0001193125-14-391187.txt : 20141031 0001193125-14-391187.hdr.sgml : 20141031 20141031102303 ACCESSION NUMBER: 0001193125-14-391187 CONFORMED SUBMISSION TYPE: DEF 14A PUBLIC DOCUMENT COUNT: 7 CONFORMED PERIOD OF REPORT: 20141218 FILED AS OF DATE: 20141031 DATE AS OF CHANGE: 20141031 EFFECTIVENESS DATE: 20141031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANZ FUNDS CENTRAL INDEX KEY: 0000867297 IRS NUMBER: 330457728 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-06161 FILM NUMBER: 141185194 BUSINESS ADDRESS: STREET 1: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-739-3000 MAIL ADDRESS: STREET 1: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: PIMCO FUNDS MULTI MANAGER SERIES DATE OF NAME CHANGE: 19970626 FORMER COMPANY: FORMER CONFORMED NAME: PIMCO FUNDS EQUITY ADVISORS SERIES DATE OF NAME CHANGE: 19960227 FORMER COMPANY: FORMER CONFORMED NAME: PIMCO ADVISORS INSTITUTIONAL FUNDS DATE OF NAME CHANGE: 19941017 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AllianzGI Institutional Multi-Series Trust CENTRAL INDEX KEY: 0001609956 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-22975 FILM NUMBER: 141185195 BUSINESS ADDRESS: STREET 1: C/O ROPES & GRAY LLP, PRUDENTIAL TOWER STREET 2: 800 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 617-951-7774 MAIL ADDRESS: STREET 1: C/O ROPES & GRAY LLP, PRUDENTIAL TOWER STREET 2: 800 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02199 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Allianz Funds Multi-Strategy Trust CENTRAL INDEX KEY: 0001423227 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-22167 FILM NUMBER: 141185196 BUSINESS ADDRESS: STREET 1: C/O ALLIANZ GLOBAL INVESTORS STREET 2: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-739-3000 MAIL ADDRESS: STREET 1: C/O ALLIANZ GLOBAL INVESTORS STREET 2: 1633 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 0000867297 S000007963 AllianzGI NFJ Dividend Value Fund C000021604 Administrative ANDAX C000021605 A PNEAX C000021606 B PNEBX C000021607 C PNECX C000021608 D PEIDX C000021609 Institutional NFJEX C000021610 R PNERX C000066127 P ADJPX C000135573 R6 ANDVX 0000867297 S000007964 AllianzGI NFJ International Value Fund C000021611 A AFJAX C000021612 C AFJCX C000021613 D AFJDX C000021614 Institutional ANJIX C000066128 P AFVPX C000073581 Administrative AIVAX C000081088 R ANJRX C000135574 R6 ANAVX 0000867297 S000007965 AllianzGI NFJ Large-Cap Value Fund C000021615 R ANLRX C000021616 A PNBAX C000021617 B PNBBX C000021618 C PNBCX C000021619 D PNBDX C000021620 Institutional ANVIX C000034186 Administrative ALNFX C000066129 P ALCPX 0000867297 S000007966 AllianzGI NFJ Small-Cap Value Fund C000021621 A PCVAX C000021622 Administrative PVADX C000021623 B PCVBX C000021624 C PCVCX C000021625 D PNVDX C000021626 Institutional PSVIX C000021627 R PNVRX C000066130 P ASVPX C000135575 R6 ANFVX 0000867297 S000007968 AllianzGI NFJ Mid-Cap Value Fund C000021632 A PQNAX C000021633 Administrative PRAAX C000021634 B PQNBX C000021635 C PQNCX C000021636 D PREDX C000021637 Institutional PRNIX C000021638 R PRNRX C000098087 P ANRPX 0000867297 S000007971 AllianzGI Focused Growth Fund C000021653 A PGWAX C000021654 Administrative PGFAX C000021655 B PGFBX C000021656 C PGWCX C000021657 D PGRDX C000021658 Institutional PGFIX C000021659 R PPGRX C000066132 P AOGPX 0000867297 S000007973 AllianzGI Opportunity Fund C000021667 A POPAX C000021668 Administrative POADX C000021669 B POOBX C000021670 C POPCX C000021671 Institutional POFIX C000034187 D APPDX C000066134 P AOCPX C000081089 R AOORX 0000867297 S000007977 AllianzGI Wellness Fund C000021683 A RAGHX C000021684 B RBGHX C000021685 C RCGHX C000021686 D DGHCX C000150255 Institutional Class 0000867297 S000007978 AllianzGI Global Natural Resources Fund C000021687 Institutional RGLIX C000033266 A ARMAX C000033267 C ARMCX C000033268 D ARMDX C000066136 P APGPX 0000867297 S000007979 AllianzGI Global Small-Cap Fund C000021688 A RGSAX C000021689 B RGSBX C000021690 C RGSCX C000021691 D DGSNX C000021692 Institutional DGSCX C000066137 P ARSPX 0000867297 S000007980 AllianzGI Technology Fund C000021693 A RAGTX C000021694 Administrative DGTAX C000021695 B RBGTX C000021696 C RCGTX C000021697 D DGTNX C000021698 Institutional DRGTX C000066138 P ARTPX 0000867297 S000007984 AllianzGI Mid-Cap Fund C000021714 A RMDAX C000021715 Administrative DRMAX C000021716 B RMDBX C000021717 C RMDCX C000021718 D DMCNX C000021719 Institutional DRMCX C000021720 R PRMRX C000111282 Class P ARMPX 0000867297 S000007988 AllianzGI NFJ All-Cap Value Fund C000021734 A PNFAX C000021736 B PNFBX C000021737 C PNFCX C000021738 D PNFDX C000021739 Institutional PNFIX C000066142 P ANFPX 0000867297 S000007990 AllianzGI U.S. Managed Volatility Fund C000021747 A NGWAX C000021749 B NGWBX C000021750 C NGWCX C000021751 D NGWDX C000021752 Institutional NGFIX C000066144 P ANCPX 0000867297 S000007991 AllianzGI International Managed Volatility Fund C000021754 R ANIRX C000021755 A PNIAX C000021756 C PNICX C000021757 D PNIDX C000021758 Institutional NAISX C000066145 P ANIPX 0000867297 S000012942 AllianzGI Emerging Markets Opportunities Fund C000034948 A AOTAX C000034949 C AOTCX C000034950 D AOTDX C000034951 Institutional AOTIX C000066149 P AEMPX 0000867297 S000015823 AllianzGI Income & Growth Fund C000043488 Class A AZNAX C000043489 Class C AZNCX C000043490 Class D AZNDX C000043491 Institutional Class AZNIX C000066151 P AIGPX C000098088 R AIGRX 0000867297 S000041383 AllianzGI Small-Cap Blend Fund C000128360 Class A AZBAX C000128361 Class C AZBCX C000128362 Institutional Class AZBIX C000128363 Class P AZBPX C000128364 Class D AZBDX 0001423227 S000021463 AllianzGI Global Water Fund C000061366 Class A AWTAX C000061367 Class C AWTCX C000061368 Class D AWTDX C000061369 Class P AWTPX C000066034 Institutional Class AWTIX 0001423227 S000024365 AllianzGI Retirement Income Fund C000072229 P AGRPX C000072230 R ASRRX C000072231 R6 AVRIX C000072232 Administrative ARAMX C000072233 A AGRAX C000072234 C ARTCX C000072235 D ARTDX 0001423227 S000024366 AllianzGI Retirement 2015 Fund C000072236 A AZGAX C000072237 C AZGCX C000072238 D AZGDX C000072239 P AZGPX C000072240 R AZGRX C000072241 R6 AZGIX C000072242 Administrative AZAMX 0001423227 S000024367 AllianzGI Retirement 2020 Fund C000072243 A AGLAX C000072244 C ABSCX C000072245 D AGLDX C000072246 P AGLPX C000072247 R AGLRX C000072248 R6 AGNIX C000072249 Administrative AGLMX 0001423227 S000024368 AllianzGI Retirement 2030 Fund C000072250 A ABLAX C000072251 C ABLCX C000072252 D ABDIX C000072253 P ABLPX C000072254 R ABLRX C000072255 R6 ABLIX C000072256 Administrative ABAMX 0001423227 S000024369 AllianzGI Retirement 2040 Fund C000072257 A AVSAX C000072258 C AVSCX C000072259 D AVSDX C000072260 P AVSPX C000072261 R AVSRX C000072262 R6 AVTIX C000072263 Administrative AVAMX 0001423227 S000024370 AllianzGI Retirement 2050 Fund C000072264 A ASNAX C000072265 C ASNCX C000072266 D ASNDX C000072267 P ASNPX C000072268 R ASNRX C000072269 R6 ASNIX C000072270 Administrative ANAMX 0001423227 S000025373 AllianzGI Global Growth Allocation Fund C000075786 Class A ASGAX C000075787 Class C ASACX C000075788 Class D AGSDX C000075789 Class P AGSPX C000075790 Class R ASFRX C000075791 Institutional Class AGAIX C000075792 Administrative Class AGFAX 0001423227 S000025374 AllianzGI Global Allocation Fund C000075793 Class C PALCX C000075794 Class D AGADX C000075795 Class P AGAPX C000075796 Class R AGARX C000075797 Institutional Class PALLX C000075798 Administrative Class AGAMX C000075799 Class A PALAX C000075800 Class B PALBX 0001423227 S000025790 AllianzGI NFJ Global Dividend Value Fund C000077097 Class A ANUAX C000077098 Class C ANUCX C000077099 Class D ANUDX C000077100 Class P ANUPX C000077101 Institutional Class ANUIX 0001423227 S000028359 AllianzGI Convertible Fund C000086658 Class A ANZAX C000086659 Class C ANZCX C000086660 Class R ANZRX C000086661 Institutional Class ANNPX C000086662 Class P ANCMX C000086663 Administrative Class ANNAX C000086664 Class D ANZDX 0001423227 S000028360 AllianzGI High Yield Bond Fund C000086665 Class R AYBRX C000086666 Institutional Class AYBIX C000086667 Class P AYBPX C000086668 Administrative Class AYBVX C000086669 Class D AYBDX C000086670 Class A AYBAX C000086671 Class C AYBCX 0001423227 S000028361 AllianzGI International Small-Cap Fund C000086672 Class A AOPAX C000086673 Class C AOPCX C000086674 Class R ALORX C000086675 Institutional Class ALOIX C000086676 Class P ALOPX C000086678 Class D ALODX 0001423227 S000028362 AllianzGI U.S. Small-Cap Growth Fund C000086679 Institutional Class AEMIX C000086680 Administrative Class C000095008 Class A C000095009 Class C C000095010 Class R C000095011 Class P C000095012 Class D 0001423227 S000028364 AllianzGI Micro Cap Fund C000086682 Institutional Class AMCIX C000096166 Class P C000108088 Class A 0001423227 S000028365 AllianzGI Ultra Micro Cap Fund C000086683 Institutional Class AUMIX C000096167 Class P C000108089 Class A 0001423227 S000029149 AllianzGI China Equity Fund C000089622 Class A ALQAX C000089623 Class C ALQCX C000089624 Class R C000089625 Institutional Class ALQIX C000089626 Class P ALQPX C000089627 Administrative Class C000089628 Class D ALQDX 0001423227 S000033711 AllianzGI Behavioral Advantage Large Cap Fund C000103865 Class A C000103866 Class C C000103867 Institutional Class C000103868 Class P C000103869 Class D 0001423227 S000033712 AllianzGI NFJ International Value II Fund C000103870 Class A C000103871 Class C C000103872 Institutional Class C000103873 Class P C000103874 Class D 0001423227 S000033713 AllianzGI Short Duration High Income Fund C000103875 Class D C000103876 Class A C000103877 Class C C000103878 Institutional Class C000103879 Class P 0001423227 S000035100 AllianzGI Global Managed Volatility Fund C000107987 Class A C000107988 Class C C000107989 Class P C000107990 Class D C000107991 Institutional Class 0001423227 S000035101 AllianzGI Retirement 2025 Fund C000107992 Administrative Class C000107993 Class A C000107994 Class P C000107995 Class R C000107996 R6 0001423227 S000035102 AllianzGI Retirement 2035 Fund C000107997 Class A C000107998 Class P C000107999 Class R C000108000 R6 C000108001 Administrative Class 0001423227 S000035103 AllianzGI Retirement 2045 Fund C000108002 Class A C000108003 Class P C000108004 Class R C000108005 R6 C000108006 Administrative Class 0001423227 S000035104 AllianzGI Retirement 2055 Fund C000108007 Class A C000108008 Class P C000108009 Class R C000108010 R6 C000108011 Administrative Class 0001423227 S000037172 AllianzGI NFJ International Small-Cap Value Fund C000114480 Class A C000114481 Class C C000114482 Institutional C000114483 Class P C000114484 Class D 0001423227 S000038495 AllianzGI Structured Return Fund C000118770 Institutional C000118771 P C000118772 D C000118773 A C000118774 C 0001423227 S000038496 AllianzGI U.S. Equity Hedged Fund C000118775 C C000118776 Institutional C000118777 P C000118778 D C000118779 A 0001423227 S000038497 AllianzGI NFJ Emerging Markets Value Fund C000118780 Institutional C000118781 P C000118782 D C000118783 A C000118784 C 0001423227 S000039318 AllianzGI Multi-Asset Real Return Fund C000121160 Class D ALRDX C000121161 Class A ALRAX C000121162 Class C ALLCX C000121163 Institutional Class ALRNX C000121164 Class P ALRPX 0001423227 S000041387 AllianzGI Global Fundamental Strategy C000128368 Class A C000128369 Class C C000128370 Institutional Class C000128371 Class P C000128372 Class D 0001423227 S000043090 AllianzGI Best Styles Global Equity Fund C000133382 Class R6 C000145912 Class A C000145913 Institutional Class C000149004 Class P 0001423227 S000045838 AllianzGI Emerging Markets Debt Fund C000142885 Class A C000142886 Institutional Class C000142887 Class C C000142888 Class P 0001609956 S000046701 AllianzGI Global Small-Cap Opportunities Portfolio C000145754 AllianzGI Global Small-Cap Opportunities Portfolio 0001609956 S000046702 AllianzGI U.S. Unconstrained Equity Portfolio C000145755 AllianzGI U.S. Unconstrained Equity Portfolio DEF 14A 1 d811031ddef14a.htm ALLIANZ FUNDS COMPLEX Allianz Funds Complex

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 14A

Proxy Statement Pursuant to Section 14(a) of the

Securities Exchange Act of 1934

(Amendment No.   )

 

 

Filed by the Registrant  x                              Filed by a Party other than the Registrant  ¨

Check the appropriate box:

 

¨    Preliminary Proxy Statement
¨    Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2))
x    Definitive Proxy Statement
¨    Definitive Additional Materials
¨    Soliciting Materials Pursuant to §240.14a-12

Allianz Funds

Allianz Funds Multi-Strategy Trust

AllianzGI Institutional Multi-Series Trust

1633 Broadway

New York, New York 10019

(Name of Registrant as Specified In Its Charter)

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

Payment of Filing Fee (Check the appropriate box):

x   No fee required
¨   Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
  (1)  

Title of each class of securities to which transaction applies:

 

     

  (2)  

Aggregate number of securities to which transaction applies:

 

     

  (3)  

Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):

 

     

  (4)  

Proposed maximum aggregate value of transaction:

 

     

  (5)  

Total fee paid:

 

 

¨   Fee paid previously with preliminary materials:
¨   Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identifying the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
  1)  

Amount Previously Paid:

 

     

  2)  

Form, Schedule or Registration Statement No.:

 

     

  3)  

Filing Party:

 

     

  4)  

Date Filed:

 

     

 

 

 

ALLIANZ FUNDS

ALLIANZ FUNDS MULTI-STRATEGY TRUST

ALLIANZGI INSTITUTIONAL MULTI-SERIES TRUST

1633 Broadway, New York, New York 10019

For proxy information, please call 1-844-292-8017

For account information, please call:

1-800-498-5413 (Institutional Class, Class R6, Class P, Administrative Class, Class D Shares and Shares of the Funds of AllianzGI Institutional Multi-Series Trust)

1-800-988-8380 (Class A, Class B, Class C and Class R Shares)

Dear Shareholder:

On behalf of the Board of Trustees of each of Allianz Funds (“Allianz Funds”), Allianz Funds Multi-Strategy Trust (“MST”) and AllianzGI Institutional Multi-Series Trust (“IMST,” and together with Allianz Funds and MST, the “Trusts”), we are pleased to invite you to a combined special meeting of the shareholders of the Trusts to be held at 10:00 a.m., Eastern time, on December 18, 2014, at the offices of Allianz Global Investors Fund Management LLC (“AGIFM”), 1633 Broadway, New York, New York, 10019.

As discussed in more detail in the accompanying Proxy Statement, you will be asked to approve the following proposal:

 

  •  

Election of eleven (11) Trustees. Ten (10) nominees are currently Trustees of one or more of the Trusts.

AGIFM currently serves as investment manager or investment adviser/administrator to fifty-four (54) open-end and four (4) closed-end funds, and retains sub-advisers to manage the funds’ portfolios (the “Allianz Funds Complex”). Election of all of the nominees would align the membership of the boards of trustees of the open-end funds for which AGIFM serves as investment manager or investment adviser/administrator. It is intended that the combined board ultimately will oversee all of the funds in the Allianz Funds Complex. A combined board would join the background and skills of the trustees on the existing boards proposed for election and is designed to simplify and streamline oversight of funds in the Allianz Funds Complex and achieve related efficiencies.

Your vote is important

After considering the matter, the Board Governance and Nominating Committee of the Board of Trustees of Allianz Funds and the Nominating Committee of the Board of Trustees of each of MST and IMST unanimously nominated each of the proposed candidates for election and your Board of Trustees unanimously voted to recommend that shareholders of the applicable Trust(s) and each of its series vote in favor of the proposal, as more fully described in the accompanying Proxy Statement. Now it is your turn to review the proposal and vote. For more information about the issues requiring your vote, please refer to the accompanying Proxy Statement.

No matter how many shares you own, your timely vote is important. If you are not available to attend the meeting, then please promptly give your voting instructions by telephone or via the Internet by following the instructions on your Notice of Internet Availability of Proxy Materials or, if you have requested a proxy card by mail, you may vote by completing, signing, dating and returning the proxy card in order to avoid the added cost of follow-up solicitations. If you vote by telephone or via the Internet, you will be asked to enter a unique code that has been assigned to you, which is printed on the Notice of Internet Availability of Proxy Materials or your proxy card. This code is designed to confirm your identity, provide access to the voting site and confirm that your instructions are properly recorded. If you have any questions regarding the Proxy Statement, please call the Trusts’ transfer agent, Boston Financial Data Services, Inc. at 1-844-292-8017.

Thank you in advance for your participation in this important vote.

 

Sincerely,
LOGO
Thomas J. Fuccillo
Secretary

New York, New York

October 31, 2014

ALLIANZ FUNDS

ALLIANZ FUNDS MULTI-STRATEGY TRUST

ALLIANZGI INSTITUTIONAL MULTI-SERIES TRUST

1633 Broadway, New York, NY 10019

NOTICE OF SPECIAL MEETING OF SHAREHOLDERS

TO BE HELD ON DECEMBER 18, 2014

To the Shareholders:

Notice is hereby given that a combined Special Meeting of Shareholders (the “Meeting”) of the series of Allianz Funds (“Allianz Funds”), Allianz Funds Multi-Strategy Trust (“MST”) and AllianzGI Institutional Multi-Series Trust (“IMST,” and together with Allianz Funds and MST, the “Trusts,” and each series thereof a “Fund” and together, the “Funds”) will be held on December 18, 2014, at 10:00 a.m., Eastern time, at the offices of Allianz Global Investors Fund Management LLC, 1633 Broadway, New York, New York 10019.

The series of Allianz Funds are currently designated as: AllianzGI Emerging Markets Opportunities Fund, AllianzGI Focused Growth Fund, AllianzGI Global Natural Resources Fund (formerly, AllianzGI Global Commodity Equity Fund), AllianzGI Global Small-Cap Fund, AllianzGI Income & Growth Fund, AllianzGI International Managed Volatility Fund, AllianzGI Mid-Cap Fund, AllianzGI NFJ All-Cap Value Fund, AllianzGI NFJ Dividend Value Fund, AllianzGI NFJ International Value Fund, AllianzGI NFJ Large-Cap Value Fund, AllianzGI NFJ Mid-Cap Value Fund, AllianzGI NFJ Small-Cap Value Fund, AllianzGI Opportunity Fund, AllianzGI Small-Cap Blend Fund, AllianzGI Technology Fund, AllianzGI U.S. Managed Volatility Fund and AllianzGI Wellness Fund.1

The series of MST are currently designated as: AllianzGI Behavioral Advantage Large Cap Fund, AllianzGI Best Styles Global Equity Fund, AllianzGI China Equity Fund, AllianzGI Convertible Fund, AllianzGI Emerging Markets Debt Fund, AllianzGI Global Allocation Fund, AllianzGI Global Fundamental Strategy Fund, AllianzGI Global Growth Allocation Fund, AllianzGI Global Managed Volatility Fund, AllianzGI Global Water Fund, AllianzGI High Yield Bond Fund, AllianzGI International Small-Cap Fund, AllianzGI Micro Cap Fund, AllianzGI Multi-Asset Real Return Fund, AllianzGI NFJ Emerging Markets Value Fund, AllianzGI NFJ Global Dividend Value Fund, AllianzGI NFJ International Small-Cap Value Fund, AllianzGI NFJ International Value II Fund, AllianzGI Retirement 2015 Fund, AllianzGI Retirement 2020 Fund, AllianzGI Retirement 2025 Fund, AllianzGI Retirement 2030 Fund, AllianzGI Retirement 2035 Fund, AllianzGI Retirement 2040 Fund, AllianzGI Retirement 2045 Fund, AllianzGI Retirement 2050 Fund, AllianzGI Retirement 2055 Fund, AllianzGI Retirement Income Fund, AllianzGI Short Duration High Income Fund, AllianzGI Structured Return Fund (formerly, AllianzGI Structured Alpha Fund), AllianzGI Ultra Micro Cap Fund, AllianzGI U.S. Equity Hedged Fund and AllianzGI U.S. Small-Cap Growth Fund (formerly, AllianzGI U.S. Emerging Growth Fund).

 

1  To be renamed AllianzGI Health Sciences Fund on or about December 22, 2014.

The series of IMST are currently designated as: AllianzGI Global Small-Cap Opportunities Portfolio and AllianzGI U.S. Unconstrained Equity Portfolio.

As described in the Proxy Statement, the Meeting has been called for the following purposes:

1. To be voted on by all shareholders of each Trust (including shareholders of each Fund), voting separately by each such Trust: To elect Trustees of the Trusts, as described in Section I of the attached Proxy Statement.

2. To consider and act upon such other matters as may properly come before the Meeting and any adjourned or postponed session thereof.

The Boards of Trustees of the Trusts have fixed the close of business on October 17, 2014 as the record date for the determination of shareholders entitled to notice of, and to vote at, the Meeting or any adjournment or postponement thereof. With respect to each Trust, the proxy is being solicited on behalf of the Board of Trustees of such Trust.

October 31, 2014

 

By order of the Boards of Trustees
LOGO

Thomas J. Fuccillo

Secretary

YOUR VOTE IS IMPORTANT

It is important that your shares be represented at the Meeting in person or by proxy, no matter how many shares you own. If you do not expect to attend the Meeting, then please give your voting instructions by telephone or via the Internet by following the instructions on your Notice of Internet Availability of Proxy Materials or, if you have requested a proxy card by mail, you may vote by completing, signing, dating and returning the proxy card. Please give your voting instructions or submit your proxy card promptly in order to avoid any additional costs of further proxy solicitations and in order for the Meeting to be held as scheduled.

IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS FOR THE SHAREHOLDER MEETING TO BE HELD ON DECEMBER 18, 2014

The Proxy Statement and the accompanying Notice of Special Meeting of Shareholders are available without charge by following the instructions on your Notice of Internet Availability of Proxy Materials. In addition, shareholders can find important information about each Fund of Allianz Funds in such Fund’s annual report, dated June 30, 2014, including financial reports for the fiscal year ended

June 30, 2014. Shareholders can find important information about each Fund of MST other than AllianzGI Best Styles Global Equity Fund and AllianzGI Emerging Markets Debt Fund in such Fund’s annual report, dated November 30, 2013, including financial reports for the fiscal year ended November 30, 2013, and in such Fund’s semi-annual report, dated May 31, 2014. Shareholders can find important information about AllianzGI Best Styles Global Equity Fund in such Fund’s semi-annual report, dated May 31, 2014. Because AllianzGI Best Styles Global Equity Fund commenced operations on December 2, 2013 and AllianzGI Emerging Markets Debt Fund commenced operations on September 15, 2014, there are no audited financial statements available for such Funds. Because each Fund of IMST commenced operations on June 30, 2014, there are no financial statements available for such Funds. Upon request and without charge, the Trusts will furnish each person to whom the Notice of Internet Availability of Proxy Materials or the Proxy Statement is delivered with a copy of these reports. You may obtain copies of these reports without charge by calling 1-800-498-5413 (for Institutional Class, Class R6, Class P, Administrative Class, Class D Shares and Shares of the Funds of IMST) or 1-800-988-8380 (for Class A, Class B, Class C and Class R Shares), by writing to the Trust at the address appearing above or on the Funds’ website at us.allianzgi.com.

PROXY STATEMENT

FOR THE SPECIAL MEETING OF SHAREHOLDERS

TO BE HELD ON DECEMBER 18, 2014

The Notice of the Meeting, this Proxy Statement and the proxy card are being made available to shareholders of record as of October 17, 2014 (the “Record Date”) beginning on or about October 31, 2014.

 

 

ALLIANZ FUNDS

1633 Broadway, New York, NY 10019

 

AllianzGI Emerging Markets Opportunities Fund

  

AllianzGI NFJ All-Cap Value Fund

AllianzGI NFJ Dividend Value Fund

AllianzGI NFJ International Value Fund

AllianzGI NFJ Large-Cap Value Fund

AllianzGI NFJ Mid-Cap Value Fund

AllianzGI NFJ Small-Cap Value Fund

AllianzGI Opportunity Fund

AllianzGI Small-Cap Blend Fund

AllianzGI Technology Fund

AllianzGI U.S. Managed Volatility Fund

AllianzGI Wellness Fund1

AllianzGI Focused Growth Fund

  

AllianzGI Global Natural Resources Fund (formerly, AllianzGI Global Commodity Equity Fund)

  

AllianzGI Global Small-Cap Fund

  

AllianzGI Income & Growth Fund

  

AllianzGI International Managed Volatility Fund

  

AllianzGI Mid-Cap Fund

  

ALLIANZ FUNDS MULTI-STRATEGY TRUST

1633 Broadway, New York, NY 10019

 

AllianzGI Behavioral Advantage Large Cap Fund

  

AllianzGI Multi-Asset Real Return Fund

AllianzGI Best Styles Global Equity Fund

AllianzGI China Equity Fund

AllianzGI Convertible Fund

AllianzGI Emerging Markets Debt Fund

AllianzGI Global Allocation Fund

AllianzGI Global Fundamental Strategy Fund

AllianzGI Global Growth Allocation Fund

AllianzGI Global Managed Volatility Fund

AllianzGI Global Water Fund

AllianzGI High Yield Bond Fund

AllianzGI International Small-Cap Fund

AllianzGI Micro Cap Fund

  

AllianzGI NFJ Emerging Markets Value Fund

 

AllianzGI NFJ Global Dividend Value Fund

 

AllianzGI NFJ International Small-Cap Value Fund

 

AllianzGI NFJ International Value II Fund

 

AllianzGI Retirement 2015 Fund

 

AllianzGI Retirement 2020 Fund

 

AllianzGI Retirement 2025 Fund

 

AllianzGI Retirement 2030 Fund

 

AllianzGI Retirement 2035 Fund

 

AllianzGI Retirement 2040 Fund

 

AllianzGI Retirement 2045 Fund

 

1  To be renamed AllianzGI Health Sciences Fund on or about December 22, 2014.

 

1

AllianzGI Retirement 2050 Fund

AllianzGI Retirement 2055 Fund

AllianzGI Retirement Income Fund

AllianzGI Short Duration High Income Fund

AllianzGI Structured Return Fund (formerly, AllianzGI Structured Alpha Fund)

  

AllianzGI Ultra Micro Cap Fund

AllianzGI U.S. Equity Hedged Fund

AllianzGI U.S. Small-Cap Growth Fund (formerly, AllianzGI U.S. Emerging Growth Fund)

 
 
 
 

ALLIANZGI INSTITUTIONAL MULTI-SERIES TRUST

1633 Broadway, New York, NY 10019

 

AllianzGI Global Small-Cap Opportunities Portfolio

   

AllianzGI U.S. Unconstrained Equity Portfolio

The Board of Trustees (each a “Board” or “Trustees”) of each of Allianz Funds (“Allianz Funds”), Allianz Funds Multi-Strategy Trust (“MST”) and AllianzGI Institutional Multi-Series Trust (“IMST,” and together with Allianz Funds and MST, the “Trusts”), is soliciting proxies from the shareholders of each series of each Trust listed above (each, a “Fund” and together, the “Funds”) in connection with a special meeting (the “Meeting”) of shareholders of the Funds to be held at 10:00 a.m., Eastern time, on December 18, 2014 at the offices of Allianz Global Investors Fund Management LLC (“AGIFM”), 1633 Broadway, New York, New York 10019. Throughout this Proxy Statement, the Board of Allianz Funds is referred to as the “Allianz Funds Board” and the Board of MST and IMST is referred to as the “Multi-Funds Board.” The Notice of the Meeting, this Proxy Statement and the proxy card are being made available to shareholders of record as of October 17, 2014 (the “Record Date”) beginning on or about October 31, 2014. Upon request and without charge, the Trusts will furnish each person to whom this Proxy Statement or Notice of Internet Availability of Proxy Materials is delivered with a copy of the Funds’ latest annual and semi-annual reports (if any) to shareholders. You may obtain copies of one or more reports without charge by calling 1-800-498-5413 (for Institutional Class, Class R6, Class P, Administrative Class, Class D Shares and Shares of the Funds of IMST) or 1-800-988-8380 (for Class A, Class B, Class C and Class R Shares), by writing to the Trust at the address appearing above or on the Funds’ website at us.allianzgi.com.

The Meeting is being called for the following purposes: (1) to elect Trustees of the Trusts, and (2) to transact such other business as may properly come before the Meeting or any postponement or adjournment thereof.

Section I of this Proxy Statement contains information relating to the proposal to elect Trustees of the Trusts. Section II contains additional background information about the Trusts, the investment manager or investment adviser/administrator of the Funds, AGIFM, and other matters. Section III contains general information about the Meeting and shareholder voting.

 

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I. ELECTION OF A BOARD OF TRUSTEES

AGIFM currently serves as investment manager or investment adviser/administrator to fifty-four (54) open-end funds (fifty-three (53) of which are represented in this Proxy Statement) and four (4) closed-end funds, and retains sub-advisers to manage the funds’ portfolios (together, the “Allianz Funds Complex”). Currently, funds in the Allianz Funds Complex are served by two separate Boards of Trustees. One Board oversees Allianz Funds (the “Allianz Funds Board”). The other Board (the “Multi-Funds Board”) oversees MST and IMST, as well as other funds that are not covered in this Proxy Statement, including Premier Multi-Series VIT (“VIT”), an open-end investment company consisting of one series for which AGIFM serves as investment manager and an affiliate of AGIFM serves as investment sub-adviser, and AllianzGI Convertible & Income Fund, AllianzGI Convertible & Income Fund II, AllianzGI Equity & Convertible Income Fund and AllianzGI NFJ Dividend, Interest & Premium Strategy Fund, each a closed-end fund for which AGIFM serves as investment manager and affiliates of AGIFM serve as investment sub-adviser (the “AGIFM Closed-End Funds”).

At the Meeting, shareholders of the Trusts will be asked to elect the same eleven (11) individuals (the “Nominees”) to serve as Trustees on both the Allianz Funds Board and the Multi-Funds Board (the “Consolidated Board”).

The Allianz Funds Board is currently composed of ten Trustees, eight of whom are Independent Trustees (defined below) and two of whom are Interested Trustees (defined below). The Multi-Funds Board is currently composed of seven Trustees, six of whom are Independent Trustees and one of whom is an Interested Trustee. With the exception of two Trustees (one of whom is Independent and the other Interested), the Allianz Funds Board and Multi-Funds Board currently have no members in common. Four of the current Allianz Funds Trustees (John C. Maney, Edward E. Sheridan, W. Bryant Stooks and James W. Zug) and one of the current Multi-Funds Trustees (John C. Maney) have indicated their intention to resign from the Board(s) on which they serve on or prior to the end of calendar year 2014, and will not stand for election to the Consolidated Board. Each of Messrs. Stooks and Zug will resign upon the election of his successor, one year prior to his scheduled retirement in December 2015 in accordance with the Allianz Funds Board retirement policy. As part of the plan for consolidation, the Allianz Funds Board determined that it was appropriate to provide a severance payment to each of Messrs. Stooks and Zug, payable in four quarterly installments. The amount of such payment provided by Allianz Funds is equal to each such Trustee’s annual retainer in 2014. In addition to the payments from Allianz Funds, AGIFM has agreed to provide severance payments to Messrs. Stooks and Zug of $50,000 and $25,000, respectively, given that AGIFM also expects to benefit from the administrative efficiencies of the Consolidated Board. The Consolidated Board would join the background and skills of the Trustees on the existing Boards who will stand for election to the Consolidated Board and is designed to simplify and streamline oversight of funds in the Allianz Funds Complex and achieve related efficiencies.

 

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Rationale for Having a Consolidated Board. During the past several years, there have been a number of initiatives designed to consolidate and streamline Allianz’s asset management business in the United States, including through the reorganization of several affiliated investment advisers into the firm that is now Allianz Global Investors U.S. LLC (“AGI U.S.”), a sub-adviser to many of the funds in the Allianz Funds Complex. In addition, a number of closed-end and open-end funds for which AGIFM served as investment manager and its affiliate, Pacific Investment Management Company LLC (“PIMCO”), served as sub-adviser, were transitioned to the PIMCO Funds platform effective in September 2014, such that AGIFM no longer serves as the investment manager to those funds (the “PIMCO-Sponsored Funds”).

Taking into account these initiatives, including the reduction in funds comprising the Allianz Funds Complex and in the individual advisory firms that manage the funds, the Allianz Funds Board and the Multi-Funds Board, in consultation with AGIFM, considered consolidating into a single board with common membership that would oversee all funds in the Allianz Funds Complex. At a joint meeting held on September 15, 2014, the Allianz Funds Board and the Multi-Funds Board determined to proceed with the consolidation, subject to shareholder election of the applicable Nominees to the Consolidated Board. These Board approvals followed the nomination of each of the Nominees by the Board Governance and Nominating Committee of the Allianz Funds Board and the Nominating Committee of the Multi-Funds Board, all of the members of which are Independent Trustees. Each of Messrs. Bradford K. Gallagher, Hans W. Kertess, James A. Jacobson, William B. Ogden, IV and Alan Rappaport and Ms. Susan M. King was originally recommended to the Allianz Funds Board for approval as a Trustee by the Independent Trustees of Allianz Funds. Each of Messrs. F. Ford Drummond, James S. MacLeod, Davey S. Scoon and Julian Sluyters and Ms. King was originally recommended to the Multi-Funds Board for approval as a Trustee by the Independent Trustees of MST and IMST. Ms. Deborah A. DeCotis currently serves as a Trustee on both the Allianz Funds Board and the Multi-Funds Board and was originally recommended to the Boards by the Independent Trustees of the Trusts.

The Allianz Funds Board and the Multi-Funds Board have historically held separate meetings but often have reviewed substantially the same policy issues, contractual arrangements and other matters relating to the funds they oversee. The Allianz Funds Board and the Multi-Funds Board have appointed many of the same fund officers, including the President and Chief Executive Officer; the Treasurer and Principal Financial and Accounting Officer; the Vice President, Secretary and Chief Legal Officer; and the Chief Compliance Officer. There are minor differences in the Assistant Secretaries and Assistant Treasurers that have been appointed by the Allianz Funds Board and the Multi-Funds Board. In approving the Consolidated Board, the Boards took into account that, among other potential efficiencies, consolidating into one Board would reduce the duplication of Board materials and reports covering the same topics and would avoid the need for repeated presentations by the same personnel at different meetings. In this regard, the Boards considered

 

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that the funds and AGIFM would realize efficiencies and potential future cost savings if the same individuals served as Trustees of all funds in the Allianz Funds Complex.

In consultation with AGIFM, the Boards also considered, among other factors, that the establishment of the Consolidated Board can be expected to promote enhanced effectiveness of board oversight of all funds in the Allianz Funds Complex, including with respect to their management and other service providers; promote a more efficient use of resources by management, which will enhance management’s productivity and potentially lead to a reduction in the costs of such services over time; and improve the long-term prospects for attracting and retaining qualified individuals to serve as independent trustees on the Consolidated Board. In addition, each Board determined that the funds it oversees are likely to benefit from the particular backgrounds, skills and other attributes of those Nominees who currently serve as members of the other Board and would be added to the Consolidated Board.

Description of the Consolidated Board and Related Matters. Ten of the Nominees to the Consolidated Board are current Trustees of one or more of the Boards of Trustees and one of the Nominees is not currently a Trustee and would be an Interested Trustee if elected. The Nominees are F. Ford Drummond, James S. MacLeod, Davey S. Scoon and Julian Sluyters, each of whom is a current member of the Allianz Funds Board; Bradford K. Gallagher, Hans W. Kertess, James A. Jacobson, William B. Ogden, IV and Alan Rappaport, each of whom is a current member of the Multi-Funds Board; Deborah A. DeCotis, who is a current member of both the Allianz Funds Board and the Multi-Funds Board; and Susan M. King, who is not currently a member of any Board. Each of Ms. DeCotis and Messrs. Drummond, Gallagher, Jacobson, Kertess, MacLeod, Ogden, Rappaport and Scoon is not an “interested person” of the Trusts, as defined in the Investment Company Act of 1940, as amended (the “1940 Act”) (such individuals are commonly referred to as “Independent Trustees”). Each of Ms. King and Mr. Sluyters is an “interested person” of the Trusts, as defined in the 1940 Act, because of his or her affiliation with AGIFM and its affiliates (such individuals are commonly referred to as “Interested Trustees”).

The shareholders of VIT have been asked to elect the Nominees to the Consolidated Board at a separate shareholder meeting to be held contemporaneously with the Meeting. In addition, during calendar year 2015, it is expected that shareholders of each of the AGIFM Closed-End Funds will be asked to elect applicable Nominees at their next annual meetings such that each such fund would be overseen by the Consolidated Board following such meetings. Following such meetings, and subject to applicable shareholder approvals, all funds in the Allianz Funds Complex would then be overseen by the Consolidated Board.

All current Trustees of Allianz Funds with the exception of Mr. Sluyters and Ms. DeCotis were elected previously by shareholders. Mr. Sluyters was appointed to the Allianz Funds Board by the Trustees effective March 6, 2014 and Ms. DeCotis was appointed to the Allianz Funds Board by the Trustees effective June 5, 2014. All

 

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current Trustees of MST with the exception of Ms. DeCotis were elected previously by shareholders. Ms. DeCotis was appointed to the MST Board by the Trustees effective March 7, 2011. All current Trustees of IMST were elected previously by shareholders.

The Fifth Amended and Restated Agreement and Declaration of Trust of Allianz Funds, Amended and Restated Agreement and Declaration of Trust of MST and Amended and Restated Agreement and Declaration of Trust of IMST (each a “Declaration of Trust” and together the “Declarations of Trust”) do not provide for the annual election of Trustees. However, in accordance with the 1940 Act, (i) each Trust will hold a shareholders’ meeting for the election of Trustees at such time as less than a majority of the Trustees holding office have been elected by shareholders; and (ii) if, as a result of a vacancy in a Board of Trustees, less than two-thirds of the Trustees holding office have been elected by the shareholders, that vacancy may only be filled by a vote of the shareholders. In addition, pursuant to the terms of the Administrative Order captioned “In the Matter of PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC,” Allianz Funds is required to hold a shareholders’ meeting for the purpose of electing Trustees beginning in 2005 and once every five calendar years thereafter.

The business of each Trust is managed under the direction of the Trust’s Board of Trustees. Subject to the provisions of each Trust’s Declaration of Trust, its Bylaws and the laws of The Commonwealth of Massachusetts, the Trustees have all powers necessary and convenient to carry out this responsibility, including the election and removal of the Trust’s officers.

Board Leadership Structures — As noted above, the Allianz Funds Board is currently composed of ten Trustees, eight of whom are Independent Trustees and two of whom are Interested Trustees. The Multi-Funds Board is currently composed of seven Trustees, six of whom are Independent Trustees and one of whom is an Interested Trustee. An Independent Trustee serves as Chairman of the Trustees and is selected by vote of the majority of the Independent Trustees. The Chairman of the Trustees presides at meetings of that Board and acts as a liaison with service providers, officers, attorneys and other Trustees generally between meetings, and performs such other functions as may be requested by the Board from time to time.

Each Board of Trustees meets regularly four times each year to discuss and consider matters concerning its Trust and the applicable Funds, and also holds special meetings to address matters arising between regular meetings. The Independent Trustees regularly meet outside the presence of Trust management and are advised by independent legal counsel. Regular meetings generally take place in-person; other meetings may take place in-person or by telephone.

The Allianz Funds Board has established five standing Committees to facilitate the Trustees’ oversight of the management of the Trust: the Audit Oversight and Compliance Committee, the Board Governance and Nominating Committee, the Contracts Committee, the Performance Committee and the Valuation Committee.

 

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The Multi-Funds Board has established four standing Committees to facilitate the Trustees’ oversight of the management of MST and IMST: the Audit Oversight Committee, the Nominating Committee, the Valuation Committee and the Compensation Committee. The functions and role of each Committee are described below under “Committees of the Boards of Trustees.”

With respect to the Allianz Funds Board, each Independent Trustee is a member of at least two Committees, which the Board believes allows the Independent Trustees to participate in a broad range of the Board’s oversight duties. In addition, each Committee is chaired by an Independent Trustee. With respect to the Multi-Funds Board, the membership of each Committee consists of all of the Independent Trustees, which the Board believes allows the Independent Trustees to participate in the full range of the Board’s oversight duties.

Each Board reviews its leadership structure periodically and has determined that this leadership structure, including an Independent Chairman, a supermajority of Independent Trustees on the Boards and limiting Committee chairs (in the case of the Allianz Funds Board) or limiting Committee membership (in the case of the Multi-Funds Board) to Independent Trustees, is appropriate in light of the characteristics and circumstances of the applicable Trust. In reaching this conclusion, each Board considered, among other things, the role of AGIFM and the Funds’ sub-advisers (the “Sub-Advisers”) in the day-to-day management of Fund affairs, the extent to which the work of the Board is conducted through the Committees, the number of portfolios that comprise the Trust(s) overseen and the Allianz Funds Complex, the variety of asset classes those series include, the net assets of each Fund and Trust overseen and of the Allianz Funds Complex, and the investment advisory/administration or management, distribution and other service arrangements of each Fund and Trust overseen and of the Allianz Funds Complex. Each Board also believes that its structure, including the presence of one or more Trustees who are executives with various entities affiliated with AGIFM, facilitates an efficient flow of information concerning the management of the Trusts to the Independent Trustees.

Risk Oversight — Each of the Funds has retained AGIFM and the applicable Sub-Adviser to provide investment advisory services, and, in the case of AGIFM, administrative services, and these service providers are responsible for the management of risks that may arise from Fund investments and operations. Some employees of AGIFM and/or its affiliates serve as each Trust’s officers, including the Trust’s principal executive officer and principal financial and accounting officer, chief compliance officer and chief legal officer. AGIFM and the Sub-Advisers employ different processes, procedures and controls to identify and manage different types of risks that may affect the Funds. Each Board oversees the performance of the risk management functions provided by AGIFM and the Sub-Advisers, both directly and through the Committee structure it has established. Each Board receives from AGIFM and the Sub-Advisers a wide range of reports, both on a regular and as-needed basis, relating to the activities of the Funds it oversees and to the actual and

 

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potential risks of the Funds it oversees and the Trust(s) as a whole. These include, among others, reports on investment risks, custody and valuation of the Funds’ assets, compliance with applicable laws, and the Funds’ financial accounting and reporting. Each Board also regularly receives, from the Funds’ principal underwriter, reports regarding the distribution, sale and marketing of the Funds’ shares, as well as related risks. In addition, each Board meets periodically with the individual portfolio managers of the Funds to receive reports regarding the portfolio management of the Funds and their performance, including their investment risks. In the course of these meetings and discussions with AGIFM and the Sub-Advisers, each Board has emphasized the importance of maintaining vigorous risk management programs and procedures.

In addition, the Allianz Funds Board and the Multi-Funds Board has each appointed the same Chief Compliance Officer (the “CCO”). The CCO oversees the development of compliance policies and procedures that are reasonably designed to minimize the risk of violations of the federal securities laws (“Compliance Policies”). The CCO reports directly to the Independent Trustees, interacts with individuals within AGIFM’s organization including its head of risk management, and provides presentations to the Boards at their quarterly meetings and annual reports on the application of the Compliance Policies. Each Board periodically discusses relevant risks affecting the Trust(s) with the CCO at these meetings. Each Board has approved the Compliance Policies and reviews the CCO’s reports. Further, each Board annually reviews the sufficiency of the Compliance Policies, as well as the appointment and compensation of the CCO.

Each Board recognizes that the reports it receives concerning risk management matters are, by their nature, typically summaries of the relevant information. Moreover, each Board recognizes that not all risks that may affect the Funds can be identified in advance; that it may not be practical or cost-effective to eliminate or mitigate certain risks; that it may be necessary to bear certain risks (such as investment-related risks) in seeking to achieve the Funds’ investment objectives; and that the processes, procedures and controls employed to address certain risks may be limited in their effectiveness. As a result of the foregoing and for other reasons, each Board’s risk management oversight is subject to substantial limitations.

During the fiscal year ended June 30, 2014, the Allianz Funds Board met four times and each incumbent Trustee Nominee who was then a member of the Allianz Funds Board was present for at least 75% of the aggregate number of meetings of the Allianz Funds Board held during the period for which he or she has been a Trustee and meetings held by all committees on which he or she served during the period that he or she served. During the fiscal year ended November 30, 2013, the Multi-Funds Board met six times with respect to MST and two additional times with respect to VIT and/or the AGIFM Closed-End Funds and each incumbent Trustee Nominee who was then a member of the Multi-Funds Board was present for at least 75% of the aggregate number of meetings of the Multi-Funds Board held during the period for which he or she has been a Trustee and meetings held by all committees on which he or she served during the period that he or she served. IMST has not yet completed its initial fiscal year.

