POS AMI 1 dposami.htm PAPS SUPPLEMENT FOR PIMCO SHORT-TERM FLOATING NAV PORTFOLIO II PAPs Supplement for PIMCO Short-Term Floating NAV Portfolio II

As filed with the Securities and Exchange Commission on August 20, 2010

File No. 811-05028

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Form N-1A

 

 

REGISTRATION STATEMENT UNDER THE INVESTMENT

COMPANY ACT OF 1940

   x  
  Amendment No. 230   x  

PIMCO Funds

(Exact name of Registrant as Specified in Charter)

840 Newport Center Drive

Newport Beach, California 92660

(Address of Principal Executive Offices) (Zip Code)

Registrant’s Telephone Number, including area code:

(866) 746-2606

 

Robert W. Helm, Esq.

Dechert LLP

1775 I Street, N.W.

Washington, D.C. 20006

  

Brent R. Harris

Pacific Investment Management Company LLC

840 Newport Center Drive

Newport Beach, California 92660

(Name and Address of Agent for Service)

It is intended that this filing will become effective immediately upon filing in accordance with Section 8 of the Investment Company Act of 1940 and the rules thereunder.

EXPLANATORY NOTE

This Amendment No. 230 to the Registration Statement of PIMCO Funds (the “Trust” or the “Registrant”) on Form N-1A (File No. 811-05028) (the “Registration Statement”) is being filed to amend and supplement and make other non-material changes to the Trust’s Amendment No. 229 under the Investment Company Act of 1940, as amended (the “1940 Act”), filed on July 28, 2010. This Amendment pertains to the Offering Memorandum of the Trust’s Private Account Portfolio Series, dated July 31, 2010, as it pertains to the PIMCO Short-Term Floating NAV Portfolio II.

The shares of beneficial interest in the Private Account Portfolio Series are not registered under the Securities Act of 1933, as amended (the “1933 Act”) because such shares will be issued by the Registrant solely in private placement transactions that do not involve any “public offering” within the meaning of the 1933 Act. Shares of the Private Account Portfolio Series may be purchased only by clients of Pacific Investment Management Company LLC, including separately managed private accounts and investment companies registered under the 1940 Act and other funds, who are “accredited investors,” as defined in Regulation D under the 1933 Act, and either (i) “qualified purchasers,” as defined for purposes of Section 3(c)(7) of the 1940 Act, or (ii) “qualified institutional buyers,” as defined in Rule 144A(a)(1) under the 1933 Act. Shares of the Private Account Portfolio Series may also be purchased by certain investors outside of the United States consistent with applicable regulatory requirements. This Amendment is not an offer to sell, or a solicitation of any offer to buy, any security to the public within the meaning of the 1933 Act.

PIMCO Funds

Private Account Portfolio Series

Amendment Dated August 20, 2010 to the

Offering Memorandum dated July 31, 2010

Disclosure Related to the PIMCO Short-Term Floating NAV Portfolio II (the “Portfolio”)

Effective immediately, the disclosure relating to the Portfolio in the “Portfolio Summary—Principal Investment Strategies” section of the Offering Memorandum is deleted in its entirety and replaced with the following:

The Portfolio seeks to achieve its investment objective by investing under normal circumstances at least 65% of its total assets in a diversified portfolio of Fixed Income Instruments of varying maturities, which may be represented by forwards. “Fixed Income Instruments” includes bonds, debt securities and other similar instruments issued by various U.S. and non-U.S. public- or private-sector entities.

The average duration of the Portfolio will vary based on Pacific Investment Management Company LLC’s (“PIMCO”) forecast for interest rates and will normally not exceed one year. Duration is a measure of the expected life of a fixed income security that is used to determine the sensitivity of a security’s price to changes in interest rates. In addition, the dollar-weighted average maturity of the Portfolio, under normal circumstances, is not expected to exceed three years.

The Portfolio may invest only in investment grade securities. The Portfolio may invest in securities of non-U.S. issuers only if the securities are U.S. dollar-denominated.

The Portfolio may invest in mortgage- or asset-backed securities and purchase instruments on an extended settlement basis. The Portfolio may, without limitation, seek to obtain market exposure to the securities in which it primarily invests by entering into a series of purchase and sale contracts or by using other investment techniques (such as buy backs or dollar rolls).

It is possible to lose money on investments in the Portfolio. An investment in the Portfolio is not a deposit of a bank and is not guaranteed or insured by the Federal Deposit Insurance Corporation or any other government agency.

