing required by such party under Section 13 or Section 16 of the Exchange
Act or any rule or regulation thereunder (including any amendment, restatement,
supplement, and/or exhibit thereto) with the Securities and Exchange Commission
(and, if such security is registered on a national securities exchange, also
with the exchange), and further agrees to the filing, furnishing, and/or
incorporation by reference of this agreement as an exhibit thereto. This
agreement shall remain in full force and effect until revoked by any party
hereto in a signed writing provided to each other party hereto, and then only
with respect to such revoking party.

        IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused
this agreement to be executed and effective as of the date set forth below.

Date: September 11, 2018            WELLS FARGO & COMPANY
      ------------
                                        By: /s/ Lori Ward
                                           --------------------------
                                            Name:  Lori Ward
                                            Title:  Designated Signer


                                        WFC HOLDINGS, LLC

                                        By: /s/ Arthur C. Evans
                                           --------------------------
                                            Name:  Arthur C. Evans
                                            Title:  Designated Signer
EX-99.2 3 attachment2.htm EX-99.2 DOCUMENT 
                                                                    Exhibit 99.2

                                JOINT FILER INFORMATION



              Item                                  Information


Name:                                   WFC Holdings, LLC
Address:                                420 Montgomery Street
                                        San Francisco, CA 94104

Date of Event Requiring                 April 5, 2010
Statement (Month/Day/Year):

Issuer Name and Ticker or               PIMCO CALIFORNIA MUNICIPAL INCOME
Trading Symbol:                         FUND III [PZC]


Relationship of Reporting		10% Owner
Person(s) to Issuer:

If Amendment, Date Original             Not Applicable
Filed (Month/Day/Year):

Individual or Joint/Group Filing:       Form filed by More than One Reporting
                                        Person

Signature:                              WFC HOLDINGS, LLC


                                          By: /s/ Arthur C. Evans
                                              -----------------------
                                          Name: Arthur C. Evans
                                          Title: Designated Signer
                                          Date: September 11, 2018
                                                ------------