 

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Information about Nominees

Information about the Nominees is presented below. The information is listed separately for (i) Nominees who are Interested Trustees and (ii) Nominees who are Independent Trustees. Except as shown, each Nominee’s principal occupation and business experience for the last five years have been with the employer(s) indicated, although in some cases the Nominee may have held different positions with such employer(s).

Interested Trustee Nominees(1)

 

Name, Address*,
and Year of Birth

   Position(s)
Held with
Trusts		  

Length of
Time Served

  

Principal Occupation(s)
During Past 5 Years

  

Number of
Portfolios
in Fund
Complex
Overseen
or to be
Overseen by
Trustee or
Nominee for
Trustee(2)

  

Other
Directorships
Held by
Trustee or
Nominee for
Trustee

New Nominee of Allianz Funds/MST/IMST

      

Susan M. King(3)

1963

   New
Interested
Nominee		   N/A   Chief Marketing Officer, Allianz Global Investors U.S. LLC (since 2013). Formerly, Global Head of Marketing for Morgan Stanley Investment Management (2011-2013). Formerly, Consultant (self-employed) (2009-2011). Formerly, Head of US Distribution Marketing for Legg Mason (2005-2009).   54   None.

New Nominee for MST/IMST; Incumbent Trustee of Allianz Funds

    

Julian Sluyters(3)

1960

   President
and Chief
Executive
Officer of
the Trusts;
Trustee of
Allianz
Funds;
New
Interested
Nominee
of MST/
IMST		  

AF: 3/2014 to present (President, Chief Executive Officer and Trustee)

 

MST: 3/2014 to present (President and Chief Executive Officer)

 

IMST: 6/2014 to present (President and Chief Executive Officer)

   Chairman of the Management Board of Allianz Global Investors Fund Management LLC (since 2013); Chief Operating Officer, Managing Director and member of the Executive Committee of Allianz Global Investors U.S. Holdings LLC (since 2012); President and Chief Executive Officer of 58 funds in the Fund Complex; Trustee of 18 funds in the Fund Complex. Formerly, President and Chief Executive Officer, Old Mutual Capital Inc. (2008-2012).   54   None.

 

* Unless otherwise indicated, the business address of the persons listed above is c/o Allianz Global Investors Fund Management LLC, 1633 Broadway, New York, New York 10019.

 

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(1) “Independent Trustees” are those Trustees who are not “Interested Persons” (as defined in Section 2(a)(19) of the 1940 Act), and “Interested Trustees” are those Trustees who are “Interested Persons” of the Funds.
(2) As noted above, the shareholders of VIT have been asked to elect the Nominees to the Consolidated Board at a separate meeting to be held contemporaneously with the Meeting; therefore, the series of VIT is included in the number of portfolios overseen or to be overseen by a Trustee or Nominee. During calendar year 2015, it is intended that, subject to shareholder approval, the Consolidated Board will also oversee the AGIFM Closed-End Funds. The four AGIFM Closed-End Funds and PIMCO-Sponsored Funds account for the difference in the number of portfolios overseen or to be overseen by a Trustee or Nominee because certain Nominees currently serve as Trustees of the AGIFM Closed-End Funds and PIMCO-Sponsored Funds and others do not. The PIMCO-Sponsored Funds are not part of the “Allianz Funds Complex” as used elsewhere in this Proxy Statement, but are part of the “Fund Complex” for purposes of this table.
(3) Each of Ms. King and Mr. Sluyters is an “interested person” of the Trusts, as defined in Section 2(a)(19) of the 1940 Act, due to her or his affiliation with AGIFM or its affiliates.

Independent Trustee Nominees(1)

 

Name, Address*,
and Year of Birth

   Position(s)
Held with
Trusts		  

Length of
Time Served

  

Principal Occupation(s)
During Past 5 Years

  

Number of
Portfolios
in Fund
Complex
Overseen
or to be
Overseen by
Trustee or
Nominee for
Trustee(2)

  

Other
Directorships
Held by
Trustee or
Nominee for
Trustee

Incumbent Trustee of Allianz Funds/MST/IMST

      

Deborah A. DeCotis

1952

   Trustee  

AF: 6/2014 to present

 

MST: 3/2011 to present

 

IMST: 6/2014 to present

   Advisory Director, Morgan Stanley & Co., Inc. (since 1996); Co-Chair Special Projects Committee, Memorial Sloan Kettering (since 2005); Member, Circle Financial Group (since 2010); Trustee, Stanford University (since 2010); and Member, Council on Foreign Relations (since 2013). Formerly, Director, Helena Rubenstein Foundation (1997-2012).   83   None.

New Nominee for MST/IMST; Incumbent Trustee of Allianz Funds

    

F. Ford Drummond

1962

   Trustee of
Allianz
Funds; New
Independent
Nominee of
MST/IMST		   AF: 1/2006 to present   Owner/Operator, Drummond Ranch. Formerly, Director, The Cleveland Bank; and General Counsel, BMI-Health Plans (benefits administration).   54   Director, BancFirst Corporation.

 

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Name, Address*,
and Year of Birth

   Position(s)
Held with
Trusts		  

Length of
Time Served

  

Principal Occupation(s)
During Past 5 Years

  

Number of
Portfolios
in Fund
Complex
Overseen
or to be
Overseen by
Trustee or
Nominee for
Trustee(2)

  

Other
Directorships
Held by
Trustee or
Nominee for
Trustee

James S. MacLeod

1947

   Trustee of
Allianz
Funds; New
Independent
Nominee of
MST/IMST		   AF: 1/2006 to present   Director, Chairman and Chief Executive Officer, CoastalSouth Bancshares, Inc.; Director and President, CoastalStates Bank; and Director, Homeowners Mortgage. Formerly, Executive Vice President, Mortgage Guaranty Insurance Corporation. Formerly, Chief Executive Officer of Homeowners Mortgage.   54   Director, Sykes Enterprises, Inc.

Davey S. Scoon

1946

   Trustee
(Chairman)
of Allianz
Funds; New
Independent
Nominee of
MST/IMST		   AF: 1/2006 to present   Adjunct Assistant Professor, Tufts University School of Medicine and Adjunct Professor, University of Wisconsin-Madison. Formerly, Chief Administrative and Financial Officer, Tom’s of Maine (personal care products manufacturing); and Chief Administrative and Financial Officer, SunLife Financial- U.S. (financial services).   54   Chairman, Tufts Health Plan; Director, AMAG Pharmaceuticals, Inc.; Director, Orthofix International N.V. and Director, Biodel Inc. Formerly, Director, CardioKine Inc. and Director, NitroMed, Inc.

New Nominee for Allianz Funds; Incumbent Trustee of MST/IMST

    

Bradford K.

Gallagher

1944

   Trustee of
MST/
IMST; New
Independent
Nominee of
Allianz
Funds		  

MST: 9/2010 to present

 

IMST: 6/2014 to present

   Retired. Chairman and Trustee, Atlantic Maritime Heritage Foundation (since 2007); Founder, Spyglass Investments LLC, a private investment vehicle (since 2001); and Founder, President and CEO, Cypress Holding Company and Cypress Tree Investment Management Company (since 1995). Formerly, Partner, New Technology Ventures Capital Management LLC, a venture capital fund (2011-2013); and Chairman and Trustee, Commonfund (2005-2014).   83   Formerly, Chairman and Trustee of Grail Advisors ETF Trust (2009-2010) and Trustee of Nicholas-Applegate Institutional Funds (2007-2010).

James A. Jacobson

1945

   Trustee of
MST/
IMST; New
Independent
Nominee of
Allianz
Funds		  

MST: 12/2009 to present

 

IMST: 6/2014 to present

   Retired. Formerly, Vice Chairman and Managing Director, Spear, Leeds & Kellogg Specialists, LLC, a specialist firm on the New York Stock Exchange.   83   Trustee, Alpine Mutual Funds Complex consisting of 17 funds.

 

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Name, Address*,
and Year of Birth

   Position(s)
Held with
Trusts		  

Length of
Time Served

  

Principal Occupation(s)
During Past 5 Years

  

Number of
Portfolios
in Fund
Complex
Overseen
or to be
Overseen by
Trustee or
Nominee for
Trustee(2)

  

Other
Directorships
Held by
Trustee or
Nominee for
Trustee

Hans W. Kertess

1939

   Trustee
(Chairman)
of MST/
IMST; New
Independent
Nominee of
Allianz
Funds		  

MST: 3/2008 to present

 

IMST: 6/2014 to present

   President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets.   83   None.

William B.

Ogden, IV

1945

   Trustee of
MST/
IMST; New
Independent
Nominee of
Allianz
Funds		  

MST: 3/2008 to present

 

IMST: 6/2014 to present

   Asset Management Industry Consultant. Formerly, Managing Director, Investment Banking Division of Citigroup Global Markets Inc.   83   None.

Alan Rappaport

1953

   Trustee of
MST/
IMST; New
Independent
Nominee of
Allianz
Funds		  

MST: 6/2010 to present

 

IMST: 6/2014 to present

   Advisory Director (formerly Vice Chairman) (since 2009), Roundtable Investment Partners; Chairman (formerly President), Private Bank of Bank of America; Vice Chairman, US Trust (2001-2008); Adjunct Professor, New York University Stern School of Business (since 2011); Lecturer, Stanford University Graduate School of Business (since 2013); Trustee, American Museum of Natural History (since 2005) and Trustee, NYU Langone Medical Center (since 2007); Director, Victory Capital Holdings, Inc., an asset management firm (since 2013)   83   None.

 

* Unless otherwise indicated, the business address of the persons listed above is c/o Allianz Global Investors Fund Management LLC, 1633 Broadway, New York, New York 10019.
(1) “Independent Trustees” are those Trustees who are not “Interested Persons” (as defined in Section 2(a)(19) of the 1940 Act), and “Interested Trustees” are those Trustees who are “Interested Persons” of the Funds.
(2)

As noted above, the shareholders of VIT have been asked to elect the Nominees to the Consolidated Board at a separate meeting to be held contemporaneously with the Meeting; therefore, the series of VIT is included in the number of

 

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  portfolios overseen or to be overseen by a Trustee or Nominee. During calendar year 2015, it is intended that, subject to shareholder approval, the Consolidated Board will also oversee the AGIFM Closed-End Funds. The four AGIFM Closed-End Funds and PIMCO-Sponsored Funds account for the difference in the number of portfolios overseen or to be overseen by a Trustee or Nominee because certain Nominees currently serve as Trustees of the AGIFM Closed-End Funds and PIMCO-Sponsored Funds and others do not. The PIMCO-Sponsored Funds are not part of the “Allianz Funds Complex” as used elsewhere in this Proxy Statement, but are part of the “Fund Complex” for purposes of this table.

The term of office of each person elected as Trustee will be until his or her successor is elected and qualified. Each of the Nominees has agreed to serve as a Trustee if elected. If any of the Nominees should be unavailable for election at the time of the Meeting (which is not presently anticipated), the persons named as proxy may vote for other persons in their discretion, or the Trustees may vote to fix the number of Trustees at fewer than eleven.

Trustee Qualifications — The Boards have determined that each Nominee should serve or continue to serve as such based on several factors (none of which alone is decisive). With the exception of Ms. King, who is not currently a Trustee, and Mr. Sluyters, who was appointed to the Allianz Funds Board in 2014, the Nominees have served on one or more of the Boards for a number of years. Each Nominee is knowledgeable about the Trusts’ business and service provider arrangements, which are for the most part common among the Trusts. Among the factors the Boards considered when concluding that an individual should serve on the Consolidated Board were the following: (i) the individual’s business and professional experience and accomplishments; (ii) the individual’s ability to work effectively with other members of the Consolidated Board; (iii) the individual’s prior experience, if any, serving on the boards of public companies (including, where relevant, other investment companies) and other complex enterprises and organizations; and (iv) how the individual’s skills, experiences and attributes would contribute to an appropriate mix of relevant skills and experience on the Consolidated Board.

In respect of each current Trustee, the individual’s substantial professional accomplishments and prior experience, including, in some cases, in fields related to the operations of the Funds, were a significant factor in the determination that the individual should serve as a Trustee of the Trusts. Following is a summary of various qualifications, experiences and skills of each Nominee (in addition to business experience during the past five years set forth in the table above) that contributed to the Boards’ conclusion that an individual should serve on the Consolidated Board. References to qualifications, experiences and skills are not intended to hold out the Consolidated Board or individual Nominees as having any special expertise or experience, and shall not impose any greater responsibility or liability on any such person or on the Consolidated Board by reason thereof.

 

13

Deborah A. DeCotis — Ms. DeCotis has substantial senior executive experience in the investment banking industry, having served as a Managing Director for Morgan Stanley. She has extensive board experience and/or experience in oversight of investment management functions through her experience as a Director of the Helena Rubenstein Foundation, Stanford Graduate School of Business and Armor Holdings.

F. Ford Drummond — Mr. Drummond has substantial legal background and experience in the oversight and management of regulated companies through his work as General Counsel of BMI Health Plans, a benefits administrator. He has substantial board experience in the banking sector as a director of the BancFirst Corporation, Oklahoma’s largest state chartered bank, and as a former director of The Cleveland Bank. Mr. Drummond also serves as a member and is past chairman of the Oklahoma Water Resources Board, which provides tax exempt financing for water infrastructure projects in the state.

Bradford K. Gallagher — Mr. Gallagher has substantial executive and board experience in the financial services and investment management industries. He has served as director to several other investment companies. Having served on the Operating Committee of Fidelity Investments and as a Managing Director and President of Fidelity Investments Institutional Services Company, he provides the Trusts he oversees with significant asset management industry expertise. He also brings significant securities industry experience, having served as a developer and founder of several enterprises and private investment vehicles.

Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry.

Susan M. King — Ms. King has substantial executive experience in the asset management industry in marketing and product management positions. She also has experience in the investment banking industry. Ms. King currently serves in a senior-level position with an investment advisory firm affiliated with AGIFM. Because of her familiarity with the Funds, AGIFM and affiliated entities, she would serve as an important information resource for the Independent Trustees.

James A. Jacobson — Mr. Jacobson has substantial executive and board experience in the financial services industry. He served for more than 15 years as a senior executive at an NYSE specialist firm. He has also served on the NYSE Board of Directors, including terms as Vice Chair. As such, he provides significant expertise on matters relating to portfolio brokerage and trade execution. He also provides significant financial expertise and serves as the Audit Oversight Committee’s Chair for the Multi-Funds Board and has been determined by the Multi-Funds Board to be an “audit committee financial expert.” He has expertise in investment company matters through his service as a trustee of another fund family.

 

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James S. MacLeod — Mr. MacLeod has substantial business and finance experience, including in the banking sector. He has experience as an officer and a board member of public and private companies. He is the Chairman and Chief Executive Officer of Coastal Bancshares and President of CoastalStates Bank. He is also on the board of Homeowners Mortgage and Sykes Enterprises, Inc. He also has experience in the non-profit sector overseeing the endowment of the University of Tampa while serving as Trustee (since 2006), Chairman of the Development Committee and Member of the Executive Committee.

William B. Ogden, IV — Mr. Ogden has substantial senior executive experience in the investment banking industry. He served as Managing Director at Citigroup, where he established and led the firm’s efforts to raise capital for and provide mergers and acquisition advisory services to asset managers and investment advisers. He also has significant expertise with fund products through his senior-level responsibility for originating and underwriting a broad variety of such products.

Alan Rappaport — Mr. Rappaport has substantial senior executive experience in the financial services industry. He formerly served as Chairman and President of the private banking division of Bank of America and as Vice Chairman of U.S. Trust. He is currently Advisory Director of an investment banking firm.

Davey S. Scoon — Mr. Scoon has many years of senior executive experience in the financial services industry, including 14 years as Chief Operating Officer of Colonial Mutual Funds. He has a background and experience in accounting and finance as well as experience as an officer of public companies. He served as Chief Administrative and Financial Officer for Tom’s of Maine and SunLife Financial – U.S. He serves on several public company boards and is an audit committee financial expert. He is a director of several biomedical companies, including serving as board chair of a health plan with a $1 billion investment portfolio.

Julian Sluyters — Mr. Sluyters has substantial business and finance experience, including an accounting background and experience as an executive in the investment management industry. He has served in a variety of senior-level positions with investment advisory firms affiliated with AGIFM. Because of his familiarity with the Funds, AGIFM and affiliated entities, he serves as an important information resource for the Independent Trustees and as a facilitator of communication with AGIFM.

Committees of the Boards of Trustees

Audit Committees. The Audit Oversight and Compliance Committee of the Allianz Funds Board is currently composed of Messrs. Drummond, Scoon, Stooks and Zug (Chair), each of whom is an Independent Trustee. Mr. Maney attends meetings as an observer but does not vote. The Audit Oversight Committee of the

 

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Multi-Funds Board is currently composed of Messrs. Gallagher, Jacobson (Chair), Kertess, Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. The Audit Oversight and Compliance Committee of the Allianz Funds Board and the Audit Oversight Committee of the Multi-Funds Board are referred to collectively in this section as the “Audit Committees.” Each Audit Committee provides oversight with respect to the internal and external accounting and auditing procedures of each Fund overseen and, among other things, determines the selection of the independent registered public accounting firm for the Funds overseen and considers the scope of the audit, approves all audit and permitted non-audit services proposed to be performed by the independent registered public accounting firm on behalf of the Funds overseen, and approves non-audit services to be performed by the independent registered public accounting firm for certain affiliates, including AGIFM, the applicable Sub-Adviser and entities in a control relationship with AGIFM or the Sub-Advisers, that provide services to the Funds overseen where the engagement relates directly to the operations and financial reporting of the Funds overseen. Each Audit Committee considers the possible effect of those services on the independence of the independent registered public accounting firm of the Funds overseen. The Audit Oversight and Compliance Committee of the Allianz Funds Board also oversees the compliance programs of Allianz Funds and its service providers as well as oversees Allianz Funds’ Chief Compliance Officer.

The Audit Oversight and Compliance Committee of the Allianz Funds Board convened five times during the fiscal year ended June 30, 2014. During the fiscal year ended November 30, 2013, the Audit Oversight Committee of the Multi-Funds Board convened twice with respect to MST and convened four additional times with respect to VIT and/or the AGIFM Closed-End Funds. IMST has not yet completed its initial fiscal year.

Nominating Committees. The Board Governance and Nominating Committee of the Allianz Funds Board is currently composed of Messrs. Drummond (Chair), MacLeod and Scoon, each of whom is an Independent Trustee. Messrs. Maney and Sluyters attend meetings as observers but do not vote. The Nominating Committee of the Multi-Funds Board is currently composed of Messrs. Gallagher, Jacobson, Kertess (Chair), Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. The Board Governance and Nominating Committee of the Allianz Funds Board and Nominating Committee of the Multi-Funds Board are referred to collectively in this section as the “Nominating Committees.” Each Nominating Committee is responsible for reviewing and recommending qualified candidates to the Board in the event that a position is vacated or created or when trustees are to be re-elected. In addition, the Nominating Committee of the Allianz Funds Board oversees matters relating to the functions and duties of the Allianz Funds Board, including Board education and compensation.

It is the policy of the Nominating Committees to consider trustee nominees recommended by shareholders. The procedures by which shareholders can submit

 

16

nominee recommendations to the Nominating Committees are set forth as Appendix A to this Proxy Statement. The Nominating Committee of the Allianz Funds Board convened four times during the fiscal year ended June 30, 2014. During the fiscal year ended November 30, 2013, the Nominating Committee of the Multi-Funds Board did not convene with respect to MST or VIT and convened once with respect to the AGIFM Closed-End Funds. IMST has not yet completed its initial fiscal year.

Qualifications, Evaluation and Identification of Trustee Nominees. The Trustees of each Trust have adopted a written charter for the Nominating Committee of the Trust, a copy of which is included as Appendix A to this Proxy Statement and is available at http://us.allianzgi.com/ClosedEndFund/External%20Documents/nominating_committee_charter.pdf. The Nominating Committees require that Trustee candidates have a college degree or equivalent business experience, but have not otherwise established specific, minimum qualifications that must be met by an individual to be considered by the Nominating Committees for nomination as a Trustee. The Nominating Committees may take into account a wide variety of factors in considering Trustee candidates, including, but not limited to: (i) availability and commitment of a candidate to attend meetings and perform his or her responsibilities on the Board; (ii) relevant industry and related experience; (iii) educational background; (iv) ability, judgment and expertise; and (v) overall diversity of the Board’s composition. The Nominating Committees may consider candidates for Trustee recommended by the Trusts’ current Trustees, the Trusts’ officers, AGIFM or the Sub-Advisers, shareholders of any Fund and any other source the Nominating Committees deem appropriate. Each Nominating Committee may, but is not required to, retain a third-party search firm at the applicable Trust’s expense to identify potential candidates.

The Nominating Committees take diversity of a particular nominee and overall diversity of the Board into account when considering and evaluating nominees for Trustee. While the Nominating Committees have not adopted a particular definition of diversity, when considering a nominee’s and the Board’s diversity, each Nominating Committee generally considers the manner in which each nominee’s professional experience, education, expertise in matters that are relevant to the oversight of the Funds (e.g., investment management, distribution, accounting, trading, compliance and legal), general leadership experience, and life experience are complementary and, as a whole, contribute to the ability of the Board to oversee the Funds.

Consideration of Candidates Recommended by Shareholders. The Nominating Committees will review and consider nominees recommended by shareholders to serve as Trustee, provided that the recommending shareholder follows the Procedures for Shareholders to Submit Nominee Candidates, which are set forth as an exhibit to the Boards’ Nominating Committee Charter, attached to this Proxy Statement as Appendix A. Among other requirements, these procedures provide that the recommending shareholder must submit any recommendation in writing to the

 

17

Trust, to the attention of that Trust’s Secretary, at the address of the principal executive offices of the Trust. Any recommendation must include certain biographical and other information regarding the candidate and the recommending shareholder, and must include a written and signed consent of the candidate to be named as a nominee and to serve as a Trustee if elected. The foregoing description is only a summary. Please refer to Appendix A for details.

Each Nominating Committee has full discretion to accept or reject nominees recommended by shareholders, and there is no assurance that any such person properly recommended and considered by a Nominating Committee will be nominated for election to the particular Board.

Compensation Committee. The Compensation Committee of the Multi-Funds Board is currently composed of Messrs. Gallagher, Jacobson, Kertess (Chair), Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. The Compensation Committee meets as the Multi-Funds Board deems necessary to review and make recommendations regarding compensation payable to the Trustees of the Trusts who are not directors, officers, partners or employees of AGIFM, the Sub-Advisers or any entity controlling, controlled by or under common control with AGIFM or the Sub-Advisers. The Compensation Committee of the Multi-Funds Board convened once during the fiscal year ended November 30, 2013.

The Allianz Funds Board does not have a separate compensation committee and Trustee compensation matters are overseen by that Board’s Governance and Nominating Committee.