Also, effective immediately, the first sentence under the “Characteristics and Risks of Securities and Investment Techniques—Derivatives” section of the Offering Memorandum is deleted in its entirety and replaced with the following:

Each Portfolio (other than the PIMCO Short-Term Floating NAV Portfolio II) may, but is not required to, use derivative instruments for risk management purposes or as part of its investment strategies.

Investors Should Retain This Amendment For Future Reference

PART C.           OTHER INFORMATION

Item 28. Exhibits

 

(a)

   (1)   Amended and Restated Declaration of Trust Dated March 31, 2000(4)
  (2)   Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest dated February 26, 2008(5)
  (3)   Establishment and Designation of Two Additional Series of Shares of Beneficial Interest relating to the PIMCO Fixed Income Unconstrained Fund and PIMCO Global Advantage Fund dated April 9, 2008(7)
  (4)   Amended Designation of Two Existing Series of Shares and Establishment and Designation of Two Additional Classes relating to the PIMCO Unconstrained Bond Fund and PIMCO Global Advantage Strategy Bond Fund dated May 20, 2008(7)
  (5)   Establishment and Designation of Two Additional Classes of Shares of Beneficial Interest relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund, PIMCO Fundamental Advantage Total Return Strategy Fund, PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund and PIMCO RealRetirement 2050 Fund dated May 20, 2008(8)
  (6)   Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Global Multi-Asset Fund dated May 20, 2008(9)
  (7)   Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund and PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008(10)
  (8)   Amended Designation of One Existing Series of Shares of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio dated October 9, 2008(11)
  (9)   Establishment and Designation of Two Additional Series and One Additional Class of Shares of Beneficial Interest relating to the PIMCO Government Money Market Fund and the PIMCO Treasury Money Market Fund dated September 30, 2008(12)
  (10)   Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Long-Term Credit Fund dated December 30, 2008(13)
  (11)   Establishment and Designation of Series of Shares of Beneficial Interest relating to the PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008(14)
  (12)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Short-Term Floating NAV Portfolio II dated February 23, 2009(15)
  (13)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets Infrastructure Bond Fund dated February 23, 2009(18)
  (14)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Muni GO Fund dated April 8, 2009(18)
  (15)   Amended Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 18, 2009(18)
  (16)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Real Income 2020 Fund and the PIMCO Real Income 2030 Fund dated May 18, 2009(20)

  (17)   Amended Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Real Income 2019 Fund and the PIMCO Real Income 2029 Fund dated May 18, 2009 (20)
  (18)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
  (19)   Establishment and Designation of Series of Beneficial Interest relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund dated February 23, 2010(25)

(b)

     Amended and Restated By-Laws of Registrant(19)

(c)

     Not applicable

(d)

   (1)   Amended and Restated Investment Advisory Contract dated February 23, 2009(16)
  (2)   Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 19, 2009(18)
  (3)   Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund, and PIMCO Tax Managed Real Return Fund dated August 11, 2009 (20)
  (4)   Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to fee changes dated October 1, 2009(21)
  (5)   Supplement and Amended Exhibit A to Amended and Restated Investment Advisory Contract relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund dated February 23, 2010(25)
  (6)   Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated July 18, 2002(17)
  (7)   Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset Fund dated October 1,
2006(17)
  (8)   Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated September 30, 2003(17)
  (9)   Amendment to Asset Allocation Sub-Advisory Agreement relating to the PIMCO All Asset All Authority Fund dated October 1, 2006(17)
  (10)   Sub-Advisory Agreement relating to the PIMCO Fundamental IndexPLUS Fund and PIMCO Fundamental IndexPLUS TR Fund dated October 13, 2006(21)
  (11)   Supplement to Sub-Advisory Agreement relating to the PIMCO Fundamental Advantage Tax Efficient Strategy Fund and PIMCO Fundamental Advantage Total Return Strategy Fund dated February 28, 2008(17)
  (12)   Sub-Advisory Agreement relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund dated November 10, 2008(19)

(e)

   (1)   Amended and Restated Distribution Contract dated February 26, 2008(14)
  (2)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO Unconstrained Bond Fund and PIMCO Global Advantage Strategy Bond Fund dated May 20, 2008(7)