Valuation Committees. The Valuation Committee of the Allianz Funds Board is currently composed of Messrs. MacLeod (Chair), Maney, Scoon and Zug. The Valuation Committee of the Multi-Funds Board is currently composed of Messrs. Gallagher, Jacobson, Kertess, Ogden (Chair), Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. Each Valuation Committee has been delegated responsibility by the applicable Board for overseeing determinations of the fair value of the Funds’ portfolio securities on behalf of the Board in accordance with the Funds’ valuation procedures. Each Valuation Committee reviews and approves procedures for the fair valuation of the Funds’ portfolio securities and periodically reviews information from AGIFM and the Sub-Advisers regarding fair value and liquidity determinations made pursuant to Board-approved procedures, and makes related recommendations to the full Board and assists the full Board in resolving particular fair valuation and other valuation matters. The Valuation Committee of the Allianz Funds Board convened five times during the fiscal year ended June 30, 2014 and the Valuation Committee of the Multi-Funds Board convened four times during the fiscal year ended November 30, 2013.

Contracts Committee. The Contracts Committee of the Allianz Funds Board is currently composed of Ms. DeCotis and Messrs. Scoon, Sheridan (Chair), Stooks and Zug, each of whom is an Independent Trustee. The Contracts Committee’s

 

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responsibilities include reviewing and considering the periodic renewal of the Funds’ investment advisory and administration and distribution agreements and plans and other major service provider contracts. The Contracts Committee of the Allianz Funds Board convened eight times during the fiscal year ended June 30, 2014.

The Multi-Funds Board does not have a separate contracts committee, and similar contract review matters as those overseen by the Allianz Funds Contract Committee are overseen by all of the Independent Trustees on the Multi-Funds Board.

Performance Committee. The Performance Committee of the Allianz Funds Board is currently composed of Ms. DeCotis and Messrs. MacLeod (Chair), Scoon and Sheridan, each of whom is an Independent Trustee. The Performance Committee’s responsibilities include reviewing the performance of the Funds and any changes in investment philosophy, approach and personnel of the Funds’ Sub-Advisers. The Performance Committee of the Allianz Funds Board convened four times during the fiscal year ended June 30, 2014.

The Multi-Funds Board does not have a performance committee, and similar matters relating to oversight of Fund performance are overseen by all of the Independent Trustees on the Multi-Funds Board.

If the Nominees are elected, the Consolidated Board intends to adopt a new committee structure to standardize committees across the Trusts. The elected Trustees would determine any new committee structure, which is currently expected to include the following committees: an audit oversight committee, a valuation committee, a governance and nominating committee and a performance committee, with other functions, including contract review and compliance, to be overseen by all Independent Trustees. The elected Trustees would also determine the chairs of the Consolidated Board and of any such committees.

Securities Ownership

As of August 31, 2014, to the best knowledge of each Trust, the Trustees and officers as a group owned less than 1% of the outstanding shares of each class of the Funds, except as set forth below.

 

Fund

   

Class

    Percent of Class Beneficially Owned  

China Equity Fund

    Institutional Class      2.23 % 

Retirement Income Fund

    Class R6      4.19 % 

Global Allocation Fund

    Institutional Class      1.60 % 

 

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As of August 31, 2014, to the best knowledge of each Trust, each of the Trustees, Nominees and named executive officers owned less than 1% of the outstanding shares of each class of the Funds, except as set forth below.

 

Name

  

Fund

   Share Class     Amount of
Shares
Owned		   Percentage
of Share
Class		  

Bradford K. Gallagher

   China Equity Fund     Institutional Class      2,461.366     1.01 % 

William B. Ogden IV

   China Equity Fund     Institutional Class      2,990     1.22 % 

Hans W. Kertess

   Global Allocation Fund     Institutional Class      69,639.87     1.12 % 

For each Nominee, the following table discloses the dollar range of equity securities beneficially owned by the Nominee in each Fund overseen or to be overseen and, on an aggregate basis, in any registered investment companies overseen or to be overseen by the Nominee within the Trusts’ family of investment companies, as of August 31, 2014. The dollar ranges used in the table are: (i) None; (ii) $1-$10,000; (iii) $10,001-$50,000; (iv) $50,001-$100,000; and (v) Over $100,000. The following table includes securities in which a Nominee holds an economic interest through the deferred compensation plan described below.

 

Name of Trustee or Nominee

   Dollar Range of
Equity Securities
in Each Fund or Series
Overseen or to be
Overseen by the
Trustee or Nominee		     Aggregate Dollar Range
of Equity Securities in
All Registered
Investment Companies
Overseen or to be
Overseen by Trustee or
Nominee in Family of
Investment Companies(1)		  

Independent Trustee Nominees

  

Deborah A. DeCotis

       Over $100,000   

High Yield Bond Fund

     Over $100,000     

F. Ford Drummond

       Over $100,000   

Emerging Markets Opportunities Fund

     $50,001-$100,000     

Global Small-Cap Fund

     Over $100,000     

Income & Growth Fund

     Over $100,000     

NFJ Dividend Value Fund

     Over $100,000     

NFJ International Value Fund

     Over $100,000     

NFJ Small-Cap Value Fund

     Over $100,000     

Technology Fund

     $50,001-$100,000     

Bradford K. Gallagher

       Over $100,000   

China Equity Fund

     $10,001-$50,000     

Retirement Income Fund

     $50,001-$100,000     

James A. Jacobson

       Over $100,000   

Retirement Income Fund

     Over $100,000     

Hans W. Kertess

       Over $100,000   

Global Allocation Fund

     Over $100,000     

James S. MacLeod

       Over $100,000   

Emerging Markets Opportunities Fund

     $50,001-$100,000     

Global Small-Cap Fund

     $50,001-$100,000     

NFJ Dividend Value Fund

     $10,001-$50,000     

NFJ International Value Fund

     $10,001-$50,000     

NFJ Large-Cap Value Fund

     Over $100,000     

Technology Fund

     $50,001-$100,000     

 

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Name of Trustee or Nominee

   Dollar Range of
Equity Securities
in Each Fund or Series
Overseen or to be
Overseen by the
Trustee or Nominee		     Aggregate Dollar Range
of Equity Securities in
All Registered
Investment Companies
Overseen or to be
Overseen by Trustee or
Nominee in Family of
Investment Companies(1)		  

William B. Ogden, IV

       $50,001-$100,000   

China Equity Fund

     $50,001-$100,000     

Alan Rappaport

       $50,001-$100,000   

Global Allocation Fund

     $10,001-$50,000     

Retirement Income Fund

     $10,001-$50,000     

Davey S. Scoon

       Over $100,000   

Income & Growth Fund

     $50,001-$100,000     

Global Natural Resources Fund

     Over $100,000     

NFJ International Value Fund

     $50,001-$100,000     

NFJ Small-Cap Value Fund

     Over $100,000     

Interested Trustee Nominees

  

Susan M. King

       $50,001-$100,000   

Emerging Markets Opportunities Fund

     $10,001-$50,000     

Focused Growth Fund

     $10,001-$50,000     

NFJ Small-Cap Value Fund

     $1-$10,000     

Retirement 2050 Fund

     $1-$10,000     

Ultra Micro Cap Fund

     $10,001-$50,000     

Julian Sluyters

       Over $100,000   

Emerging Markets Opportunities Fund

     $10,001-$50,000     

Focused Growth Fund

     $10,001-$50,000     

Global Small-Cap

     $10,001-$50,000     

Technology Fund

     $10,001-$50,000     

Convertible Fund

     $10,001-$50,000     

Global Water Fund

     $10,001-$50,000     

Micro Cap Fund

     $10,001-$50,000     

U.S. Small-Cap Growth Fund

     $1-$10,000     

Ultra Micro Cap Fund

     $10,001-$50,000     

 

(1) The “Family of Investment Companies” does not include the PIMCO-Sponsored Funds.

The Independent Trustee Nominees and their immediate family members did not beneficially own any securities in an investment adviser or principal underwriter of the Trusts, or a person (other than a registered investment company) directly or indirectly controlling, controlled by, or under common control with an investment adviser or principal underwriter of the Trusts, as of August 31, 2014.

Trustees’ Compensation

The compensation of the Trustees of the Allianz Funds Board and the Multi-Funds Board is described below. If the Nominees are elected, it is expected that the Consolidated Board will determine its compensation structure, which may result in different compensation from that described below.

 

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Allianz Funds

Trustees of Allianz Funds, other than those affiliated with AGIFM, Allianz Asset Management of America L.P. (“AAMA”) or a Sub-Adviser, currently receive an annual retainer of $150,000 ($250,000 for the Chairman). The Chair of each standing Committee receives an additional $25,000 annually for his or her chairmanship of such Committee, provided that a Trustee who serves as Chair of more than one Committee will receive a maximum of $25,000 annually for his or her combined service as a Chair of multiple Committees. In addition, the Chairman of the Trustees has the authority to cause the Funds to incur costs of up to $20,000 for any staff or other expenses the Chairman believes are required to support the position. If in the judgment of the Independent Trustees, it is necessary or appropriate for any Independent Trustee, including the Chairman, to perform services in connection with (i) extraordinary Fund activities or circumstances or actual or threatened litigation or (ii) an investigation of a regulatory or investment matter, the Trustee is compensated for such services at the rate of $2,500 per day plus reimbursement of reasonable expenses. The Board of Trustees may from time to time establish ad hoc committees, and Trustees who sit on such ad hoc committees may receive additional compensation for their participation.

Trustees do not currently receive any pension or retirement benefits from the Trust or the Fund Complex. The Trust has adopted a deferred compensation plan for the Trustees, which went into place during 1996, which permits the Trustees to defer their receipt of compensation from the Trust, at their election, in accordance with the terms of the plan. Under the plan, each Trustee may elect not to receive fees from the Trust on a current basis but to receive in a subsequent period chosen by the Trustee an amount equal to the value of such fees if they had been invested in a Fund or Funds selected by the Trustees on the normal payment dates for such fees. As a result of this arrangement, the Trust, upon making the deferred payments, will be in substantially the same financial position as if the deferred fees had been paid on the normal payment dates and immediately reinvested in shares of the Fund(s) selected by the Trustees.

The following table sets forth information regarding compensation received by those Nominees who are incumbent Trustees of Allianz Funds who are not “interested persons” (as defined in the 1940 Act) of the Trust for the fiscal year ended June 30, 2014 (except as noted). (Trustees who are interested persons of the Trust and Officers of the Trust receive no compensation from the Trust.)

 

Name of
Trustee

   Aggregate Compensation
from Trust for Fiscal Year
Ended June 30, 2014(1)		     Pension or
Retirement
Benefits
Accrued as
Part of
Trust Expenses		     Estimated Annual
Benefits Upon
Retirement		     Total Compensation
from Trust and Fund
Complex Paid  to
Trustees for Calendar
Year Ended
December 31, 2013(2)(3)		  

Deborah A.
DeCotis^

   $ 12,500        N/A        N/A      $ 250,000   

F. Ford Drummond

   $ 149,000        N/A        N/A      $ 142,000   

 

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Name of
Trustee

   Aggregate Compensation
from Trust for Fiscal Year
Ended June 30, 2014(1)		     Pension or
Retirement
Benefits
Accrued as
Part of
Trust Expenses		     Estimated Annual
Benefits Upon
Retirement		     Total Compensation
from Trust and Fund
Complex Paid to
Trustees for Calendar
Year Ended
December 31, 2013(2)(3)		  

James S.
MacLeod

   $ 168,500        N/A        N/A      $ 157,000   

Davey S. Scoon

   $ 267,000        N/A        N/A      $ 242,000   

 

(1) Amounts include payments deferred by Trustees for the fiscal year ended June 30, 2014, with respect to Allianz Funds. The total amount of deferred compensation accrued for the Trust as of June 30, 2014 for the Trustees (relating to deferrals during such fiscal year and any prior years) is as follows: Drummond $1,362,583 and Scoon $496,821.
(2) Ms. DeCotis currently serves as trustee or director of 65 other closed-end and/or open-end investment companies that are considered to be in the same Fund Complex as Allianz Funds. None of Messrs. Drummond, MacLeod or Scoon currently serves as trustee or director of other funds considered to be in the same Fund Complex as Allianz Funds.
(3) The PIMCO-Sponsored Funds are not part of the “Allianz Funds Complex” as used elsewhere in this Proxy Statement, but are part of the “Fund Complex” for purposes of this table.
^ Effective June 5, 2014, Ms. DeCotis became a Trustee of the Trust.

MST/IMST

Each of the Independent Trustees of MST and IMST also serves as a trustee of each AGIFM Closed-End Fund and VIT. In addition, each of the Independent Trustees of MST and IMST serves as a trustee or director of the PIMCO-Sponsored Funds.

Prior to the transition of the PIMCO-Sponsored Funds to the PIMCO Funds platform effective September 5, 2014, each of the AGIFM Closed-End Funds, MST, IMST, VIT and the PIMCO-Sponsored Funds held joint meetings of their Boards of Trustees whenever possible. Also prior to September 5, 2014, each Trustee, other than any Trustee who is a director, officer, partner or employee of AGIFM or any entity controlling, controlled by or under common control with AGIFM received annual compensation of $250,000, payable quarterly. The Independent Chairman of the Trustees received an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman received an additional $50,000 annually, payable quarterly. Trustees were also reimbursed for meeting-related expenses.

Effective September 5, 2014, each of the AGIFM Closed-End Funds, VIT, MST and IMST is expected to hold joint meetings of their Boards of Trustees whenever possible. Each Trustee, other than any Trustee who is a director, officer, partner or employee of AGIFM or any entity controlling, controlled by or under common control with AGIFM receives annual compensation, payable quarterly, in an amount equal to a portion of the total compensation received prior to September 5, 2014 and described

 

23

above. Such portion is determined based on the average net assets of the AGIFM Closed-End Funds, VIT, MST and IMST and the historical allocation of Trustee compensation expenses among the Trusts overseen, and is estimated to be $126,320, payable quarterly, for each such Trustee. The Independent Chairman of the Trustees receives an additional amount per year, payable quarterly, equal to a portion of the additional amount received prior to September 5, 2014, determined in the same manner described for compensation payable to the Independent Trustees. Such amount received by the Independent Chairman of the Trustees is estimated to be $37,896 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional amount annually, payable quarterly, equal to a portion of the additional amount received prior to September 5, 2014, determined in the same manner described for compensation payable to the Independent Trustees. Such amount received by the Audit Oversight Committee Chairman is estimated to be $25,264 annually, payable quarterly. Trustees will also be reimbursed for meeting-related expenses.

Each Trustee’s compensation and other costs in connection with joint meetings will be allocated among the AGIFM Closed-End Funds, VIT, MST and IMST, as applicable, on the basis of fixed percentages as between each such group of funds. Trustee compensation and other costs will then be further allocated pro rata among the individual funds within each grouping (such as among the series of MST) based on the complexity of issues relating to each such fund and relative time spent by the Trustees in addressing them, and on each such fund’s relative net assets.

Trustees do not currently receive any pension or retirement benefits from the Trust or the Fund Complex.

MST

The following table sets forth information regarding compensation for the most recent fiscal year (except as noted) received by those Nominees who are incumbent Trustees of MST who are not “interested persons” (as defined in the 1940 Act) of the Trust. (Trustees who are interested persons of the Trust and Officers of the Trust receive no compensation from the Trust).

 

Name of Trustee

    Aggregate
Compensation
from Trust for
Fiscal Year
ended
November 30,
2013		      Pension or
Retirement
Benefits
Accrued as
Part
of Trust
Expenses		      Estimated
Annual
Benefits
Upon
Retirement		      Total Compensation
from Trust and
Fund Complex Paid
to Trustees
for Calendar Year-
Ended
December 31, 2013(1)(2)		  

Bradford K. Gallagher

    $ 79,499         N/A         N/A       $ 250,000   

James A. Jacobson

    $ 95,399         N/A         N/A       $ 300,000   

Hans W. Kertess

    $ 103,349         N/A         N/A       $ 325,000   

William B. Ogden IV

    $ 79,499         N/A         N/A       $ 250,000   

Alan Rappaport

    $ 79,499         N/A         N/A       $ 250,000   

Deborah A. DeCotis

    $ 79,499         N/A         N/A       $ 250,000   

 

(1)

Each Trustee serves as trustee or director of several other closed-end and/or open-end investment companies considered to be in the same Fund Complex as

 

24

  MST. Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport currently serve as trustee or director of 32 such investment companies and Ms. DeCotis currently serves as trustee or director of 50 such investment companies.
(2) The PIMCO-Sponsored Funds are not part of the “Allianz Funds Complex” as used elsewhere in this Proxy Statement, but are part of the “Fund Complex” for purposes of this table.

IMST

The following table sets forth information regarding compensation for the most recent fiscal year (except as noted) received by those Nominees who are incumbent Trustees of IMST who are not “interested persons” (as defined in the 1940 Act) of the Trust. (Trustees who are interested persons of the Trust and Officers of the Trust receive no compensation from the Trust).

 

Name of Trustee

    Aggregate
Compensation
from Trust for
Fiscal Year
Ending
November 30,
2014(1)		      Pension or
Retirement
Benefits
Accrued as
Part
of Trust
Expenses		      Estimated
Annual
Benefits
Upon
Retirement		      Total Compensation
from Trust and Fund
Complex Paid to
Trustees for Calendar
Year-Ended
December 31, 2013(2)(3)		  

Bradford K. Gallagher

    $ 44         N/A         N/A       $ 250,000   

James A. Jacobson

    $ 52         N/A         N/A       $ 300,000   

Hans W. Kertess

    $ 56         N/A         N/A       $ 325,000   

William B. Ogden IV

    $ 44         N/A         N/A       $ 250,000   

Alan Rappaport

    $ 44         N/A         N/A       $ 250,000   

Deborah A. DeCotis

    $ 44         N/A         N/A       $ 250,000   

 

(1) Because IMST was established on June 3, 2014, the Trustees’ aggregate compensation from the Trust is estimated for the Trust’s initial fiscal year, ending November 30, 2014.
(2) Each Trustee serves as trustee or director of several other closed-end and/or open-end investment companies considered to be in the same Fund Complex as IMST. Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport currently serve as trustee or director of 63 such investment companies and Ms. DeCotis currently serves as trustee or director of 81 such investment companies.
(3) The PIMCO-Sponsored Funds are not part of the “Allianz Funds Complex” as used elsewhere in this Proxy Statement, but are part of the “Fund Complex” for purposes of this table.

Shareholder Communications with the Boards of Trustees

Each Board of Trustees has adopted procedures by which shareholders may send communications to the Board. Shareholders may mail written communications to each Board to the attention of the Board, c/o Chief Legal Officer, 1633 Broadway, New York, New York 10019. Shareholder communications should identify (i) the shareholder, (ii) the Fund or Funds that they are writing about, (iii) the firm through which the shareholder purchased the Fund or Funds and (iv) the share class they own (if known).

 

25

These procedures do not apply to any communication from an officer or Trustee or any communication from any employee or agent of a Trust, unless such communication is made solely in such employee’s or agent’s capacity as a shareholder, but do apply to any shareholder proposal submitted pursuant to Rule 14a-8 under the Securities Exchange Act of 1934, as amended (the “1934 Act”), or any communication made in connection with such a proposal.

Each Board of Trustees has designated the applicable Trust’s President, or his designee (which may or may not be an officer of the Trust), as the designated representative to attend the Meeting.

Trustee Indemnification

Each Declaration of Trust provides that the particular Trust will indemnify its Trustees and officers against liabilities and expenses incurred in connection with litigation in which they may be involved because of their offices with the Trust, except with respect to any matter as to which it has been determined that (i) they have not acted in good faith in the reasonable belief that their actions were in or were not opposed to the best interests of the Trust, or (ii) such indemnification would relieve any officer or Trustee of any liability to the Trust or its shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of his or her duties. Each Declaration of Trust also provides for the advancement of defense expenses in certain circumstances and for indemnification in the event of settlement, provided that a quorum of the Independent Trustees finds, or independent legal counsel opines, that the person seeking indemnification acted in accordance with the standard above. The Bylaws of each Trust provide that such finding or opinion may be based upon a rebuttable presumption that the person seeking indemnification neither has engaged in willful misfeasance, nor has acted in bad faith, with gross negligence or in reckless disregard of his or her duties. The Trustees and officers of each Trust are covered by liability insurance.

Information about the Trusts, including certain information about AGIFM, the principal underwriter and administrator, independent registered public accounting firm, executive officers and the interests of certain persons appears below under “Section II — Trust Information.”

Required Vote

The proposal requires a vote by the shareholders of each Trust. Shareholders of each Trust, including each Fund and class of shares thereof, will vote collectively as a single class, but separately from each other Trust, on the election of each Nominee to the particular Trust’s Board. The election of each Nominee must be approved by a vote of a plurality of the relevant Trust’s shares voted at the Meeting in person or by proxy. The outcome of the proposal for one Trust will not impact the outcome of the proposal for any other Trust.

 

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THE BOARD OF TRUSTEES OF EACH TRUST UNANIMOUSLY RECOMMENDS THAT THE SHAREHOLDERS OF THE TRUST AND ITS FUNDS VOTE FOR EACH NOMINEE.

II. TRUST INFORMATION

This section provides certain information about each Trust, including information about its investment adviser and administrator or investment manager, principal underwriter, independent registered public accounting firm, executive officers and the identity of persons holding more than 5% of the outstanding shares of any class of any Fund.

Allianz Funds is an open-end management investment company (“mutual fund”) organized in 1990 as a business trust under the laws of The Commonwealth of Massachusetts. Allianz Funds currently consists of eighteen separate investment series. The address of Allianz Funds is 1633 Broadway, New York, New York 10019.

MST is an open-end management investment company organized in 2008 as a business trust under the laws of The Commonwealth of Massachusetts. MST currently consists of thirty-three separate investment series. The address of MST is 1633 Broadway, New York, New York 10019.

IMST is an open-end management investment company organized in 2014 as a business trust under the laws of The Commonwealth of Massachusetts. IMST currently consists of two separate investment series. The address of IMST is 1633 Broadway, New York, New York 10019.

Investment Manager/Investment Adviser/Administrator

AGIFM, with principal offices at 1633 Broadway, New York, New York 10019, serves as the investment adviser and administrator for the series of Allianz Funds and as investment manager (responsible for advisory and administrative functions) for the series of MST and IMST. AGIFM is a wholly-owned indirect subsidiary of AAMA. AAMA, acting through an investment management division, was the former investment adviser to Allianz Funds. AAMA was organized as a limited partnership under Delaware law in 1987. AAMA’s sole general partner is Allianz Asset Management of America LLC. Allianz Asset Management of America LLC has three members, Allianz of America, Inc. (“Allianz of America”), a Delaware corporation that owns a 99.8% non-managing interest, Allianz Asset Management Aktiengesellschaft, a German Company that owns a 0.1% non-managing interest, and Allianz Asset Management of America Holdings Inc., a Delaware corporation that owns a 0.1% managing interest. Allianz of America is a wholly-owned indirect subsidiary of Allianz SE. Allianz Asset Management of America Holdings Inc. is a wholly-owned subsidiary of Allianz Asset Management Aktiengesellschaft, which is an indirect subsidiary of Allianz SE. Allianz SE

 

27

indirectly holds a controlling interest in AAMA. Allianz SE is a European-based, multinational insurance and financial services holding company. The address for Allianz Asset Management of America LLC and Allianz Asset Management of America Holdings Inc. is 680 Newport Center Drive, Suite 250, Newport Beach, California 92660. The address for Allianz Asset Management Aktiengesellschaft is Seidlstrasse, 24-24a, D-80335, Munich, Germany. Allianz SE’s address is Koeniginstrasse 28, D-80802, Munich, Germany. AAMA’s address is 680 Newport Center Drive, Suite 250, Newport Beach, California 92660.