  (3)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO EM Fundamental IndexPlus TR Strategy Fund, PIMCO Global Multi-Asset Fund and PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008(14)
  (4)   Supplement to Amendment to Amended and Restated Distribution Contract relating to the PIMCO Government Money Market Fund, PIMCO Treasury Money Market Fund and PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008(14)
  (5)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II dated February 23, 2009(17)
  (6)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO Emerging Markets and Infrastructure Bond Fund and the PIMCO MuniGO Fund dated May 19, 2009(18)
  (7)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund and PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
  (8)   Supplement to Amended and Restated Distribution Contract relating to the PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund dated February 23, 2010 (25)
  (9)   Japan Dealer Sales Contract dated September 24, 2009(21)
(f)     Not Applicable
(g)   (1)   Custody and Investment Accounting Agreement dated January 1, 2000(19)
  (2)   Amendment to Custody and Investment Accounting Agreement dated June 8, 2001(19)
  (3)   Amendment to Custody and Investment Accounting Agreement dated March 30, 2010(25)
(h)   (1)   Supervision and Administration Agreement dated August 11, 2008(9)
  (2)   Supplement to the Supervision and Administration Agreement relating to the PIMCO EM Fundamental IndexPLUS TR Strategy Fund, PIMCO Global Multi-Asset Fund and the PIMCO Long Duration Corporate Bond Portfolio dated August 12, 2008(9)
  (3)   Supplement to the Supervision and Administration Agreement relating to the PIMCO Government Money Market Fund, PIMCO Treasury Money Market Fund and PIMCO Unconstrained Tax Managed Bond Fund dated November 4, 2008(12)
  (4)   Supplement to the Supervision and Administration Agreement relating to the PIMCO Long-Term Credit Fund and PIMCO Short-Term Floating NAV Portfolio II dated February 24, 2009(16)
  (5)   Supplement to the Supervision and Administration Agreement relating to the PIMCO Emerging Markets and Infrastructure Bond Fund, PIMCO MuniGO Fund and PIMCO Convertible Fund dated May 19, 2009(18)
  (6)   Supplement to the Supervision and Administration Agreement relating to the PIMCO Real Income 2019 Fund, PIMCO Real Income 2029 Fund and PIMCO Tax Managed Real Return Fund dated August 11, 2009(21)
  (7)   Supplement to the Supervision and Administration Agreement relating to fee changes dated October 1, 2009(21)

  (8)   Supplement to the Supervision and Administration Agreement relating to PIMCO CommoditiesPLUS Strategy Fund and PIMCO CommoditiesPLUS Short Strategy Fund dated February 23, 2010 (25)
  (9)   Fee Waiver Agreement relating to the PIMCO Global Advantage Strategy Bond Fund dated February 5, 2009(19)
  (10)   Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund dated February 23, 2009(19)
  (11)   Third Amended and Restated Fee Waiver Agreement relating to PIMCO RealRetirement 2010 Fund, PIMCO RealRetirement 2020 Fund, PIMCO RealRetirement 2030 Fund, PIMCO RealRetirement 2040 Fund and PIMCO RealRetirement 2050 Fund dated March 31, 2010(25)
  (12)   Amended and Restated Fee Waiver Agreement relating to PIMCO Income Fund dated February 23, 2009(19)
  (13)   Second Amended and Restated Fee Waiver Agreement relating to PIMCO High Yield Municipal Bond Fund for Class A, Class C and Class D Shares dated February 23, 2009(19)
  (14)   Third Amended and Restated Fee Waiver Agreement relating to PIMCO Global Multi-Asset Fund dated March 30, 2010(25)
  (15)   Fee and Expense Limitation Agreement relating to PIMCO Government Money Market Fund, PIMCO Money Market Fund and PIMCO Treasury Money Market Fund dated March 5, 2009(19)
  (16)   PIMCO Cayman Commodity Fund I Ltd. Appointment of Agent for Service of Process(6)
  (17)   PIMCO Cayman Commodity Fund II Ltd. Appointment of Agent for Service of Process(12)
  (18)   PIMCO Cayman Commodity Fund III Ltd. Appointment of Agent for Service of Process(25)
  (19)   PIMCO Cayman Commodity Fund IV Ltd. Appointment of Agent for Service of Process(25)
  (20)   Transfer Agency and Service Agreement(25)
(i)     Opinion and Consent of Counsel(26 )
(j)     Consent of Independent Registered Public Accounting Firm(26 )
(k)     Not Applicable
(l)     Not Applicable
(m)   (1)   Distribution and Servicing Plan for Class A Shares(19)
  (2)   Distribution and Servicing Plan for Class B Shares(19)
  (3)   Distribution and Servicing Plan for Class C Shares(19)
  (4)   Amended and Restated Distribution Plan for Administrative Class Shares(19)
  (5)   Amended and Restated Administrative Services Plan for Administrative Class Shares(19)
  (6)   Distribution and Servicing Plan for Class J Shares(19)
  (7)   Distribution and Servicing Plan for Class K Shares(19)
  (8)   Administrative Services Plan for Advisor Class Shares(19)
  (9)   Distribution Plan for Advisor Class Shares(19)
  (10)   Distribution and Services Plan for Class R Shares(19)

  (11)   Form of Administrative Services Plan for Class P Shares(6)
  (12)   Form of Shareholder Servicing Agreement for Class P Shares(6)
  (13)   Form of Shareholder Servicing Agreement for Class M Shares(16)
(n)     Ninth Amended and Restated Multi-Class Plan adopted pursuant to Rule 18f-3(25)
(p)   (1)   Code of Ethics for the Registrant(25)
  (2)   Code of Ethics for PIMCO(25)
  (3)   Form of Code of Ethics for Research Affiliates LLC(25)
  (4)   Code of Ethics for Allianz Global Investors Distributors LLC(25)

*

     Power of Attorney( 26)

 

(1)    Filed with Post-Effective Amendment No. 36 on July 11, 1997, and incorporated by reference herein.
(2)    Filed with Post-Effective Amendment No. 68 on June 28, 2002, and incorporated by reference herein.
(3)    Filed with Post-Effective Amendment No. 119 on December 19, 2006, and incorporated by reference herein.
(4)    Filed with Post-Effective Amendment No. 128 on December 14, 2007, and incorporated by reference herein.
(5)    Filed with Post-Effective Amendment No. 129 on February 27, 2008, and incorporated by reference herein.
(6)    Filed with Post-Effective Amendment No. 133 on April 29, 2008, and incorporated by reference herein.
(7)    Filed with Post-Effective Amendment No. 136 on June 24, 2008, and incorporated by reference herein.
(8)    Filed with Post-Effective Amendment No. 138 on July 28, 2008, and incorporated by reference herein.
(9)    Filed with Post-Effective Amendment No. 140 on August 27, 2008, and incorporated by reference herein.
(10)    Filed with Amendment No. 178 on October 1, 2008, and incorporated by reference herein.
(11)    Filed with Amendment No. 180 on October 10, 2008, and incorporated by reference herein.
(12)    Filed with Post-Effective Amendment No. 147 on December 22, 2008, and incorporated by reference herein.
(13)    Filed with Post-Effective Amendment No. 148 on January 2, 2009, and incorporated by reference herein.
(14)    Filed with Post-Effective Amendment No. 150 on January 26, 2009, and incorporated by reference herein.
(15)    Filed with Amendment No. 191 on February 27, 2009, and incorporated by reference herein.
(16)    Filed with Post-Effective Amendment No. 151 on March 18, 2009, and incorporated by reference herein.
(17)    Filed with Post-Effective Amendment No. 153 on April 13, 2009, and incorporated by reference herein.
(18)    Filed with Post-Effective Amendment No. 157 on June 8, 2009, and incorporated by reference herein.
(19)    Filed with Post-Effective Amendment No. 160 on July 29, 2009, and incorporated by reference herein.
(20)    Filed with Post-Effective Amendment No. 165 on August 28, 2009, and incorporated by reference herein.
(21)    Filed with Post-Effective Amendment No. 167 on October 28, 2009, and incorporated by reference herein.

(22)

    Filed with Post-Effective Amendment No. 169 on December 11, 2009, and incorporated by reference herein.

(23)

    Filed with Post-Effective Amendment No. 171 on February 26, 2010, and incorporated by reference herein.

(24)

    Filed with Post-Effective Amendment No. 172 on February 26, 2010 and incorporated by reference herein.

(25)

    Filed with Post-Effective Amendment No. 173 on May 12, 2010, and incorporated by reference herein.

(26)

    Filed with Post-Effective Amendment No. 177 on July 27, 2010, and incorporated by reference herein.

Item 29.             Persons Controlled by or Under Common Control with Registrant.

The Trust through the PIMCO CommodityRealReturn Strategy Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund I Ltd. (“CRRS Subsidiary”), a company organized under the laws of the Cayman Islands. The CRRS Subsidiary’s financial statements will be included, on a consolidated basis, in the PIMCO CommodityRealReturn Strategy Fund’s annual and semi-annual reports to shareholders.

The Trust through the PIMCO Global Multi-Asset Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund II Ltd. (“GMA Subsidiary”), a company organized under the laws of the Cayman Islands. The GMA Subsidiary’s financial statements will be included, on a consolidated basis, in the PIMCO Global Multi-Asset Fund’s annual and semi-annual reports to shareholders.