Principal Underwriter

Allianz Global Investors Distributors LLC (the “Distributor”) serves as the principal underwriter of each class of shares of Allianz Funds and MST and as the distributor of shares of IMST pursuant to a distribution contract with each Trust. The Distributor is an indirect subsidiary of AAMA. The Distributor, located at 1633 Broadway, New York, New York 10019, is a broker-dealer registered with the Securities and Exchange Commission (the “SEC”) and a member of the Financial Industry Regulatory Authority (“FINRA”).

Independent Registered Public Accounting Firm

PricewaterhouseCoopers LLP (the “Independent Registered Public Accounting Firm”), serves as the independent registered public accounting firm for each Trust and its Funds. The Independent Registered Public Accounting Firm provides audit services, tax return review and assistance and consultation in connection with review of SEC filings. The Independent Registered Public Accounting Firm is located at 1100 Walnut, Kansas City, Missouri 64106 for Allianz Funds and 300 Madison Avenue, New York, New York 10017 for MST and IMST.

Representatives of the Independent Registered Public Accounting Firm will be available at the Meeting by telephone to answer any appropriate questions and will have the opportunity to make a statement if they desire to do so.

The following tables set forth, for each Trust’s two most recent fiscal years, as applicable, the fees billed by the Independent Registered Public Accounting Firm for (a) all audit and non-audit services provided directly to the applicable Trust and (b) those non-audit services provided to AGIFM and the Sub-Advisers (other than unaffiliated Sub-Advisers) and any entity controlling, controlled by or under common control with AGIFM or the affiliated Sub-Advisers that provides ongoing services to the Trust (collectively, “Service Entities”) that relate directly to the Funds’ operations and financial reporting:

Allianz Funds

 

Fiscal Year Ended

    Audit Fees      Audit-Related
Fees		      Tax Fees      All Other
Fees		  

June 30, 2014

    $ 657,800       $ 13,000       $ 238,500       $ 0   

June 30, 2013

    $ 642,000       $ 0       $ 251,372       $ 0   

 

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MST

 

Fiscal Year Ended

    Audit Fees      Audit-Related
Fees		      Tax Fees      All Other
Fees		  

November 30, 2013

    $ 696,750       $ 0       $ 390,740       $ 0   

November 30, 2012

    $ 587,485       $ 0       $ 280,400       $ 0   

IMST

IMST’s initial fiscal year ends November 30, 2014; therefore, information for IMST’s two most recent fiscal years is not applicable.

“Audit Fees” represent fees billed for each of the last two fiscal years or professional services rendered for the audit of each Trust’s annual financial statements for those fiscal years or services that are normally provided by the accountant in connection with statutory or regulatory filings or engagements for those fiscal years. “Audit-Related Fees” represent fees billed for each of the last two fiscal years for assurance and related services reasonably related to the performance of the audit of each Trust’s annual financial statements for those years. “Tax Fees” represent fees billed for each of the last two fiscal years for professional services related to tax compliance, tax advice and tax planning, including preparation of federal and state income tax returns, review of excise tax distribution requirements and preparation of excise tax returns. “All Other Fees” represent fees, if any, billed for other products and services rendered by the principal accountant to each Trust for the last two fiscal years. With respect to each series of Allianz Funds and the Retirement Funds of MST2, AGIFM, in its role as administrator, bears the cost of these audit services at its own expense under its administration agreement with the Funds.

To the extent required by applicable regulations, the Audit Oversight and Compliance Committee of the Allianz Funds Board and the Audit Oversight Committee of the Multi-Funds Board must approve in advance all audit and non-audit services rendered to the applicable Trust(s) by the Independent Registered Public Accounting Firm and all non-audit services to the Service Entities, if the engagement relates directly to the operations and financial reporting of a Trust. Such services may also be approved by a designated member of the Audit Oversight and Compliance Committee of the Allianz Funds Board or the Audit Oversight Committee of the Multi-Funds Board, as applicable, if the fees for such services are below a designated amount. Such amount varies depending on the type of service. Currently, such amounts are $0 for audit services and $250,000 for audit-related services, tax services and non-audit services provided to Service Entities or other permitted services. During the last two fiscal years, no services described above under “Audit-Related Fees,” “Tax Fees” or “All Other Fees” were approved pursuant to the “de minimis” exception set forth in paragraph (c)(7)(i)(C) of Rule 2-01 of Regulation S-X.

 

2 

The “Retirement Funds” as used herein refers to AllianzGI Retirement 2015 Fund, AllianzGI Retirement 2020 Fund, AllianzGI Retirement 2025 Fund, AllianzGI

 

29

  Retirement 2030 Fund, AllianzGI Retirement 2035 Fund, AllianzGI Retirement 2040 Fund, AllianzGI Retirement 2045 Fund, AllianzGI Retirement 2050 Fund, AllianzGI Retirement 2055 Fund and AllianzGI Retirement Income Fund.

For each Trust’s two most recent fiscal years, as applicable, the aggregate non-audit fees billed by the Independent Registered Public Accounting Firm for services rendered to the Trust and the Service Entities were as follows:

Allianz Funds

 

Entity

    Aggregate Non-Audit
Fees Billed to Entity		  
     June 30,
2014		      June 30,
2013		  

Allianz Funds

    $ 238,500       $ 251,372   

Service Entities

    $ 4,678,194       $ 4,771,197   

MST

 

Entity

    Aggregate Non-Audit
Fees Billed to Entity		  
     November 30,
2013		      November 30,
2012		  

MST

    $ 390,740       $ 280,400   

Service Entities

    $ 3,906,774       $ 3,852,854   

 

IMST

IMST’s initial fiscal year ends November 30, 2014; therefore, information for IMST’s two most recent fiscal years is not applicable.

Each of the Audit Oversight and Compliance Committee of the Allianz Funds Board and the Audit Oversight Committee of the Multi-Funds Board have considered whether the provision of non-audit services that were rendered to the applicable Trusts’ Service Entities that were not required to be pre-approved was compatible with maintaining the Independent Registered Public Accounting Firm’s independence.

The following table sets forth amounts the Independent Registered Public Accounting Firm billed to each Trust’s Service Entities for services required to be pre-approved by the Audit Oversight and Compliance Committee of the Allianz Funds Board or the Audit Oversight Committee of the Multi-Funds Board.

 

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Allianz Funds

 

Fiscal Year Ended

    Audit-Related
Fees		      Tax Fees      All Other
Fees		  

June 30, 2014

    $ 0       $ 8,889       $ 0   

June 30, 2013

    $ 0       $ 24,578       $ 0   

MST

 

Fiscal Year Ended

    Audit-Related
Fees		      Tax Fees      All Other
Fees		  

November 30, 2013

    $ 0       $ 10,442       $ 0   

November 30, 2012

    $ 0       $ 3,000       $ 0   

IMST

IMST’s initial fiscal year ends November 30, 2014; therefore, information for IMST’s two most recent fiscal years is not applicable.

Executive Officers

The following table provides information about the current executive officers of the Trusts, including their principal occupations, which, unless specific dates are shown, are of more than five years’ duration, although the titles may not have been the same throughout. Unless otherwise indicated, each is currently an executive officer of Allianz Funds, MST and IMST. Unless otherwise indicated, the business address of the persons listed below is 1633 Broadway, New York, NY 10019.

 

Name
Address and
Year of Birth

   

Position(s) Held
with Trusts

   

Term of Office and Length
of Time Served

   

Principal Occupation(s)
During Past 5 Years

Julian Sluyters

1960

   

Trustee, President and Chief Executive Officer of AF

 

President and Chief Executive Officer of MST and IMST

   

AF/MST: 3/2014 to present

 

IMST: 6/2014 to present

    See above.

Lawrence G.

Altadonna

1966

    Treasurer, Principal Financial and Accounting Officer   

AF/MST: 1/2011 to present

 

IMST: 6/2014 to present

    Director, Director of Fund Administration of Allianz Global Investors Fund Management LLC; Treasurer, Principal Financial and Accounting Officer of 58 funds in the Fund Complex and of The Korea Fund, Inc. Formerly, Assistant Treasurer of numerous funds in the Fund Complex (2005-2010).

 

31

Name
Address and
Year of Birth

   

Position(s) Held
with Trusts

   

Term of Office and Length
of Time Served

   

Principal Occupation(s)
During Past 5 Years

Thomas J.

Fuccillo

1968

    Vice President, Secretary and Chief Legal Officer   

AF: 12/2006 to present

 

MST: 3/2008 to present

 

IMST: 6/2014 to present

    Managing Director, Chief Legal Officer and Secretary of Allianz Global Investors Fund Management LLC and Allianz Global Investors Distributors LLC; Managing Director and Chief Regulatory Counsel of Allianz Global Investors U.S. Holdings LLC; Vice President, Secretary and Chief Legal Officer of 58 funds in the Fund Complex; and Secretary and Chief Legal Officer of The Korea Fund, Inc.

Thomas L.

Harter, CFA

680 Newport

Center Drive

Suite 250

Newport Beach,

CA 92660

1975

    Chief Compliance Officer   

AF: 4/2013 to present

 

MST: 6/2013 to present

 

IMST: 6/2014 to present

    Director of Allianz Global Investors U.S. Holdings LLC; Chief Compliance Officer of 58 funds in the Fund Complex and of The Korea Fund, Inc. Formerly, Vice President and Compliance Manager (2005-2012).

Richard J.

Cochran

1961

    Assistant Treasurer   

AF/MST: 5/2008 to present

 

IMST: 6/2014 to present

    Vice President of Allianz Global Investors Fund Management LLC; Assistant Treasurer of 58 funds in the Fund Complex and of The Korea Fund, Inc.

Orhan Dzemaili

1974

    Assistant Treasurer   

AF/MST: 1/2011 to present

 

IMST: 6/2014 to present

    Director of Allianz Global Investors Fund Management LLC; and Assistant Treasurer of 58 funds in the Fund Complex.

Scott Whisten

1971

    Assistant Treasurer   

AF: 3/2007 to present

 

MST: 3/2008 to present

 

IMST: 6/2014 to present

    Director of Allianz Global Investors Fund Management LLC; and Assistant Treasurer of 58 funds in the Fund Complex.

Richard H. Kirk

1961

    Assistant Secretary   

AF: 12/2004 to present

 

MST: 3/2008 to present

 

IMST: 6/2014 to present

    Director and Senior Counsel of Allianz Global Investors U.S. Holdings LLC; Director and Senior Counsel of Allianz Global Investors Distributors LLC. Assistant Secretary of 53 funds in the Fund Complex.

 

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Name
Address and
Year of Birth

   

Position(s) Held
with Trusts

   

Term of Office and Length
of Time Served

   

Principal Occupation(s)
During Past 5 Years

Lagan Srivastava

1977

    Assistant Secretary   

AF: 12/2006 to present

 

MST: 3/2008 to present

 

IMST: 6/2014 to present

    Vice President of Allianz Global Investors U.S. Holdings LLC; Assistant Secretary of 58 funds in the Fund Complex and of The Korea Fund, Inc.

Paul Koo(1)

555 Mission Street,

Suite 1700

San Francisco,

CA 94105

1964

    Assistant Secretary   

AF: 4/2013 to present

 

MST: 6/2013 to present

 

IMST: 6/2014 to present

    Director and Chief Compliance Officer of Allianz Global Investors U.S. LLC; and Assistant Secretary of 53 funds in the Fund Complex. Formerly, Associate Chief Compliance Officer, Dodge & Cox (2010-2011).

Morley D.

Campbell(2)

1981

    Assistant Secretary of MST    MST: 12/2012 to present    Portfolio Manager and Managing Director of NFJ Investment Group LLC. Assistant Secretary of 33 funds in the Fund Complex.

Thomas W.

Oliver(2)

1971

    Assistant Secretary of MST    MST: 12/2012 to present    Portfolio Manager and Managing Director of NFJ Investment Group LLC. Assistant Secretary of 33 funds in the Fund Complex.

Each of the Trusts’ executive officers is an “interested person” of the Trusts (as defined in Section 2(a)(19) of the 1940 Act) as a result of his or her position(s) set forth in the table above.

 

(1) With respect to MST and IMST, Paul Koo is Assistant Secretary with a limited authority to open, maintain and close certain custodial and trading accounts for all series of MST and IMST.
(2) Morley D. Campbell and Thomas W. Oliver are Assistant Secretaries of MST with a limited authority to open, maintain and close certain custodial and trading accounts for AllianzGI NFJ Emerging Markets Value Fund.

Please see the following table for information about relationships between the Trusts’ officers and certain of the Trusts’ affiliates.

 

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Certain Affiliations

The following table lists the positions held by each Trust’s officers and any Trustee or Nominee who is an “interested person” of such Trust with affiliated persons or the principal underwriter of such Trust:

 

Name

   

Positions held with affiliated persons or the

principal underwriter of the Trust

Julian Sluyters

    Chairman of the Management Board of Allianz Global Investors Fund Management LLC (since 2013); Chief Operating Officer, Managing Director, and member of the Executive Committee of Allianz Global Investors U.S. Holdings LLC (since 2012).

Lawrence G. Altadonna

    Director, Director of Fund Administration of Allianz Global Investors Fund Management LLC.

Thomas J. Fuccillo

    Managing Director, Chief Legal Officer and Secretary of Allianz Global Investors Fund Management LLC and Allianz Global Investors Distributors LLC; Managing Director and Chief Regulatory Counsel of Allianz Global Investors U.S. Holdings LLC.

Thomas L. Harter

    Director of Allianz Global Investors U.S. Holdings LLC.

Richard H. Kirk

    Director and Senior Counsel of Allianz Global Investors U.S. Holdings LLC; Director and Senior Counsel of Allianz Global Investors Distributors LLC.

Lagan Srivastava

    Vice President of Allianz Global Investors U.S. Holdings LLC.

Orhan Dzemaili

    Director of Allianz Global Investors Fund Management LLC.

Richard J. Cochran

    Vice President of Allianz Global Investors Fund Management LLC.

Scott Whisten

    Director of Allianz Global Investors Fund Management LLC.

Paul Koo

    Director and Chief Compliance Officer of Allianz Global Investors U.S. LLC.

Morley D. Campbell

    Portfolio Manager and Managing Director of NFJ Investment Group LLC.

Thomas W. Oliver

    Portfolio Manager and Managing Director of NFJ Investment Group LLC.

Outstanding Shares and Significant Shareholders

Information about the number of outstanding shares and significant shareholders of the Funds is set forth in Appendix B.

V. VOTING INFORMATION

Record Date, Quorum and Methods of Tabulation

Shareholders of record at the close of business on October 17, 2014 (the “Record Date”) are entitled to notice of, and to vote at, the Meeting. With respect to

 

34

the election of Trustees, the holders of 30% of the shares of each Trust outstanding as of the Record Date, present in person or represented by proxy, constitute a quorum for the transaction of business by the shareholders of that Trust at the Meeting.

Each whole share shall be entitled to one vote as to any matter on which it is entitled to vote and each fractional share shall be entitled to a proportionate fractional vote. Shares represented by timely, duly executed proxies will be voted as you instruct. If no specification is made, shares will be voted in accordance with the recommendation of the Trustees. Proxies may be revoked at any time before they are exercised by sending a written revocation which is received by the Secretary of the applicable Trust prior to any such exercise, by properly executing a later-dated proxy, or by attending the Meeting and voting in person.

Votes cast by proxy or in person at the Meeting will be counted by persons appointed by the Trusts as tellers both for the purpose of determining the presence of a quorum and for calculating the votes cast on the issues before the Meeting. Abstentions and “broker non-votes” (i.e., proxies representing shares held by brokers or nominees as to which (i) instructions have not been received from the beneficial owners or the persons entitled to vote and (ii) the broker or nominee does not have the discretionary voting power on a particular matter) will be counted for quorum purposes. So long as a quorum is present, neither abstentions nor broker non-votes will have any effect on the outcome of the proposal to elect Trustees.

Adjournments

In the event that a quorum is not present for purposes of acting on a proposal for a Trust, or if sufficient votes in favor of a proposal are not received by the time of the Meeting, the persons named as proxies may propose one or more adjournments of the Meeting for such Trust to permit further solicitation of proxies. For each Trust, any such adjournment will require the affirmative vote of a plurality of the shares of such Trust present in person or represented by proxy at the session of the Meeting to be adjourned. The persons named as proxies will vote in favor of such adjournment those proxies which they are entitled to vote in favor of any proposal that has not then been adopted. They will vote against such adjournment those proxies required to be voted against each proposal that has not then been adopted and will not vote any proxies that direct them to abstain from voting on such proposals.

Solicitation of Proxies

The solicitation of proxies by personal interview, mail and telephone may be made by officers and Trustees of each Trust and officers and employees of AGIFM, its affiliates and other representatives of the Trusts. The Trusts have retained Boston Financial Data Services, Inc. (“BFDS”) to serve as tabulator of proxies and this cost

 

35

as well as the legal, audit and other costs of preparing, printing and mailing this Proxy Statement and the cost of holding the Meeting (including the costs of any additional solicitation and any adjourned session) for the Trusts and the corresponding costs for VIT will be borne (i) 50% by AGIFM and (ii) 50% by the Trusts and VIT (to be allocated among individual Funds based on average net assets).

Methods of Voting

Electronic Voting: You may give your voting instructions via the Internet or by touch-tone telephone by following the instructions found on the Notice of Internet Availability of Proxy Materials or on the proxy card.

Telephone Voting: You may give your voting instructions over the telephone by following the instructions found on the Notice of Internet Availability of Proxy Materials or calling the phone number listed on your proxy card. When receiving your instructions by telephone, the representative may ask you for your full name and address to confirm that you have received the Notice of Internet Availability of Proxy Materials in the mail. If the information you provide matches the information provided to BFDS by the Trusts, then a representative can record your instructions over the phone.

As the Meeting date approaches, you may receive a call from a representative of the Trusts, AGIFM or its affiliates if the Trusts have not yet received your vote.

Voting by Mail: If you wish to participate in the Meeting, but do not wish to give a proxy by telephone or via the Internet, you can request a copy of a full set of Proxy Materials which includes a proxy card and then complete, sign and mail the proxy card received with the Proxy Statement by following the instructions on the proxy card, or you can attend the Meeting in person.

Shareholder Proposals at Future Meetings

Under the Declarations of Trust, the Trusts are not required to hold annual meetings of Trust shareholders to elect Trustees or for other purposes. Except as described below, it is not anticipated that a Trust will hold shareholders’ meetings unless required by law or its Declaration of Trust. In this regard, each Trust will be required to hold a meeting to elect Trustees to fill any existing vacancies on the Board if, at any time, fewer than a majority of the Trustees have been elected by the shareholders of the Trust. In addition, pursuant to the terms of the Administrative Order captioned “In the Matter of PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC,” Allianz Funds is required to hold a shareholder meeting once every five calendar years, which began with the election in 2005, for the purpose of electing Trustees. Shareholder proposals to be presented at any future meeting of shareholders of a Trust must be received by the Trust a reasonable time

 

36

before that meeting in order for such proposals to be considered for inclusion in the proxy materials relating to that meeting. As discussed above under “Election of a Board of Trustees — Shareholder Communications with the Boards of Trustees,” any such proposals should be submitted to the attention of the Board, c/o Chief Legal Officer, 1633 Broadway, New York, New York 10019.

Other Matters

Although the Meeting has been called to transact any other business that may properly come before it, the only business that management intends to present or that it knows that others will present is Proposal 1. in the Notice of Special Meeting. If any other matters properly come before the Meeting, the persons named in properly executed proxies have discretionary authority to vote such proxies as they shall decide.

Only one copy of the Notice of Internet Availability of Proxy Materials may be mailed to a household, even if more than one person in a household is a Fund shareholder of record, unless the applicable Fund has received contrary instructions from one or more of the shareholders. If you need additional copies of the Notice of Internet Availability of Proxy Materials and you are a holder of record of your shares, please call 1-844-292-8017. If your shares are held in broker street name, please contact your financial service firm to obtain additional copies of the Notice of Internet Availability of Proxy Materials. Additional copies of the Notice of Internet Availability of Proxy Materials will be delivered promptly upon request. If in the future you do not want the mailing of notices of internet availability of proxy materials, proxy statements and information statements to be combined with those of other members of your household, or if you have received multiple copies of the Notice of Internet Availability of Proxy Materials and want future mailings to be combined with those of other members of your household, please contact AGIFM in writing at Allianz Global Investors Fund Management LLC, C/O BFDS, P.O. Box 8050, Boston, Massachusetts 02940, or by telephone at 1-800-498-5413 (for Institutional Class, Class R6, Class P, Administrative Class, Class D Shares and Shares of the Funds of IMST) or 1-800-988-8380 (for Class A, Class B, Class C and Class R Shares), or contact your financial service firm.

 

37

Appendix A

Nominating Committee Charter

Allianz Funds, Allianz Funds Multi-Strategy Trust,

AllianzGI Managed Accounts Trust, Premier Multi-Series VIT, AllianzGI Institutional Multi-Series Trust and

Allianz Global Investors Fund Management Sponsored Closed-End Funds

The Boards of Directors/Trustees (the “Boards”) of each Trust and respective series thereof (each Trust or series, a “Fund”) have adopted this Charter to govern the activities of the Nominating Committee (the “Committee”) of each Board.

Statement of Purpose and Responsibility

The primary purpose and responsibility of each Committee is the screening and nomination of candidates for election to the Board as independent Directors/Trustees.

Organization and Governance

Each Committee shall be comprised of as many Directors/Trustees as the Board shall determine, but in any event not fewer than two (2) Directors/Trustees. Each Committee must consist entirely of Board members who are not “interested persons” of the relevant Funds, as defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended. Each Board may remove or replace any member of the Committee at any time in its sole discretion.

One or more members of a Committee may be designated by the Board as the Committee’s chairman or co-chairman, as the case may be.

A Committee will not have regularly scheduled meetings. Committee meetings shall be held as and when the Committee or the Board determines necessary or appropriate in accordance with the Fund’s Bylaws.

Qualifications for Director/Trustee Nominees

A Director/Trustee candidate must have a college degree or equivalent business experience. The Committee may take into account a wide variety of factors in considering Director/Trustee candidates, including (but not limited to): (i) availability and commitment of a candidate to attend meetings and perform his or her responsibilities on the Board, (ii) relevant industry and related experience, (iii) educational background, (iv) ability, judgment and expertise and (v) overall diversity of the Board’s composition.

 

A-1

Identification of Nominees

In identifying potential nominees for a Board, the Committee may consider candidates recommended by the following sources: (i) the Fund’s current Directors/Trustees; (ii) the Fund’s officers; (iii) the Fund’s investment adviser or sub-advisers; (iv) shareholders of the Fund (see below); and (v) any other source the Committee deems to be appropriate. The Committee may, but is not required to, retain a third party search firm at the Fund’s expense to identify potential candidates.

Consideration of Candidates Recommended By Shareholders

A Committee will consider and evaluate nominee candidates properly submitted by shareholders on the same basis as it considers and evaluates candidates recommended by other sources. Appendix A (for all Funds other than the Allianz Global Investors Fund Management Sponsored Closed-End Funds) and Appendix B (for the Allianz Global Investors Fund Management Sponsored Closed-End Funds) to this Charter, as they may be amended from time to time by a Committee, set forth procedures that must be followed by shareholders to submit properly a nominee candidate to the Committee (recommendations not properly submitted in accordance with Appendix A or Appendix B (as applicable) will not be considered by the Committee).

Recommendation of Candidates to the Board

A Committee will recommend to the Board the Directors/Trustees candidates that it deems qualified to serve as independent directors/trustees on the Board. To the extent practicable, the Committee will rank such potential nominees for the Board in order of preference.

 

A-2

Appendix A

Procedures for Shareholders to Submit Nominee Candidates for all Funds other than the Allianz Global Investors Fund Management Sponsored Closed-End Funds

A shareholder of a Fund must follow the following procedures in order to submit properly a nominee recommendation for the Committee’s consideration.

1.        The shareholder must submit any such recommendation (a “Shareholder Recommendation”) in writing to a Fund, to the attention of the Secretary, at the address of the principal executive offices of the Fund. Once each quarter, if any Shareholder Recommendations have been received by the Secretary during the quarter, the Secretary will inform the Committee of the new Shareholder Recommendations. Because the Fund does not hold annual or other regular meetings of shareholders for the purpose of electing Directors/Trustees, the Committee will accept Shareholder Recommendations on a continuous basis.

2.        All Shareholder Recommendations properly submitted to a Fund will be held by the Secretary until such time as (i) the Committee convenes to consider candidates to fill Board vacancies or newly created Board positions (a “Director/Trustee Consideration Meeting”) or (ii) the Committee instructs the Secretary to discard a Shareholder Recommendation following a Director/Trustee Consideration Meeting or an Interim Evaluation (as defined below).

3.        At a Director/Trustee Consideration Meeting, the Committee will consider each Shareholder Recommendation then held by the Secretary. Following a Director/Trustee Consideration Meeting, the Committee may instruct the Secretary to discard any or all of the Shareholder Recommendations currently held by the Secretary.

4.        A Committee may, in its discretion and at any time, convene to conduct an evaluation of validly submitted Shareholder Recommendations (each such meeting, an “Interim Evaluation”) for the purpose of determining which Shareholder Recommendations will be considered at the next Director/Trustee Consideration Meeting. Following an Interim Evaluation, the Committee may instruct the Secretary to discard any or all of the Shareholder Recommendations currently held by the Secretary.

5.        The Shareholder Recommendation must include: (i) a statement in writing setting forth (A) the name, date of birth, business address, residence address and nationality of the person recommended by the shareholder (the “candidate”); (B) the number of shares of (and class) of the Fund(s) owned of record or beneficially by the candidate, as reported to such shareholder by the candidate; (C) any other information regarding the candidate called for with respect to director nominees by paragraphs (a), (d), (e) and (f) of Item 401 of Regulation S-K or paragraph (b) of

 

A-3

Item 22 of Rule 14a-101 (Schedule 14A) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), adopted by the Securities and Exchange Commission (or the corresponding provisions of any regulation or rule subsequently adopted by the Securities and Exchange Commission or any successor agency applicable to the Trust); (D) any other information regarding the candidate that would be required to be disclosed if the candidate were a nominee in a proxy statement or other filing required to be made in connection with the election of Directors/Trustees or Directors pursuant to Section 14 of the Exchange Act and the rules and regulations promulgated thereunder; and (E) whether the recommending shareholder believes that the candidate is or will be an “interested person” of the Fund (as defined in the Investment Company Act of 1940, as amended) and, if not an “interested person,” information regarding the candidate that will be sufficient for the Fund to make such determination; (ii) the written and signed consent of the candidate to be named as a nominee and to serve as a Director/Trustee if elected; (iii) the recommending shareholder’s name as it appears on the Fund’s books; (iv) the number of shares of (and class) of the Fund(s) owned beneficially and of record by the recommending shareholder; and (v) a description of all arrangements or understandings between the recommending shareholder and the candidate and any other person or persons (including their names) pursuant to which the recommendation is being made by the recommending shareholder. In addition, the Committee may require the candidate to furnish such other information as it may reasonably require or deem necessary to determine the eligibility of such candidate to serve on the Board or to satisfy applicable law.

 

A-4

Procedures for Shareholders to Submit Nominee Candidates for the Allianz Global Investors Fund Management Sponsored Closed-End Funds

A Fund shareholder must follow the following procedures in order to properly submit a nominee recommendation for the Committee’s consideration.

1.        The shareholder/stockholder must submit any such recommendation (a “Shareholder Recommendation”) in writing to a Fund, to the attention of the Secretary, at the address of the principal executive offices of the Fund.

2.        The Shareholder Recommendation must be delivered to or mailed and received at the principal executive offices of a Fund not less than forty-five (45) calendar days nor more than seventy-five (75) calendar days prior to the date of the Board or shareholder meeting at which the nominee would be elected.

3.        The Shareholder Recommendation must include: (i) a statement in writing setting forth (A) the name, age, date of birth, business address, residence address and nationality of the person recommended by the shareholder (the “candidate”); (B) the class and number of all shares of the Fund owned of record or beneficially by the candidate, as reported to such shareholder by the candidate; (C) any other information regarding the candidate called for with respect to director nominees by paragraphs (a), (d), (e) and (f) of Item 401 of Regulation S-K or paragraph (b) of Item 22 of Rule 14a-101 (Schedule 14A) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), adopted by the Securities and Exchange Commission (or the corresponding provisions of any regulation or rule subsequently adopted by the Securities and Exchange Commission or any successor agency applicable to the Fund); (D) any other information regarding the candidate that would be required to be disclosed if the candidate were a nominee in a proxy statement or other filing required to be made in connection with solicitation of proxies for election of Directors/Trustees or directors pursuant to Section 14 of the Exchange Act and the rules and regulations promulgated thereunder; and (E) whether the recommending shareholder believes that the candidate is or will be an “interested person” of the Fund (as defined in the Investment Company Act of 1940, as amended) and, if not an “interested person,” information regarding the candidate that will be sufficient for the Fund to make such determination; (ii) the written and signed consent of the candidate to be named as a nominee and to serve as a Director/Trustee if elected; (iii) the recommending shareholder’s name as it appears on the Fund’s books; (iv) the class and number of all shares of the Fund owned beneficially and of record by the recommending shareholder; and (v) a description of all arrangements or understandings between the recommending shareholder and the candidate and any other person or persons (including their names) pursuant to which the recommendation is being made by the recommending shareholder. In addition, the Committee may require the candidate to furnish such other information as it may reasonably require or deem necessary to determine the eligibility of such candidate to serve on the Board.

 

A-5

Appendix B

Outstanding Shares and Significant Shareholders

Outstanding Shares

As of October 17, 2014 as shown on the books of the Trusts, there were issued and outstanding the following number of shares of beneficial interest of each class of each Fund of each Trust:

 

Fund Name and Class

    Shares
Outstanding		     

Fund Name and Class

    Shares
Outstanding		  

AllianzGI Behavioral Advantage Large Cap Fund A

      377,915.997       AllianzGI NFJ International Value Fund A      29,553,212.954   

AllianzGI Behavioral Advantage Large Cap Fund C

      16,853.205       AllianzGI NFJ International Value Fund Admin      869,276.198   

AllianzGI Behavioral Advantage Large Cap Fund D

      17,660.658       AllianzGI NFJ International Value Fund C      8,268,826.790   

AllianzGI Behavioral Advantage Large Cap Fund Inst

      3,270,766.981       AllianzGI NFJ International Value Fund D      4,281,979.257   

AllianzGI Behavioral Advantage Large Cap Fund P

      4,539.697       AllianzGI NFJ International Value Fund Inst      56,064,844.396   

AllianzGI Best Styles Global Equity Fund A

      605.694       AllianzGI NFJ International Value Fund P      28,080,773.298   

AllianzGI Best Styles Global Equity Fund Inst

      605.694       AllianzGI NFJ International Value Fund R      1,063,523.843   

AllianzGI Best Styles Global Equity Fund R6

      1,987,939.264       AllianzGI NFJ International Value Fund R6      726,850.920   

AllianzGI China Equity Fund A

      20,715.910       AllianzGI NFJ International Value II Fund A      9,518.606   

AllianzGI China Equity Fund C

      1,538.634       AllianzGI NFJ International Value II Fund C      4,460.821   

AllianzGI China Equity Fund D

      15,351.408       AllianzGI NFJ International Value II Fund D      762.143   

AllianzGI China Equity Fund Inst

      244,434.436       AllianzGI NFJ International Value II Fund Inst      2,159,985.745   

AllianzGI China Equity Fund P

      89,397.186       AllianzGI NFJ International Value II Fund P      6,564.842   

AllianzGI Convertible Fund A

      12,793,956.157       AllianzGI NFJ Large-Cap Value Fund A      7,398,624.170   

AllianzGI Convertible Fund Admin

      105,478.198       AllianzGI NFJ Large-Cap Value Fund Admin      85,339.522   

AllianzGI Convertible Fund C

      3,663,927.571       AllianzGI NFJ Large-Cap Value Fund B      79,303.021   

AllianzGI Convertible Fund D

      2,264,246.090       AllianzGI NFJ Large-Cap Value Fund C      4,713,435.097   

AllianzGI Convertible Fund Inst

      47,962,485.685       AllianzGI NFJ Large-Cap Value Fund D      1,820,708.130   

AllianzGI Convertible Fund P

      6,365,206.411       AllianzGI NFJ Large-Cap Value Fund Inst      20,185,450.279   

AllianzGI Convertible Fund R

      41,028.556       AllianzGI NFJ Large-Cap Value Fund P      840,568.783   

AllianzGI Emerging Markets Debt Fund A

      666.667       AllianzGI NFJ Large-Cap Value Fund R      542,269.764   

 

B-1

Fund Name and Class

    Shares
Outstanding		     

Fund Name and Class

    Shares
Outstanding		  

AllianzGI Emerging Markets Debt Fund C

      666.667       AllianzGI NFJ Mid-Cap Value Fund A      16,992,384.961   

AllianzGI Emerging Markets Debt Fund Inst

      2,000,201.342       AllianzGI NFJ Mid-Cap Value Fund Admin      192,189.350   

AllianzGI Emerging Markets Debt Fund P

      666.667       AllianzGI NFJ Mid-Cap Value Fund B      124,364.007   

AllianzGI Emerging Markets Opportunities Fund A

      1,012,919.317       AllianzGI NFJ Mid-Cap Value Fund C      9,636,224.143   

AllianzGI Emerging Markets Opportunities Fund C

      662,352.423       AllianzGI NFJ Mid-Cap Value Fund D      646,254.288   

AllianzGI Emerging Markets Opportunities Fund D

      751,936.971       AllianzGI NFJ Mid-Cap Value Fund Inst      3,201,168.069   

AllianzGI Emerging Markets Opportunities Fund Inst

      2,119,196.640       AllianzGI NFJ Mid-Cap Value Fund P      661,971.116   

AllianzGI Emerging Markets Opportunities Fund P

      95,653.552       AllianzGI NFJ Mid-Cap Value Fund R      618,231.412   

AllianzGI Focused Growth Fund A

      6,538,687.350       AllianzGI NFJ Small-Cap Value Fund A      59,382,991.085   

AllianzGI Focused Growth Fund Admin

      157,932.710       AllianzGI NFJ Small-Cap Value Fund Admin      31,370,092.213   

AllianzGI Focused Growth Fund B

      58,489.273       AllianzGI NFJ Small-Cap Value Fund B      243,644.828   

AllianzGI Focused Growth Fund C

      6,806,006.504       AllianzGI NFJ Small-Cap Value Fund C      9,796,989.697   

AllianzGI Focused Growth Fund D

      381,687.743       AllianzGI NFJ Small-Cap Value Fund D      3,191,988.442   

AllianzGI Focused Growth Fund Inst

      2,677,698.976       AllianzGI NFJ Small-Cap Value Fund Inst      94,972,241.809   

AllianzGI Focused Growth Fund P

      459,745.416       AllianzGI NFJ Small-Cap Value Fund P      3,548,778.714   

AllianzGI Focused Growth Fund R

      469,778.313       AllianzGI NFJ Small-Cap Value Fund R      3,365,671.947   

AllianzGI Global Allocation Fund A

      5,485,501.138      AllianzGI NFJ Small-Cap Value Fund R6      1,197,047.855   

AllianzGI Global Allocation Fund Admin

      2,647.428       AllianzGI Opportunity Fund A      1,373,485.079   

AllianzGI Global Allocation Fund B

      151,277.534       AllianzGI Opportunity Fund Admin      5,746.140   

AllianzGI Global Allocation Fund C

      5,101,626.658       AllianzGI Opportunity Fund B      11,763.692   

AllianzGI Global Allocation Fund D

      184,660.753       AllianzGI Opportunity Fund C      2,337,382.419   

AllianzGI Global Allocation Fund Inst

      6,227,583.243       AllianzGI Opportunity Fund D      26,644.710   

AllianzGI Global Allocation Fund P

      166,408.536       AllianzGI Opportunity Fund Inst      320,290.093   

AllianzGI Global Allocation Fund R

      1,438.017       AllianzGI Opportunity Fund P      47,970.716   

AllianzGI Global Fundamental Strategy Fund A

      1,017.825       AllianzGI Opportunity Fund R      3,254.048   

AllianzGI Global Fundamental Strategy Fund C

      672.043       AllianzGI Retirement 2015 Fund A      573,333.539   

 

B-2

Fund Name and Class

   Shares
Outstanding		    

Fund Name and Class

   Shares
Outstanding		  

AllianzGI Global Fundamental Strategy Fund D

     3,995.923      AllianzGI Retirement 2015 Fund Admin     170,741.225   

AllianzGI Global Fundamental Strategy Fund Inst

     1,382,378.916      AllianzGI Retirement 2015 Fund C     57,258.019   

AllianzGI Global Fundamental Strategy Fund P

     675.041      AllianzGI Retirement 2015 Fund D     5,401.747   

AllianzGI Global Growth Allocation Fund A

     51,651.271      AllianzGI Retirement 2015 Fund P     184,596.616   

AllianzGI Global Growth Allocation Fund Admin

     923.297      AllianzGI Retirement 2015 Fund R     10,158.587   

AllianzGI Global Growth Allocation Fund C

     64,150.493      AllianzGI Retirement 2015 Fund R6     664,513.228   

AllianzGI Global Growth Allocation Fund D

     7,201.098      AllianzGI Retirement 2020 Fund A     1,771,879.760   

AllianzGI Global Growth Allocation Fund Inst

     155,817.844      AllianzGI Retirement 2020 Fund Admin
     361,767.808   

AllianzGI Global Growth Allocation Fund P

     1,954.812      AllianzGI Retirement 2020 Fund C     23,994.397   

AllianzGI Global Growth Allocation Fund R

     6,540.183      AllianzGI Retirement 2020 Fund D     13,915.557   

AllianzGI Global Managed Volatility Fund A

     7,257.027      AllianzGI Retirement 2020 Fund P     630,160.530   

AllianzGI Global Managed Volatility Fund C

     14,325.318      AllianzGI Retirement 2020 Fund R     51,234.802   

AllianzGI Global Managed Volatility Fund D

     8,714.796      AllianzGI Retirement 2020 Fund R6     281,528.033   

AllianzGI Global Managed Volatility Fund Inst

     735,662.737      AllianzGI Retirement 2025 Fund A     1,785,800.684   

AllianzGI Global Managed Volatility Fund P

     741.970      AllianzGI Retirement 2025 Fund Admin     647,262.870   

AllianzGI Global Natural Resources A

     520,706.191      AllianzGI Retirement 2025 Fund P     802,509.824   

AllianzGI Global Natural Resources C

     227,779.985      AllianzGI Retirement 2025 Fund R     57,690.100   

AllianzGI Global Natural Resources D

     172,602.483      AllianzGI Retirement 2025 Fund R6     453,877.406   

AllianzGI Global Natural Resources Inst

     1,549,867.254      AllianzGI Retirement 2030 Fund A     1,218,370.839   

AllianzGI Global Natural Resources P

     82,889.482      AllianzGI Retirement 2030 Fund Admin     403,592.223   

AllianzGI Global Small-Cap Fund A

     1,223,762.396      AllianzGI Retirement 2030 Fund C     32,827.335   

AllianzGI Global Small-Cap Fund B

     14,410.211      AllianzGI Retirement 2030 Fund D     30,133.662   

AllianzGI Global Small-Cap Fund C

     596,423.187      AllianzGI Retirement 2030 Fund P     836,048.438   

AllianzGI Global Small-Cap Fund D

     777,688.228      AllianzGI Retirement 2030 Fund R     68,369.509   

AllianzGI Global Small-Cap Fund Inst

     1,766,970.093      AllianzGI Retirement 2030 Fund R6     409,958.356   

AllianzGI Global Small-Cap Fund P

     415,854.366      AllianzGI Retirement 2035 Fund A     913,134.366   

AllianzGI Global Small-Cap Opportunites Portfolio Inst

     333,333.333      AllianzGI Retirement 2035 Fund Admin     601,161.716   

 

B-3

Fund Name and Class

   Shares
Outstanding		    

Fund Name and Class

   Shares
Outstanding		  

AllianzGI Global Water Fund A

     10,925,070.319      AllianzGI Retirement 2035 Fund P     764,147.187   

AllianzGI Global Water Fund C

     6,214,306.577      AllianzGI Retirement 2035 Fund R     58,052.129   

AllianzGI Global Water Fund D

     1,789,529.334      AllianzGI Retirement 2035 Fund R6     406,408.944   

AllianzGI Global Water Fund Inst

     1,831,455.534      AllianzGI Retirement 2040 Fund A     764,658.240   

AllianzGI Global Water Fund P

     6,544,980.744      AllianzGI Retirement 2040 Fund Admin     236,279.283   

AllianzGI High Yield Bond Fund A

     7,791,914.023      AllianzGI Retirement 2040 Fund C     13,285.624   

AllianzGI High Yield Bond Fund Admin

     3,690,026.638      AllianzGI Retirement 2040 Fund D     9,417.816   

AllianzGI High Yield Bond Fund C

     2,360,406.255      AllianzGI Retirement 2040 Fund P     548,485.763   

AllianzGI High Yield Bond Fund D

     3,919,766.205      AllianzGI Retirement 2040 Fund R     61,489.376   

AllianzGI High Yield Bond Fund Inst

     16,933,518.511      AllianzGI Retirement 2040 Fund R6     359,842.668   

AllianzGI High Yield Bond Fund P

     4,994,048.479      AllianzGI Retirement 2045 Fund A     500,109.271   

AllianzGI High Yield Bond Fund R

     295,685.326      AllianzGI Retirement 2045 Fund Admin     91,221.773   

AllianzGI Income & Growth Fund A

     64,626,110.927      AllianzGI Retirement 2045 Fund P     449,535.773   

AllianzGI Income & Growth Fund C

     86,411,125.329      AllianzGI Retirement 2045 Fund R     22,557.973   

AllianzGI Income & Growth Fund D

     4,367,241.585      AllianzGI Retirement 2045 Fund R6     299,697.541   

AllianzGI Income & Growth Fund Inst

     13,933,400.130      AllianzGI Retirement 2050 Fund A     202,643.591   

AllianzGI Income & Growth Fund P

     46,601,078.142      AllianzGI Retirement 2050 Fund Admin     53,447.776   

AllianzGI Income & Growth Fund R

     296,357.064      AllianzGI Retirement 2050 Fund C     6,318.644   

AllianzGI International Managed Volatility Fund A

     1,244,342.471      AllianzGI Retirement 2050 Fund D     13,042.038   

AllianzGI International Managed Volatility Fund C

     629,965.037      AllianzGI Retirement 2050 Fund P     253,874.792   

AllianzGI International Managed Volatility Fund D

     67,557.208      AllianzGI Retirement 2050 Fund R     26,823.176   

AllianzGI International Managed Volatility Fund Inst

     4,161,447.923      AllianzGI Retirement 2050 Fund R6     414,991.512   

AllianzGI International Managed Volatility Fund P

     36,167.421      AllianzGI Retirement 2055 Fund A     44,529.961   

AllianzGI International Managed Volatility Fund R

     6,349.470      AllianzGI Retirement 2055 Fund Admin     18,050.353   

AllianzGI International Small-Cap Fund A

     146,119.178      AllianzGI Retirement 2055 Fund P     68,940.150   

AllianzGI International Small-Cap Fund C

     32,216.404      AllianzGI Retirement 2055 Fund R     7,299.843   

AllianzGI International Small-Cap Fund D

     41,096.232      AllianzGI Retirement 2055 Fund R6     260,087.247   

 

B-4

Fund Name and Class

    Shares
Outstanding		     

Fund Name and Class

    Shares
Outstanding		  

AllianzGI International Small-Cap Fund Inst

      1,499,745.760       AllianzGI Retirement Income Fund A      286,792.216   

AllianzGI International Small-Cap Fund P

      789,336.063       AllianzGI Retirement Income Fund Admin      101,313.086   

AllianzGI International Small-Cap Fund R

      2,069.633       AllianzGI Retirement Income Fund C      219,371.208   

AllianzGI Micro Cap Fund A

      304,997.722       AllianzGI Retirement Income Fund D      52,112.529   

AllianzGI Micro Cap Fund Inst

      2,231,884.773       AllianzGI Retirement Income Fund P      366,950.905   

AllianzGI Micro Cap Fund P

      102,779.703       AllianzGI Retirement Income Fund R      10,676.673   

AllianzGI Mid-Cap Fund A

      25,813,865.745       AllianzGI Retirement Income Fund R6      517,312.132   

AllianzGI Mid-Cap Fund Admin

      119,609.218       AllianzGI Short Duration High Income Fund A      10,286,616.064   

AllianzGI Mid-Cap Fund B

      180,592.275       AllianzGI Short Duration High Income Fund C      5,710,182.937   

AllianzGI Mid-Cap Fund C

      52,851,768.194       AllianzGI Short Duration High Income Fund D      2,321,924.084   

AllianzGI Mid-Cap Fund D

      444,935.125       AllianzGI Short Duration High Income Fund Inst      14,723,763.312   

AllianzGI Mid-Cap Fund Inst

      7,886,545.724       AllianzGI Short Duration High Income Fund P      14,808,270.014   

AllianzGI Mid-Cap Fund P

      503,284.331       AllianzGI Small-Cap Blend Fund A      5,618.607   

AllianzGI Mid-Cap Fund R

      667,613.720       AllianzGI Small-Cap Blend Fund C      3,038.835   

AllianzGI Multi-Asset Real Return Fund A

      9,608.526       AllianzGI Small-Cap Blend Fund D      1,376.169   

AllianzGI Multi-Asset Real Return Fund C

      7,707.179       AllianzGI Small-Cap Blend Fund Inst      350,280.885   

AllianzGI Multi-Asset Real Return Fund D

      1,534.401       AllianzGI Small-Cap Blend Fund P      673.385   

AllianzGI Multi-Asset Real Return Fund Inst

      404,009.936       AllianzGI Structured Return Fund A      162,706.424   

AllianzGI Multi-Asset Real Return Fund P

      680.152       AllianzGI Structured Return Fund C      8,952.253   

AllianzGI NFJ All-Cap Value Fund A

      617,271.395       AllianzGI Structured Return Fund D      167,267.804   

AllianzGI NFJ All-Cap Value Fund B

      11,545.453       AllianzGI Structured Return Fund Inst      962,393.362   

AllianzGI NFJ All-Cap Value Fund C

      501,598.775       AllianzGI Structured Return Fund P      2,354.904   

AllianzGI NFJ All-Cap Value Fund D

      100,442.539       AllianzGI Technology Fund A      5,099,080.037   

AllianzGI NFJ All-Cap Value Fund Inst

      60,086.970       AllianzGI Technology Fund Admin      991,435.217   

AllianzGI NFJ All-Cap Value Fund P

      344,500.987       AllianzGI Technology Fund B      29,383.959   

AllianzGI NFJ Dividend Value Fund A

      100,160,544.129       AllianzGI Technology Fund C      2,205,552.834   

 