The Trust through the PIMCO CommoditiesPLUS Strategy Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund III Ltd. (“CPS Subsidiary”), a company organized under the laws of the Cayman Islands. The CPS Subsidiary’s financial statements will be included, on a consolidated basis, in the PIMCO CommoditiesPLUS Strategy Fund’s annual and semi-annual reports to shareholders.

The Trust through the PIMCO CommoditiesPLUS Short Strategy Fund, a separate series of the Trust, wholly owns and controls the PIMCO Cayman Commodity Fund IV Ltd. (“CPSS Subsidiary”), a company organized under the laws of the Cayman Islands. The CPSS Subsidiary’s financial statements will be included, on a consolidated basis, in the PIMCO CommoditiesPLUS Short Strategy Fund’s annual and semi-annual reports to shareholders.

Item 30.             Indemnification

Reference is made to Article IV of the Registrant’s Amended and Restated Declaration of Trust, which was filed with the Registrant’s Post-Effective Amendment No. 128 on December 14, 2007.

Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to trustees, officers and controlling persons of the Registrant by the Registrant pursuant to the Declaration of Trust or otherwise, the Registrant is aware that in the opinion of the Securities and Exchange Commission, such indemnification is against public policy as expressed in the Act and, therefore, is unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by trustees, officers or controlling persons of the Registrant in connection with the successful defense of any act, suit or proceeding) is asserted by such trustees, officers or controlling persons in connection with the shares being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court

of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issues.

Item 31.             Business and Other Connections of the Investment Adviser

The directors and executive officers of PIMCO and their business and other connections are as follows:

 

Arnold, Tammie J.   Managing Director, PIMCO
Baker, Brian P.   Managing Director, PIMCO; Director, PIMCO Asia Pte Ltd. and PIMCO Asia Limited (Hong Kong)
Benz II, William R.   Managing Director, PIMCO
Balls, Andrew T.   Managing Director, PIMCO
Bhansali, Vineer   Managing Director, PIMCO
Bridwell, Jennifer S   Managing Director, PIMCO
Callin, Sabrina C.   Managing Director, PIMCO; Acting Head of PIMCO Advisory; and Vice President, StocksPLUS Management, Inc.
Cupps, Wendy W.   Managing Director, PIMCO
Dada, Suhail H.   Managing Director, PIMCO
Dawson, Craig A.   Managing Director, PIMCO; Director, PIMCO Europe Ltd.
Dialynas, Chris P.   Managing Director, PIMCO
Durham, Jennifer E.   Chief Compliance Officer and Executive Vice President, PIMCO. Chief Compliance Officer, the Trust, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT
El-Erian, Mohamed A.   Managing Director, Chief Executive Officer and Co- Chief Investment Officer, PIMCO. Senior Vice President, the Trust, PIMCO Funds, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Formerly President and CEO of Harvard Management Co.
Flattum, David C.   Managing Director, General Counsel, PIMCO. Chief Legal Officer, the Trust, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT
Gross, William H.   Managing Director, Chief Investment Officer and Executive Committee Member, PIMCO. Director and Vice President, StocksPLUS Management, Inc. Senior Vice President of the Trust, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series and PIMCO Equity Series VIT
Harris, Brent Richard   Managing Director and Executive Committee Member, PIMCO. Director and President, StocksPLUS Management, Inc. Trustee, Chairman and President of the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust. Trustee, Chairman, and Senior Vice President, PIMCO Equity Series and PIMCO Equity Series VIT. Director, PIMCO Luxembourg S.A. and PIMCO Luxembourg II
Hodge, Douglas M.   Managing Director and Chief Operating Officer, PIMCO; Trustee and Senior Vice President, the Trust, PIMCO Variable Insurance Trust and PIMCO ETF Trust. Senior Vice President, PIMCO Equity Series and PIMCO Equity Series VIT. Director and Vice President, StocksPLUS Management Inc.; Director, PIMCO Europe Ltd., PIMCO Asia Pte Ltd., PIMCO Australia Pty Ltd, PIMCO Japan Ltd. and PIMCO Asia Limited (Hong Kong)
Holden, Brent L.   Managing Director, PIMCO

Ivascyn, Daniel J.    Managing Director, PIMCO
Jacobs IV, Lew W.    Managing Director, PIMCO
Kashkari, Neel T.    Managing Director, PIMCO. President, PIMCO Equity Series and PIMCO Equity Series VIT. Formerly, Interim Assistant Secretary for Financial Stability, Assistant Secretary for International Economics and Senior Advisor to Secretary Paulson, United States Department of Treasury
Kiesel, Mark R.    Managing Director, PIMCO
Lown, David C.    Managing Director, PIMCO
Masanao, Tomoya    Managing Director, PIMCO
Mather, Scott A.    Managing Director, PIMCO
McCulley, Paul A.    Managing Director, PIMCO
McDevitt, Joseph V.    Managing Director, PIMCO. Director and Chief Executive Officer, PIMCO Europe Limited
Mewbourne, Curtis A.    Managing Director, PIMCO
Miller, John M.    Managing Director, PIMCO
Ongaro, Douglas J.    Managing Director, PIMCO
Otterbein, Thomas J.    Managing Director, PIMCO
Parikh, Saumil H.    Managing Director, PIMCO
Ravano, Emanuele    Managing Director, PIMCO
Rodosky, Stephen A.    Managing Director, PIMCO
Short, Jonathon D.    Managing Director, PIMCO
Simon, W Scott    Managing Director, PIMCO
Stracke, Christian    Managing Director, PIMCO
Takano, Makoto    Managing Director, PIMCO; Director and President, PIMCO Japan Ltd.
Wilson, Susan L.    Managing Director, PIMCO
Worah, Mihir P.    Managing Director, PIMCO

The address of PIMCO is 840 Newport Center Drive, Newport Beach, CA 92660.

The address of Allianz Global Investors of America L.P. is 680 Newport Center Drive, Newport Beach, CA 92660.

The address of Allianz Global Investors Distributors LLC is 1345 Avenue of the Americas, New York, New York, 10105.

The address of PS Business Parks, Inc. is 701 Western Avenue, Glendale, CA 91201.

The directors and officers of Research Affiliates LLC (“Research Affiliates”) and their business and other connections are as follows:

 

Name

   

Business and Other Connections

Arnott, Robert D.    Founder, Chairman, Chief Executive Officer
Hsu, Jason    Managing Director, Chief Investment Officer
Sherrerd, Katrina    Managing Director, Chief Operating Officer
Brightman, Christopher    Director of Strategy
West, John    Director, Product Specialist
Li, Feifei    Director, Head of Research
Harkins, Daniel   

Chief Legal & Compliance Officer;

Associate Director, Investment Operations

Name

   

Business and Other Connections

Larsen, Michael    Associate Director, Affiliate Relations

The address of Research Affiliates LLC is 620 Newport Center Drive, Newport Beach, California, 92660.

Item 32.             Principal Underwriter

(a)         Allianz Global Investors Distributors LLC (the “Distributor”) serves as Distributor of Shares of the Trust. The Distributor also acts as the principal underwriter for the Allianz Funds. The Distributor is an indirect subsidiary of Allianz Global Investors of America L.P.

(b)         The officers of the Distributor are:

 

Name and Principal

Business Address*

   

Positions and Offices With

Underwriter

  

Positions and Offices with

Registrant

Aarts, Erik M.

    Managing Director   None

Anders, Michael L.

    Vice President   None

Aronovitz, Jill L.

    Vice President   None

Aymond, Colin C.

    Senior Vice President   None

Basile, Isabella

    Vice President   None

Bechor, David

    Vice President   None

Berge, Wendy

    Vice President   None

Biggers, Clark H.

    Senior Vice President   None

Brannan, Mike

    Senior Vice President   None

Brennan, Deborah P.

    Vice President, Compliance Officer   None

Brenes, Jennifer Ann

    Vice President   None

Brown, Matt

    Senior Vice President   None

Bruce, Fred

    Senior Vice President   None

Bulman, Bryce B.

    Senior Vice President   None

Burke, Martin

    Senior Vice President   None

Callinan, Richard E.

    Senior Vice President   None

Cardillo, John T.

    Senior Vice President   None

Carlisle, Matthrew C.

    Vice President   None

Carroll, Catherine M.

    Senior Vice President   None

Caroll, John

    Managing Director   None

Casenhiser, Christopher A.

    Senior Vice President   None

Chhatwal, Inderjit

    Vice President   None

Chung, Alice W.

    Senior Vice President   None

Clark, Kevin

    Vice President   None

Colombo, Cindy

    Vice President   None

Conlon, Rosemary T.

    Vice President   None

Cooper, Brent

    Senior Vice President   None

Cotten, Lesley

    Senior Vice President, Senior Copywriter   None

Cox, Ira W.

    Senior Vice President   None

Dane, Stephen J.

    Senior Vice President   None

Davidson, Kellie E.

    Assistant Secretary   None

DeBlasio, Kerry M.