B-5

Fund Name and Class

    Shares
Outstanding		     

Fund Name and Class

    Shares
Outstanding		  

AllianzGI NFJ Dividend Value Fund Admin

      44,408,011.772       AllianzGI Technology Fund D      2,546,939.439   

AllianzGI NFJ Dividend Value Fund B

      358,561.891       AllianzGI Technology Fund Inst      8,204,590.100   

AllianzGI NFJ Dividend Value Fund C

      28,325,425.371       AllianzGI Technology Fund P      704,297.110   

AllianzGI NFJ Dividend Value Fund D

      13,694,484.401       AllianzGI U.S. Equity Hedged Fund A      85,687.788   

AllianzGI NFJ Dividend Value Fund Inst

      234,414,370.031       AllianzGI U.S. Equity Hedged Fund C      10,500.267   

AllianzGI NFJ Dividend Value Fund P

      95,488,096.485       AllianzGI U.S. Equity Hedged Fund D      17,089.579   

AllianzGI NFJ Dividend Value Fund R

      14,939,376.736       AllianzGI U.S. Equity Hedged Fund Inst      714,991.776   

AllianzGI NFJ Dividend Value Fund R6

      825,406.411       AllianzGI U.S. Equity Hedged Fund P      706.876   

AllianzGI NFJ Emerging Markets Value Fund A

      7,249.910       AllianzGI U.S. Managed Volatility Fund A      971,130.966   

AllianzGI NFJ Emerging Markets Value Fund C

      4,490.111       AllianzGI U.S. Managed Volatility Fund B      12,877.223   

AllianzGI NFJ Emerging Markets Value Fund D

      92,696.151       AllianzGI U.S. Managed Volatility Fund C      132,459.413   

AllianzGI NFJ Emerging Markets Value Fund Inst

      513,370.725       AllianzGI U.S. Managed Volatility Fund D      41,307.758   

AllianzGI NFJ Emerging Markets Value Fund P

      691.417       AllianzGI U.S. Managed Volatility Fund Inst      4,594,857.585   

AllianzGI NFJ Global Dividend Value Fund A

      548,885.415       AllianzGI U.S. Managed Volatility Fund P      27,356.880   

AllianzGI NFJ Global Dividend Value Fund C

      282,289.871       AllianzGI U.S. Small-Cap Growth Fund A      185,151.928   

AllianzGI NFJ Global Dividend Value Fund D

      128,571.169       AllianzGI U.S. Small-Cap Growth Fund C      40,590.546   

AllianzGI NFJ Global Dividend Value Fund Inst

      2,477,458.090       AllianzGI U.S. Small-Cap Growth Fund D      6,581.799   

AllianzGI NFJ Global Dividend Value Fund P

      88,386.498       AllianzGI U.S. Small-Cap Growth Fund Inst      1,674,483.915   

AllianzGI NFJ International Small-Cap Value Fund A

      126,667.207       AllianzGI U.S. Small-Cap Growth Fund P      13,815.953   

AllianzGI NFJ International Small-Cap Value Fund C

      64,047.735       AllianzGI U.S. Small-Cap Growth Fund R      1,198.635   

AllianzGI NFJ International Small-Cap Value Fund D

      63,677.156       AllianzGI U.S. Unconstrained Equity Portfolio Inst      200,000.000   

AllianzGI NFJ International Small-Cap Value Fund Inst

      754,929.845       AllianzGI Ultra Micro Cap Fund A      2,278,745.020   

AllianzGI NFJ International Small-Cap Value Fund P

      1,044.686       AllianzGI Ultra Micro Cap Fund Inst      2,049,639.870   
      AllianzGI Ultra Micro Cap Fund P      459,343.591   
      AllianzGI Wellness Fund A      856,973.240   
      AllianzGI Wellness Fund B      15,654.090   
      AllianzGI Wellness Fund C      372,056.807   
      AllianzGI Wellness Fund D      3,614,274.286   

 

B-6

Significant Shareholders

CERTAIN OWNERSHIP OF TRUST SHARES

As of August 31, 2014, the following persons owned of record or beneficially 5% or more of the noted class of shares of the following Funds:

a = Entity owned 25% or more of the outstanding shares of beneficial interest of the Funds, and therefore may be presumed to “control” the Funds, as that term is defined in the 1940 Act.

Allianz Funds

 

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI EMERGING MARKETS OPP A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      191841.328         18.23 % 

ALLIANZGI EMERGING MARKETS OPP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      144514.237         13.73 % 

ALLIANZGI EMERGING MARKETS OPP A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      122522.356         11.64 % 

ALLIANZGI EMERGING MARKETS OPP A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      88420.777         8.40 % 

ALLIANZGI EMERGING MARKETS OPP A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      59302.257         5.64 % 

ALLIANZGI EMERGING MARKETS OPP C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      195625.292         28.86 % 

 

B-7

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI EMERGING MARKETS OPP C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      65615.354         9.68 % 

ALLIANZGI EMERGING MARKETS OPP C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      61247.231         9.04 % 

ALLIANZGI EMERGING MARKETS OPP C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      49868.158         7.36 % 

ALLIANZGI EMERGING MARKETS OPP C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      46350.508         6.84 % 

ALLIANZGI EMERGING MARKETS OPP C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      45472.855         6.71 % 

ALLIANZGI EMERGING MARKETS OPP D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      374249.71         48.59 % 

ALLIANZGI EMERGING MARKETS OPP D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      299319.103         38.86 % 

ALLIANZGI EMERGING MARKETS OPP INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      763539.5905         35.94 % 

 

B-8

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI EMERGING MARKETS OPP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      160038.17         7.53 % 

ALLIANZGI EMERGING MARKETS OPP INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      157708.372         7.42 % 

ALLIANZGI EMERGING MARKETS OPP INST

    STATE STREET BANK & TRUST CO CUST FOR MI 529 ADVISOR PLAN AGE-BASED PORTFOLIO 1 P75A 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      139122.559         6.55 % 

ALLIANZGI EMERGING MARKETS OPP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      138250.582         6.51 % 

ALLIANZGI EMERGING MARKETS OPP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      123020.327         5.79 % 

ALLIANZGI EMERGING MARKETS OPP P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      48204.268         60.12 % 

ALLIANZGI EMERGING MARKETS OPP P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      14626.733         18.24 % 

 

B-9

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI EMERGING MARKETS OPP P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      10082.121         12.57 % 

ALLIANZGI EMERGING MARKETS OPP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      5110.611         6.37 % 

ALLIANZGI FOCUSED GROWTH A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1553594.099         23.02 % 

ALLIANZGI FOCUSED GROWTH A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      512056.497         7.59 % 

ALLIANZGI FOCUSED GROWTH A

    ASCENSUS TRUST COMPANY FBO CORRECTIONS CORPORATION OF AMERICA P.O. BOX 10758 FARGO ND 58106-0758      499232.852         7.40 % 

ALLIANZGI FOCUSED GROWTH A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      469452.584         6.95 % 

ALLIANZGI FOCUSED GROWTH A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      361802.571         5.36 % 

ALLIANZGI FOCUSED GROWTH ADMIN

    PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST PL 108 OBLON, SPIVAK, MCCLELLAND, MAIER 1940 DUKE STREET ALEXANDRIA VA 22314-3451 (a)      104309.039         66.13 % 

ALLIANZGI FOCUSED GROWTH ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      27174.847         17.23 % 

 

B-10

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI FOCUSED GROWTH ADMIN

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      18008.947         11.42 % 

ALLIANZGI FOCUSED GROWTH B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      15640.4         22.82 % 

ALLIANZGI FOCUSED GROWTH B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      10054.461         14.67 % 

ALLIANZGI FOCUSED GROWTH B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      4594.959         6.70 % 

ALLIANZGI FOCUSED GROWTH B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      4289.167         6.26 % 

ALLIANZGI FOCUSED GROWTH B

    WILLIAM HAUENSTEIN & VIOLET HAUENSTEIN JT WROS 3611 WOODHILL PL FAIRFAX VA 22031-3331      3647.925         5.32 % 

ALLIANZGI FOCUSED GROWTH C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1552677.034         22.57 % 

ALLIANZGI FOCUSED GROWTH C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      922282.176         13.41 % 

ALLIANZGI FOCUSED GROWTH C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      728233.365         10.59 % 

 

B-11

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI FOCUSED GROWTH C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      428389.625         6.23 % 

ALLIANZGI FOCUSED GROWTH C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      380720.47         5.54 % 

ALLIANZGI FOCUSED GROWTH D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      373504.289         60.99 % 

ALLIANZGI FOCUSED GROWTH D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      93764.675         15.31 % 

ALLIANZGI FOCUSED GROWTH D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      31417.177         5.13 % 

ALLIANZGI FOCUSED GROWTH INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1482085.08         60.09 % 

ALLIANZGI FOCUSED GROWTH INST

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      319383.78         12.95 % 

 

B-12

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI FOCUSED GROWTH INST

    STATE STREET BANK & TRUST CO AS CUSTODIAN FOR SOUTH DAKOTA COLLAGEACCESS 529 PLAN (ALLIANZGI FOCUSED GROWTH)P54S 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      192269.721         7.80 % 

ALLIANZGI FOCUSED GROWTH INST

    WILMINGTON TRUST RISC TTEE FBO UA LOCALS NO 375 AND 367 SUPPLEMENTAL PENSION PLAN PO BOX 52129 PHOENIX AZ 85072-2129      135817.041         5.51 % 

ALLIANZGI FOCUSED GROWTH P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      116672.272         25.71 % 

ALLIANZGI FOCUSED GROWTH P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      106229.567         23.40 % 

ALLIANZGI FOCUSED GROWTH P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      102420.771         22.57 % 

ALLIANZGI FOCUSED GROWTH P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      95682.217         21.08 % 

ALLIANZGI FOCUSED GROWTH R

    STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 (a)      259974.195         55.01 % 

ALLIANZGI FOCUSED GROWTH R

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      47692.442         10.09 % 

 

B-13

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI FOCUSED GROWTH R

    SEI PRIVATE TRUST COMPANY C/O MACATAWA BANK ETS ID 653 ATTN MUTUAL FUNDS ADMINISTRATOR 1 FREEDOM VALLEY DR OAKS PA 19456-9989      40455.767         8.56 % 

ALLIANZGI FOCUSED GROWTH R

    ASCENSUS TR CO FBO FALLS COURT DENTISTS PA PS 401K PO BOX 10758 FARGO ND 58106-0758      26037.843         5.51 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      209620.774         13.81 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET BANK AND TRUST CO CUST SOUTH DAKOKA HIGHER EDUCATION TRUST (ALLIANZ RCM GLOBAL RESOURCES) 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      194423.819         12.81 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      163454.035         10.77 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      126148.994         8.31 % 

 

B-14

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      104805.371         6.91 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI MULTI-ASSET REAL RETURN FUND MUTUAL FUNDS OPERATIONS 1633 BROADWAY 43RD FLOOR NEW YORK NY 10019-6708      92950.258         6.12 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET BANK & TRUST CO CUST FOR MI 529 ADVISOR PLAN AGE-BASED PORTFOLIO 1 P75A 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      88977.094         5.86 % 

ALLIANZGI GBL NATURAL RESOURCES INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 0-6 P51A ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      82351.97         5.43 % 

ALLIANZGI GLOBAL NATURAL RESOURCES A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL
32246-6484 (a)		      208687.855         34.86 % 

ALLIANZGI GLOBAL NATURAL RESOURCES A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      57415.437         9.59 % 

ALLIANZGI GLOBAL NATURAL RESOURCES A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      49278.427         8.23 % 

 

B-15

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL NATURAL RESOURCES A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      41756.105         6.98 % 

ALLIANZGI GLOBAL NATURAL RESOURCES A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      34760.574         5.81 % 

ALLIANZGI GLOBAL NATURAL RESOURCES C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      44482.742         19.47 % 

ALLIANZGI GLOBAL NATURAL RESOURCES C

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      28913.767         12.65 % 

ALLIANZGI GLOBAL NATURAL RESOURCES C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      27315.204         11.95 % 

ALLIANZGI GLOBAL NATURAL RESOURCES C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      25712.801         11.25 % 

ALLIANZGI GLOBAL NATURAL RESOURCES C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      15025.036         6.58 % 

ALLIANZGI GLOBAL NATURAL RESOURCES D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      58635.126         36.86 % 

ALLIANZGI GLOBAL NATURAL RESOURCES D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      58627.798         36.85 % 

 

B-16

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL NATURAL RESOURCES D

    E*TRADE CLEARING LLC 674-81307-10 PO BOX 484 JERSEY CITY NJ 07303-0484      10818.383         6.80 % 

ALLIANZGI GLOBAL NATURAL RESOURCES D

    AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      8524.529         5.36 % 

ALLIANZGI GLOBAL NATURAL RESOURCES P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      31065.829         47.55 % 

ALLIANZGI GLOBAL NATURAL RESOURCES P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 (a)      25659.914         39.27 % 

ALLIANZGI GLOBAL NATURAL RESOURCES P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      3920.002         6.00 % 

ALLIANZGI GLOBAL SMALL-CAP A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      186553.733         15.20 % 

ALLIANZGI GLOBAL SMALL-CAP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      150416.535         12.25 % 

ALLIANZGI GLOBAL SMALL-CAP A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      120799.956         9.84 % 

ALLIANZGI GLOBAL SMALL-CAP A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      119362.197         9.72 % 

ALLIANZGI GLOBAL SMALL-CAP A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      105964.071         8.63 % 

 

B-17

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL SMALL-CAP A

    UMB BANK NA FBO FIDUCIARY FOR TAX DEFERRED ACCT S ONE SECURITY BENEFIT PLACE TOPEKA KS 66636-1000      79192.221         6.45 % 

ALLIANZGI GLOBAL SMALL-CAP B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      4731.796         29.01 % 

ALLIANZGI GLOBAL SMALL-CAP B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      2284.726         14.01 % 

ALLIANZGI GLOBAL SMALL-CAP B

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      1618.922         9.92 % 

ALLIANZGI GLOBAL SMALL-CAP B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      1602.867         9.83 % 

ALLIANZGI GLOBAL SMALL-CAP B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      1390.223         8.52 % 

ALLIANZGI GLOBAL SMALL-CAP C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      125312.032         20.39 % 

ALLIANZGI GLOBAL SMALL-CAP C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      84659.152         13.78 % 

ALLIANZGI GLOBAL SMALL-CAP C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      54430.964         8.86 % 

 

B-18

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL SMALL-CAP C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      44921.508         7.31 % 

ALLIANZGI GLOBAL SMALL-CAP C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      44440.578         7.23 % 

ALLIANZGI GLOBAL SMALL-CAP C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      39286.021         6.39 % 

ALLIANZGI GLOBAL SMALL-CAP C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      33350.959         5.43 % 

ALLIANZGI GLOBAL SMALL-CAP D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      340536.922         42.28 % 

ALLIANZGI GLOBAL SMALL-CAP D

    NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      299314.284         37.16 % 

ALLIANZGI GLOBAL SMALL-CAP INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      437956.604         31.02 % 

ALLIANZGI GLOBAL SMALL-CAP INST

    RIVERCO CASH/CASH 900 WASHINGTON ST STE 900 VANCOUVER WA 98660-3455 (a)      419473.97         29.71 % 

ALLIANZGI GLOBAL SMALL-CAP INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      170048.17         12.04 % 

ALLIANZGI GLOBAL SMALL-CAP INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      159853.179         11.32 % 

 

B-19

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL SMALL-CAP INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      119934.654         8.49 % 

ALLIANZGI GLOBAL SMALL-CAP P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      171861.049         39.87 % 

ALLIANZGI GLOBAL SMALL-CAP P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      161587.588         37.48 % 

ALLIANZGI GLOBAL SMALL-CAP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      31777.097         7.37 % 

ALLIANZGI GLOBAL SMALL-CAP P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      29045.522         6.74 % 

ALLIANZGI INCOME & GROWTH A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      8222528.02         13.08 % 

ALLIANZGI INCOME & GROWTH A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      7280033.773         11.58 % 

ALLIANZGI INCOME & GROWTH A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      7276664.795         11.58 % 

ALLIANZGI INCOME & GROWTH A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      6680514.098         10.63 % 

 

B-20

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INCOME & GROWTH A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      6276232.059         9.99 % 

ALLIANZGI INCOME & GROWTH A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      6059534.107         9.64 % 

ALLIANZGI INCOME & GROWTH A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      4629540.593         7.37 % 

ALLIANZGI INCOME & GROWTH A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      4416022.887         7.03 % 

ALLIANZGI INCOME & GROWTH C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      20038668.17         24.50 % 

ALLIANZGI INCOME & GROWTH C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      14870840.8         18.18 % 

ALLIANZGI INCOME & GROWTH C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      14442156.12         17.66 % 

ALLIANZGI INCOME & GROWTH C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      5891661.831         7.20 % 

ALLIANZGI INCOME & GROWTH C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      5012299.616         6.13 % 

ALLIANZGI INCOME & GROWTH D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      2264863.683         53.30 % 

 

B-21

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INCOME & GROWTH D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1086562.071         25.57 % 

ALLIANZGI INCOME & GROWTH D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      245035.447         5.77 % 

ALLIANZGI INCOME & GROWTH INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      3629718         28.34 % 

ALLIANZGI INCOME & GROWTH INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      3213301.807         25.09 % 

ALLIANZGI INCOME & GROWTH INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      2017140.997         15.75 % 

ALLIANZGI INCOME & GROWTH P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      12248132.81         28.23 % 

ALLIANZGI INCOME & GROWTH P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      11895206.46         27.41 % 

ALLIANZGI INCOME & GROWTH P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      7850215.842         18.09 % 

ALLIANZGI INCOME & GROWTH P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      7450026.066         17.17 % 

 

B-22

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INCOME & GROWTH R

    DR PETER FRANCIS FBO NORTHPOINTE PEDIATRICS P C 401 K PROFIT SHARING PLAN & TRUST 30061 SCHOENHERR RD STE A WARREN MI 48088-3133 (a)      114255.726         39.28 % 

ALLIANZGI INCOME & GROWTH R

    MID ATLANTIC TR CO FBO K B C TOOLS INC 401K PSP & TR 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 (a)      90194.115         31.01 % 

ALLIANZGI INCOME & GROWTH R

    MID ATLANTIC TR CO FBO H REX RUETTINGER DO PC 401K PSP & TR 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228      40455.753         13.91 % 

ALLIANZGI INCOME & GROWTH R

    MID ATLANTIC TR CO FBO MICHIGAN AUTOMATIC TURNING INC 401K PSP & TR 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228      36356.876         12.50 % 

ALLIANZGI INTL MANAGED VOLATILITY A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      574531.898         46.75 % 

ALLIANZGI INTL MANAGED VOLATILITY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      111527.727         9.08 % 

ALLIANZGI INTL MANAGED VOLATILITY A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      86808.861         7.06 % 

ALLIANZGI INTL MANAGED VOLATILITY A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      73203.408         5.96 % 

ALLIANZGI INTL MANAGED VOLATILITY C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      75002.647         11.54 % 

 

B-23

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INTL MANAGED VOLATILITY C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      72841.15         11.21 % 

ALLIANZGI INTL MANAGED VOLATILITY C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      60261.681         9.28 % 

ALLIANZGI INTL MANAGED VOLATILITY C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      58239.915         8.96 % 

ALLIANZGI INTL MANAGED VOLATILITY C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      57456.902         8.84 % 

ALLIANZGI INTL MANAGED VOLATILITY C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      46424.581         7.15 % 

ALLIANZGI INTL MANAGED VOLATILITY D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      43097.051         62.36 % 

ALLIANZGI INTL MANAGED VOLATILITY D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      11520.642         16.67 % 

ALLIANZGI INTL MANAGED VOLATILITY D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      4155.26         6.01 % 

ALLIANZGI INTL MANAGED VOLATILITY R

    MG TRUST COMPANY CUST. FBO DALTON CARPET ONE 717 17TH STREET SUITE 1300 DENVER CO 80202-3304 (a)      2582.709         55.77 % 

ALLIANZGI INTL MANAGED VOLATILITY R

    ASCENSUS TR CO FBO AMERICAN STAR RET PLAN 2091 PO BOX 10758 FARGO ND 58106-0758      890.284         19.22 % 

 

B-24

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INTL MANAGED VOLATILITY R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      718.113         15.51 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      573527.94         13.74 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905      566229.633         13.56 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      384179.625         9.20 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      339340.357         8.13 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    STATE STREET BANK & TRUST CO CUST FOR MI 529 ADVISOR PLAN AGE-BASED PORTFOLIO 1 P75A 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      299376.606         7.17 % 

ALLIANZGI INTL MNGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      281952.286         6.75 % 

 

B-25

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INTL MNGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 0-6 P51A ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      221025.114         5.29 % 

ALLIANZGI INTL MNGED VOLATILITY P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      19651.217         54.09 % 

ALLIANZGI INTL MNGED VOLATILITY P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      6504.105         17.90 % 

ALLIANZGI INTL MNGED VOLATILITY P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      5662.749         15.59 % 

ALLIANZGI INTL MNGED VOLATILITY P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      3635.528         10.01 % 

ALLIANZGI MID-CAP A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      3989179.907         15.12 % 

ALLIANZGI MID-CAP A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      3355840.763         12.72 % 

ALLIANZGI MID-CAP A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      2170673.934         8.23 % 

ALLIANZGI MID-CAP A

    HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999      1882582.585         7.14 % 

 

B-26

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MID-CAP A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1825603.044         6.92 % 

ALLIANZGI MID-CAP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1608762.946         6.10 % 

ALLIANZGI MID-CAP A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      1395831.072         5.29 % 

ALLIANZGI MID-CAP ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      81690.704         67.90 % 

ALLIANZGI MID-CAP ADMIN

    FIIOC FBO DURRETTE CRUMP PC 401K PLAN - 53989 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987      11404.027         9.48 % 

ALLIANZGI MID-CAP ADMIN

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      6114.375         5.08 % 

ALLIANZGI MID-CAP B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 (a)      63811.636         30.08 % 

ALLIANZGI MID-CAP B

    CHARLES SHCWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      15445.768         7.28 % 

ALLIANZGI MID-CAP B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      13897.358         6.55 % 

ALLIANZGI MID-CAP B

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      10752.872         5.07 % 

 

B-27

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MID-CAP C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      10440675.6         19.53 % 

ALLIANZGI MID-CAP C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      9449181.88         17.67 % 

ALLIANZGI MID-CAP C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      5009296.07         9.37 % 

ALLIANZGI MID-CAP C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      3576715.062         6.69 % 

ALLIANZGI MID-CAP D

    NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      83621.899         18.81 % 

ALLIANZGI MID-CAP D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      74792.6         16.82 % 

ALLIANZGI MID-CAP D

    TRUKAN & CO PO BOX 3699 WICHITA KS 67201-3699      58820.226         13.23 % 

ALLIANZGI MID-CAP D

    MG TRUST COMPANY CUST FBO STILLWATER ISD 834 403(B) PLAN 700 17TH STREET SUITE 300 DENVER CO 80202-3531      54763.635         12.32 % 

ALLIANZGI MID-CAP D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      31838.261         7.16 % 

 

B-28

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MID-CAP D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      27988.948         6.30 % 

ALLIANZGI MID-CAP D

    STRAFE & CO FBO EDWIN & WILMA PARKER FAM FOUNDA W01718001 PO BOX 6924 NEWARK DE 19714-6924      23747.64         5.34 % 

ALLIANZGI MID-CAP INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      3298820.693         41.65 % 