    Vice President   None

DeCicco, Lucianne

    Vice President   None

Name and Principal

Business Address*

   

Positions and Offices With

Underwriter

  

Positions and Offices with

Registrant

DeNicolo, Paul    Senior Vice President   None
Dewar, Neil I.    Senior Vice President   None
Dieterle, Sean W.    Senior Vice President   None
Dietrich, Marc R.    Senior Vice President   None
Deitsch, Chaya S.    Vice President   None
Donnelly, Thomas    Vice President   None
Douvogiannis, Martha    Vice President   None
Downing, Eric D.    Senior Vice President   None
Eleccion, Joseph F.    Vice President   None
Ellis, Michelle N.    Vice President   None
Farrell, James C.    Vice President   None
Feinman, Jason    Vice President   None
Fessel, Jonathan P.    Senior Vice President   None
Francis, Christopher D.    Vice President   None
Frank, Megan L.    Senior Vice President   None
Frederick, David G.    Vice President   None
Gaffney, Brian J.    Managing Director and Chief Executive Officer   None
Gallagher, Michael J.    Senior Vice President   None
Galsim, Linda Shuen    Vice President   None
Georgiou, Patrice    Vice President   None
Gengo, Joseph    Senior Vice President   None
Gibbons, Michaela A.    Senior Vice President   None
Goodside, Scott B.    Vice President   None
Gray, Ronald H.    Senior Vice President   None
Hally, Dan    Senior Vice President   None
Harrington, John    Senior Vice President   None
Harry, Seon L.    Vice President   None
Hart, Jonathan C.    Senior Vice President   None
Hartnett, James T.    Senior Vice President   None
Healey, William V.    Executive Vice President, Chief Legal Officer, Secretary   None
Higgins, Timothy J.    Senior Vice President   None
Hooper, Kristina    Executive Vice President   None
Howell, Steve    Vice President   None
Hui, Renee W.    Vice President   None
Hussey, John B.    Senior Vice President   None
Ip, Eileen    Vice President   None
Jettelson, Teresa    Vice President   None
Jobson, David B.    Managing Director   None
Kanode, Dustin    Senior Vice President   None
Kervabon, Rose    Vice President   None
Kirk, Richard    Senior Vice President, Associate General Counsel   None
Klawitter, Patricia    Senior Vice President   None
Knaus, Bryan M.    Vice President   None
Kobata, Matthew T.    Senior Vice President   None

     

Name and Principal

Business Address*

   

Positions and Offices With

Underwriter

   

Positions and Offices with

Registrant

Kravetzky, Leslie S.

    Senior Vice President    None

Laut, Stephen

    Senior Vice President    None

Leahy O’Connor, Brooke

    Senior Vice President    None

Levy, Robert

    Vice President    None

Lewis, Robert J.

    Senior Vice President    None

Lindsay, Scott

    Vice President    None

Lyons, James F.

    Senior Vice President    None

Maag, Troy C.

    Vice President    None

Maher, John

    Vice President    None

Maher, Sean P.

    Vice President    None

Maloney, Andy

    Senior Vice President    None

Marino, Gerard P.

    Senior Vice President    None

Martin, Colleen

    Chief Financial Officer, Financial Operations Principal, Senior Vice President and Controller    None

McAdams, Ann

    Senior Vice President    None

McCarthy, Peter J.

    Senior Vice President    None

McGeever, Kimberly

    Vice President    None

McIntosh, Marshall N.

    Senior Vice President    None

Meyer, Wayne

    Senior Vice President    None

Meyers, Andrew J.

    Managing Director, Chief Operating Officer    None

Mildner, Heiko

    Senior Vice President    None

Minnix, Joseph P.

    Vice President    None

Misata, William A.

    Vice President    None

Moxon, John G.

    Vice President    None

Moyer, Fiora N.

    Senior Vice President    None

Murphy, George

    Senior Vice President    None

Murphy, Gregory J.

    Senior Vice President    None

Murphy, Kerry A.

    Senior Vice President    None

Neugebauer, Phil J.

    Managing Director    None

Nguyen, Vinh T.

    Senior Vice President, Treasurer    None

Nickodemus, Paul R.

    Senior Vice President    None

Nishimi, Ryne A.

    Senior Vice President    None

Nizzardo, Jeffrey P.

    Senior Vice President    None

Ohstrom, Debra C.

    Vice President    None

Orr, Kelly

    Senior Vice President    None

Orth, Josh

    Vice President    None

Orvin, Henry W.

    Senior Vice President    None

Patel, Bijal

    Vice President    None

Peluso, Ralph A.

    Senior Vice President    None

Pisapia, Glynne

    Senior Vice President    None

Plump, Steven B.

    Managing Director    None

Poplarski, Greg H.

    Senior Vice President    None

Prasad, Satya A.

    Vice President    None

Prendergast, Shivaun C.

    Vice President    None

Prinstein, Peter M.

    Senior Vice President    None

Name and Principal

Business Address*

   

Positions and Offices With

Underwriter

   

Positions and Offices with

Registrant

Puntoriero, Michael J.    Managing Director    None
Quigley, Jennifer    Senior Vice President    None
Quirk, Joseph S.    Executive Vice President    None
Rankin, James S.    Senior Vice President    None
Revell, Andrew    Vice President    None
Rheingold, Joni H.    Senior Vice President    None
Rial, Julie    Vice President    None
Riccio, Frank J.    Senior Vice President    None
Ridolfo, Francis N.    Vice President    None
Rokose, Robert J.    Managing Director    None
Rose, Scott    Senior Vice President    None
Rosser, Jeffrey W.    Senior Vice President    None
Rotondi, John    Vice President, Chief Compliance Officer    None
Rudman, Stephen M.    Senior Vice President    None
Scanlan, Thomas H.    Senor Vice President    None
Schival, Timothy    Senior Vice President    None
Scull, Joseph    Vice President    None
Shanley, Kevin M.    Senior Vice President    None
Siemon, Jr., Frank E.    Senior Vice President    None
Simutis, Christopher T.    Senior Vice President    None
Slattery, Peter L.    Managing Director    None
Small, Ernesto    Senior Vice President    None
Smith, Cathy    Executive Vice President    None
Smith Jr., Eugene M.    Senior Vice President    None
Smith, Jeffrey L.    Senior Vice President    None

Smith, Marty

    Senior Vice President    None

Sorenson, Linda M.

    Senior Vice President    None

Stahl, Cathleen Meere

    Managing Director    None

Stairs, Ben H.

    Senior Vice President    None

Stepanov, Vadim V.

    Vice President    None

Stergiou, John J.

    Senior Vice President    None

Storlie, Steven R.

    Senior Vice President    None

Straughn, Ruth A.

    Senior Vice President    None

Sutherland, Eric M.

    Managing Director    None

Taha, Raad J.

    Vice President    None

Teceno, Fred

    Senior Vice President    None

Thompson, Kathleen C.

    Senior Vice President    None

Tiedemann Jr., Barrie L.

    Senior Vice President    None

Toner, William T.

    Senior Vice President    None

Triolo, Richard

    Senior Vice President    None

Vanderbilt, Molly

    Vice President    None

Wagner, Keith C.

    Managing Director    None

Wang, Sophie

    Vice President    None

Warkow, Brenda C.

    Senior Vice President    None

Weichbrodt, Austin A.

    Vice President    None

Welker, Steve J.

    Senior Vice President    None

Name and Principal

Business Address*

   

Positions and Offices With

Underwriter

   

Positions and Offices with

Registrant

Whitehouse, Scott    Senior Vice President    None
Willbrand, James Kevin    Vice President    None
Willett, Nick    Senior Vice President    None
Wilmot, Andrew J.    Managing Director    None
Wingate, Justin R.    Vice President    None
Zamore, Neal A.    Senior Vice President    None
Zimmerman, Glen A.    Senior Vice President    None

 

* The business address of all officers of the Distributor is 1345 Avenue of the Americas, 4th Floor, New York, NY 10105, or 680 Newport Center Drive, Suite 250, Newport Beach, CA 92660.

Item 33.             Location of Accounts and Records

The account books and other documents required to be maintained by Registrant pursuant to Section 22(a) of the Investment Company Act of 1940 and the Rules thereunder will be maintained at the offices of Pacific Investment Management Company LLC, 840 Newport Center Drive, Newport Beach, California 92660, State Street Bank & Trust Co., 801 Pennsylvania Ave., Kansas City, Missouri 64105, Boston Financial Data Services - Midwest, 330 W. 9th Street, Kansas City, Missouri 64105 and Boston Financial Data Services, Inc., P.O. Box 8050, Boston, Massachusetts 02266-8050.

Item 34.            Management Services

Not applicable

SIGNATURES

Pursuant to the requirements of the Investment Company Act of 1940, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Washington in the District of Columbia on the 20th day of August, 2010.

 

PIMCO FUNDS
(Registrant)
By:  

 

  Brent R. Harris*, President
*By:  

/s/ ROBERT W. HELM

  Robert W. Helm
  as attorney-in fact

 

 

* Pursuant to power of attorney filed with Post-Effective Amendment No. 177 to Registration Statement No. 033-12113 on July 27, 2010.