ALLIANZGI MID-CAP INST

    UBATCO & CO FBO NELNET INC PO BOX 82535 LINCOLN NE 68501-2535      956365.338         12.07 % 

ALLIANZGI MID-CAP INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      477049.577         6.02 % 

ALLIANZGI MID-CAP INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      401395.302         5.07 % 

ALLIANZGI MID-CAP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055 (a)      143946.693         32.36 % 

ALLIANZGI MID-CAP P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 (a)      131031.879         29.45 % 

ALLIANZGI MID-CAP P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      90115.898         20.26 % 

ALLIANZGI MID-CAP P

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      34545.7         7.77 % 

 

B-29

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MID-CAP R

    CAPITAL BANK & TR CO TTEE F SMART HEALTH 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 (a)      339144.925         49.67 % 

ALLIANZGI MID-CAP R

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      89161.371         13.06 % 

ALLIANZGI MID-CAP R

    WOODMERE MEDICAL ASSOCIATES PC TTEE WOODMERE MEDICAL ASSOCIATES PC 401K C/O FASCORE LLC 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002      36588.427         5.36 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      104887.137         14.87 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      93062.577         13.19 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      77485.508         10.99 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      73196.906         10.38 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      56833.158         8.06 % 

ALLIANZGI NFJ ALL-CAP VALUE A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      51656.129         7.32 % 

 

B-30

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ ALL-CAP VALUE A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      35937.555         5.10 % 

ALLIANZGI NFJ ALL-CAP VALUE B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      5292.126         34.08 % 

ALLIANZGI NFJ ALL-CAP VALUE B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      2120.44         13.65 % 

ALLIANZGI NFJ ALL-CAP VALUE B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      2105.532         13.56 % 

ALLIANZGI NFJ ALL-CAP VALUE B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1351.356         8.70 % 

ALLIANZGI NFJ ALL-CAP VALUE B

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      1305.171         8.40 % 

ALLIANZGI NFJ ALL-CAP VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      84194.88         16.70 % 

ALLIANZGI NFJ ALL-CAP VALUE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      82177.07         16.30 % 

ALLIANZGI NFJ ALL-CAP VALUE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      56993.153         11.30 % 

ALLIANZGI NFJ ALL-CAP VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      52947.514         10.50 % 

 

B-31

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ ALL-CAP VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      49299.599         9.78 % 

ALLIANZGI NFJ ALL-CAP VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      44028.557         8.73 % 

ALLIANZGI NFJ ALL-CAP VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      43297.544         43.29 % 

ALLIANZGI NFJ ALL-CAP VALUE D

    E*TRADE CLEARING LLC 681-78866-14 PO BOX 484 JERSEY CITY NJ 07303-0484      21929.825         21.93 % 

ALLIANZGI NFJ ALL-CAP VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      20667.556         20.67 % 

ALLIANZGI NFJ ALL-CAP VALUE INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      40993.048         68.24 % 

ALLIANZGI NFJ ALL-CAP VALUE INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      14854.755         24.73 % 

ALLIANZGI NFJ ALL-CAP VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055 (a)      137665.752         51.41 % 

ALLIANZGI NFJ ALL-CAP VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      70233.751         26.23 % 

 

B-32

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ ALL-CAP VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      33442.629         12.49 % 

ALLIANZGI NFJ ALL-CAP VALUE P

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      22670.303         8.47 % 

ALLIANZGI NFJ DIVIDEND VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      18635968.25         17.92 % 

ALLIANZGI NFJ DIVIDEND VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      15280022.72         14.69 % 

ALLIANZGI NFJ DIVIDEND VALUE A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      11657937.98         11.21 % 

ALLIANZGI NFJ DIVIDEND VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      8133193.678         7.82 % 

ALLIANZGI NFJ DIVIDEND VALUE A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      5784001.458         5.56 % 

ALLIANZGI NFJ DIVIDEND VALUE ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      22760396.31         50.01 % 

ALLIANZGI NFJ DIVIDEND VALUE ADMIN

    VANTAGETRUST - NAV 777 NORTH CAPITAL ST NE WASHINGTON DC 20002-4239      8634405.618         18.97 % 

ALLIANZGI NFJ DIVIDEND VALUE ADMIN

    VANTAGETRUST - UNITIZED 777 NORTH CAPITAL ST NE WASHINGTON DC 20002-4239      5796781.043         12.74 % 

ALLIANZGI NFJ DIVIDEND VALUE B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      81441.614         20.82 % 

 

B-33

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ DIVIDEND VALUE B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      67236.035         17.19 % 

ALLIANZGI NFJ DIVIDEND VALUE B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      40952.109         10.47 % 

ALLIANZGI NFJ DIVIDEND VALUE B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      25763.338         6.59 % 

ALLIANZGI NFJ DIVIDEND VALUE B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      21616.071         5.53 % 

ALLIANZGI NFJ DIVIDEND VALUE B

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      19931.711         5.10 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      6602084.994         23.13 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      4541500.849         15.91 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      2832195.78         9.92 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2799056.919         9.81 % 

 

B-34

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ DIVIDEND VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      2135016.833         7.48 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      2058553.293         7.21 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      1877502.966         6.58 % 

ALLIANZGI NFJ DIVIDEND VALUE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1616631.104         5.66 % 

ALLIANZGI NFJ DIVIDEND VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      8105667.599         56.66 % 

ALLIANZGI NFJ DIVIDEND VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      4405026.502         30.79 % 

ALLIANZGI NFJ DIVIDEND VALUE FUND R6

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      59334.246         98.92 % 

ALLIANZGI NFJ DIVIDEND VALUE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      71765781.78         30.47 % 

 

B-35

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ DIVIDEND VALUE INST

    EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 (a)      67840808.06         28.81 % 

ALLIANZGI NFJ DIVIDEND VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      13198915.32         5.60 % 

ALLIANZGI NFJ DIVIDEND VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      44336343.01         48.89 % 

ALLIANZGI NFJ DIVIDEND VALUE P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      21262089.92         23.45 % 

ALLIANZGI NFJ DIVIDEND VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      10611492.66         11.70 % 

ALLIANZGI NFJ DIVIDEND VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      6507907.135         7.18 % 

ALLIANZGI NFJ DIVIDEND VALUE R

    HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 (a)      8285405.93         53.28 % 

ALLIANZGI NFJ DIVIDEND VALUE R

    ING LIFE INSURANCE & ANNUITY CO FUND OPERATIONS 1 ORANGE WAY # B3N WINDSOR CT 06095-4773      848576.106         5.46 % 

ALLIANZGI NFJ INTERNATIONAL VALUE A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      4287436.345         13.72 % 

 

B-36

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTERNATIONAL VALUE A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      3363195.361         10.76 % 

ALLIANZGI NFJ INTERNATIONAL VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      3162152.56         10.12 % 

ALLIANZGI NFJ INTERNATIONAL VALUE A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      2681479.846         8.58 % 

ALLIANZGI NFJ INTERNATIONAL VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      2211576.062         7.08 % 

ALLIANZGI NFJ INTERNATIONAL VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1976218.508         6.32 % 

ALLIANZGI NFJ INTERNATIONAL VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1762151.278         21.24 % 

ALLIANZGI NFJ INTERNATIONAL VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      1269785.387         15.30 % 

ALLIANZGI NFJ INTERNATIONAL VALUE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      1234200.948         14.87 % 

ALLIANZGI NFJ INTERNATIONAL VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      998598.398         12.04 % 

 

B-37

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTERNATIONAL VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      884197.107         10.66 % 

ALLIANZGI NFJ INTERNATIONAL VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      590179.072         7.11 % 

ALLIANZGI NFJ INTERNATIONAL VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      1923326.947         44.97 % 

ALLIANZGI NFJ INTERNATIONAL VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1647137.05         38.51 % 

ALLIANZGI NFJ INTERNATIONAL VALUE D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      221265.652         5.17 % 

ALLIANZGI NFJ INTERNATIONAL VALUE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      21333917.04         37.76 % 

ALLIANZGI NFJ INTERNATIONAL VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      6652711.088         11.77 % 

ALLIANZGI NFJ INTERNATIONAL VALUE INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      3130331.159         5.54 % 

ALLIANZGI NFJ INTERNATIONAL VALUE INST

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      2831838.355         5.01 % 

 

B-38

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTERNATIONAL VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      15007028.35         56.92 % 

ALLIANZGI NFJ INTERNATIONAL VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      5838038.771         22.14 % 

ALLIANZGI NFJ INTERNATIONAL VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      2884199.586         10.94 % 

ALLIANZGI NFJ INTERNATIONAL VALUE R

    HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 (a)      371710.019         33.08 % 

ALLIANZGI NFJ INTERNATIONAL VALUE R

    ING LIFE INSURANCE & ANNUITY CO FUND OPERATIONS 1 ORANGE WAY # B3N WINDSOR CT 06095-4773      181541.643         16.16 % 

ALLIANZGI NFJ INTERNATIONAL VALUE R

    ATTN NPIO TRADE DESK DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001      136533.922         12.15 % 

ALLIANZGI NFJ INTERNATIONAL VALUE R

    STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      109548.339         9.75 % 

ALLIANZGI NFJ INTL VALUE ADMIN

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      394190.444         46.41 % 

 

B-39

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTL VALUE ADMIN

    PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE CUST SAGE PRODUCTS LLC PLAN #700200 3909 3 OAKS RD CARY IL 60013-1804      203645.781         23.97 % 

ALLIANZGI NFJ INTL VALUE ADMIN

    FIIOC FBO GUARD PUBLISHING COMPANY RETIREMENT PLAN - 70162 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987      47655.003         5.61 % 

ALLIANZGI NFJ INTL VALUE FUND R6

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      650352.871         91.24 % 

ALLIANZGI NFJ INTL VALUE FUND R6

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      52180.144         7.32 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1141398.81         14.71 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      802126.571         10.34 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      701788.345         9.04 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      594525.411         7.66 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY
NJ 07311		      469130.294         6.05 % 

 

B-40

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ LARGE-CAP VALUE A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      462234.285         5.96 % 

ALLIANZGI NFJ LARGE-CAP VALUE A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      407818.138         5.26 % 

ALLIANZGI NFJ LARGE-CAP VALUE ADMIN

    SCUDDER TRUST CO TTEE AMERICAN MEDIA INC EMP PSP ATTN ASSET RECON DEPT #062026 PO BOX 1757 SALEM NH 03079-1143 (a)      47479.909         50.86 % 

ALLIANZGI NFJ LARGE-CAP VALUE ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      22836.634         24.46 % 

ALLIANZGI NFJ LARGE-CAP VALUE ADMIN

    PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE CUST AMERICAN ACADEMY OF FAMILY PLAN # 007009 11400 TOMAHAWK CREEK PKWY LEAWOOD KS 66211-2680      7389.365         7.92 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      16024.333         17.19 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      10382.133         11.14 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      10050.606         10.78 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      7784.186         8.35 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    WILLIAM HAUENSTEIN & VIOLET HAUENSTEIN JT WROS 3611 WOODHILL PL FAIRFAX VA 22031-3331      5950.079         6.38 % 

 

B-41

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ LARGE-CAP VALUE B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      5525.126         5.93 % 

ALLIANZGI NFJ LARGE-CAP VALUE B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      4969.195         5.33 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      926198.145         19.40 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      715932.569         15.00 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      608709.015         12.75 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      411242.227         8.61 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      312738.205         6.55 % 

ALLIANZGI NFJ LARGE-CAP VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      255051.248         5.34 % 

ALLIANZGI NFJ LARGE-CAP VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      798224.893         43.45 % 

 

B-42

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ LARGE-CAP VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      560414.863         30.51 % 

ALLIANZGI NFJ LARGE-CAP VALUE INST

    EDWARD D JONES & CO FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 (a)      10586373.2         52.06 % 

ALLIANZGI NFJ LARGE-CAP VALUE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      2710893.634         13.33 % 

ALLIANZGI NFJ LARGE-CAP VALUE INST

    MINNESOTA LIFE 401 ROBERT STREET NORTH MAILSTATION A6-5317 SAINT PAUL MN 55101-2005      1437832.735         7.07 % 

ALLIANZGI NFJ LARGE-CAP VALUE INST

    FUTURE GENERATION RESERVE ATTN: MR. EBRAHIM MOHAMED ABUL AND MRS. MARIA SOFIA KOURTI PO BOX 333 MANAMA-KINGDOM OF BAHRAIN      1263466.571         6.21 % 

ALLIANZGI NFJ LARGE-CAP VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055 (a)      200746.66         29.75 % 

ALLIANZGI NFJ LARGE-CAP VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      193232.748         28.63 % 

ALLIANZGI NFJ LARGE-CAP VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      176841.688         26.20 % 

ALLIANZGI NFJ LARGE-CAP VALUE P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      91437.683         13.55 % 

 

B-43

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ LARGE-CAP VALUE R

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      110760.35         19.56 % 

ALLIANZGI NFJ LARGE-CAP VALUE R

    EMJAY CORPORATION CUST FBO PLANS OF RPSA CUSTOMERS 401(K) PLAN C/O GREAT-WEST 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002      102320.301         18.07 % 

ALLIANZGI NFJ LARGE-CAP VALUE R

    MG TRUST COMPANY CUST. FBO PUBLIC OPINION STRATEGIES 717 17TH STREET SUITE 1300 DENVER CO 80202-3304      45896.769         8.11 % 

ALLIANZGI NFJ LARGE-CAP VALUE R

    ING NATIONAL TRUST 1 ORANGE WAY WINDSOR CT 06095-4773      37749.616         6.67 % 

ALLIANZGI NFJ LARGE-CAP VALUE R

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      34562.948         6.10 % 

ALLIANZGI NFJ LARGE-CAP VALUE R

    CAPITAL BANK & TRUST COMPANY TTEE F ABRASIVE SPECIALISTS INC 401K PSP 8515 E ORCHARD RD 2T2 GREENWOOD VLG CO 80111-5002      33509.039         5.92 % 

ALLIANZGI NFJ MID-CAP VALUE A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      2270971.544         13.01 % 

ALLIANZGI NFJ MID-CAP VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1754527.32         10.05 % 

ALLIANZGI NFJ MID-CAP VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1642846.279         9.41 % 

 

B-44

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ MID-CAP VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      1486746.402         8.52 % 

ALLIANZGI NFJ MID-CAP VALUE A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1097124.81         6.28 % 

ALLIANZGI NFJ MID-CAP VALUE A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      896028.462         5.13 % 

ALLIANZGI NFJ MID-CAP VALUE ADMIN

    AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368 (a)      100570.461         52.20 % 

ALLIANZGI NFJ MID-CAP VALUE ADMIN

    AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      31525.945         16.36 % 

ALLIANZGI NFJ MID-CAP VALUE ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      13297.245         6.90 % 

ALLIANZGI NFJ MID-CAP VALUE ADMIN

    DWS TRUST CO TTEE FBO DEKALB CLINIC CHARTERED EMPLOYEES RETIREMENT PLAN PO BOX 1757 SALEM NH 03079-1143      11740.556         6.09 % 

ALLIANZGI NFJ MID-CAP VALUE B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      27704.799         20.36 % 

 

B-45

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ MID-CAP VALUE B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      14991.813         11.02 % 

ALLIANZGI NFJ MID-CAP VALUE B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      12077.173         8.88 % 

ALLIANZGI NFJ MID-CAP VALUE B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      10770.185         7.92 % 

ALLIANZGI NFJ MID-CAP VALUE B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      8247.922         6.06 % 

ALLIANZGI NFJ MID-CAP VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1619661.029         16.56 % 

ALLIANZGI NFJ MID-CAP VALUE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1618775.16         16.55 % 

ALLIANZGI NFJ MID-CAP VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1046121.019         10.70 % 

ALLIANZGI NFJ MID-CAP VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      667672.49         6.83 % 

ALLIANZGI NFJ MID-CAP VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      596365.935         6.10 % 

ALLIANZGI NFJ MID-CAP VALUE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      506560.532         5.18 % 

 

B-46

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ MID-CAP VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      171932.901         38.14 % 

ALLIANZGI NFJ MID-CAP VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      163023.391         36.17 % 

ALLIANZGI NFJ MID-CAP VALUE D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      25720.616         5.71 % 

ALLIANZGI NFJ MID-CAP VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1468424.735         44.16 % 

ALLIANZGI NFJ MID-CAP VALUE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      315523.876         9.49 % 

ALLIANZGI NFJ MID-CAP VALUE INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      230097.252         6.92 % 

ALLIANZGI NFJ MID-CAP VALUE INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      171044.223         5.14 % 

ALLIANZGI NFJ MID-CAP VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055 (a)      204719.922         38.19 % 

 

B-47

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ MID-CAP VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      174364.256         32.53 % 

ALLIANZGI NFJ MID-CAP VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      106593.868         19.88 % 

ALLIANZGI NFJ MID-CAP VALUE P

    RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS MN 55402-4413      35341.251         6.59 % 

ALLIANZGI NFJ MID-CAP VALUE R

    CAPITAL BANK & TRUST COMPANY TTEE FBO ALCAN ROLLED PRODUCTS- RAVENSWOOD LLC SALARIED DCP 401K C/O PLANPREMIER/FASCORE LLC 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002      119381.699         19.24 % 

ALLIANZGI NFJ MID-CAP VALUE R

    CAPITAL BANK & TRUST COMPANY TTEE FBO ALCAN ROLLED PRODUCTS- RAVENSWOOD LLC SAVINGS PLAN FOR USW REPRESENTED EMPLOYEES 8515 E ORCHARD RD 2T2 GREENWOOD VLG CO 80111-5002      78848.359         12.71 % 

ALLIANZGI NFJ MID-CAP VALUE R

    CAPITAL BANK & TR CO TTEE F NATIONAL VETERINARY ASSOC INC 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002      44972.036         7.25 % 

ALLIANZGI NFJ MID-CAP VALUE R

    CAPITAL BANK & TRUST CO TTEE FBO JOSEPH JINGOLI & SON INC 401 K C/O PLAN PREMIER/FASCORP 8515 E ORCHARD RD 2T2 GREENWOOD VLG CO 80111-5002      36469.058         5.88 % 

 

B-48

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ SMALL-CAP VALUE A

    STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      8139423.912         13.28 % 

ALLIANZGI NFJ SMALL-CAP VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      5947696.665         9.71 % 

ALLIANZGI NFJ SMALL-CAP VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      4409839.137         7.20 % 

ALLIANZGI NFJ SMALL-CAP VALUE A

    MASSACHUSETTES MUTUAL LIFE INSURANCE CO 1295 STATE STREET MIP N255 SPRINGFIELD MA 01111-0001      3166951.551         5.17 % 

ALLIANZGI NFJ SMALL-CAP VALUE ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      13987132.95         42.94 % 

ALLIANZGI NFJ SMALL-CAP VALUE ADMIN

    NEW YORK LIFE TRUST COMPANY 169 LACKAWANNA AVE PARSIPPANY NJ 07054-1007      1958292.001         6.01 % 

ALLIANZGI NFJ SMALL-CAP VALUE ADMIN

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      1741951.638         5.35 % 

ALLIANZGI NFJ SMALL-CAP VALUE B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      48036.024         19.03 % 

ALLIANZGI NFJ SMALL-CAP VALUE B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      42908.629         17.00 % 

 

B-49

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ SMALL-CAP VALUE B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      35096.232         13.91 % 

ALLIANZGI NFJ SMALL-CAP VALUE B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      23882.49         9.46 % 

ALLIANZGI NFJ SMALL-CAP VALUE B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      19189.663         7.60 % 

ALLIANZGI NFJ SMALL-CAP VALUE B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      17702.644         7.01 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      2439245.545         24.37 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1245206.156         12.44 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      978196.749         9.77 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      972897.846         9.72 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      787613.635         7.87 % 

 

B-50

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ SMALL-CAP VALUE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      738745.386         7.38 % 

ALLIANZGI NFJ SMALL-CAP VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      685864.791         6.85 % 

ALLIANZGI NFJ SMALL-CAP VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1451916.777         44.64 % 

ALLIANZGI NFJ SMALL-CAP VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      1232053.136         37.88 % 

ALLIANZGI NFJ SMALL-CAP VALUE FUND R6

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      826840.772         75.49 % 

ALLIANZGI NFJ SMALL-CAP VALUE FUND R6

    ASSOCIATED TRUST COMPANY FBO REINHART, BOERNER, VAN DEUREN PO BOX 22037 GREEN BAY WI 54305-2037      220782.875         20.16 % 

ALLIANZGI NFJ SMALL-CAP VALUE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      44149100.92         44.63 % 

ALLIANZGI NFJ SMALL-CAP VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      13566457.63         13.71 % 

 

B-51

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ SMALL-CAP VALUE INST

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN: SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      5187835.246         5.24 % 

ALLIANZGI NFJ SMALL-CAP VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      832201.757         26.21 % 

ALLIANZGI NFJ SMALL-CAP VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      705263.265         22.21 % 

ALLIANZGI NFJ SMALL-CAP VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      628047.618         19.78 % 

ALLIANZGI NFJ SMALL-CAP VALUE P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      605079.985         19.06 % 

ALLIANZGI NFJ SMALL-CAP VALUE R

    AMERICAN UNITED INSURANCE CO TTEE GROUP RETIREMENT ANNUITY PO BOX 368 INDIANAPOLIS IN 46206-0368      685575.082         19.52 % 

ALLIANZGI NFJ SMALL-CAP VALUE R

    HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999      503767.435         14.34 % 

ALLIANZGI NFJ SMALL-CAP VALUE R

    AMERICAN UNITED INSURANCE CO TTEE UNIT INVESTMENT TRUST PO BOX 368 INDIANAPOLIS IN 46206-0368      265337.235         7.56 % 

ALLIANZGI NFJ SMALL-CAP VALUE R

    STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      241535.208         6.88 % 

 

B-52

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ SMALL-CAP VALUE R

    ING LIFE INSURANCE & ANNUITY CO FUND OPERATIONS 1 ORANGE WAY # B3N WINDSOR CT 06095-4773      222219.811         6.33 % 

ALLIANZGI OPPORTUNITY A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 (a)      403686.525         28.55 % 

ALLIANZGI OPPORTUNITY A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      93535.433         6.61 % 

ALLIANZGI OPPORTUNITY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      92512.168         6.54 % 

ALLIANZGI OPPORTUNITY A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      91720.979         6.49 % 

ALLIANZGI OPPORTUNITY ADMIN

    FIIOC FBO NEW CONCEPT MANUFACTURING 401K PLAN - 53793 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      2452.59         42.87 % 

ALLIANZGI OPPORTUNITY ADMIN

    STATE STREET BANK & TRUST TTEE FBO ADVANCED CAPTIAL GROUP 401K PSP 30 DAN RD CANTON MA 02021-2809      1101.853         19.26 % 

ALLIANZGI OPPORTUNITY ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      438.313         7.66 % 

ALLIANZGI OPPORTUNITY ADMIN

    STATE STREET BANK & TRUST CO CUST HARRY S BAUCOM IRA 432 SW DOLORES AVE PORT ST LUCIE FL 34983-1939      420.72         7.35 % 

 

B-53

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI OPPORTUNITY ADMIN

    AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      355.7         6.22 % 

ALLIANZGI OPPORTUNITY ADMIN

    STATE STREET BANK & TRUST CO CUST AGNES O’KELLY IRA R/O 8 COURTYARD CIR # 38 PAWLEYS ISL SC 29585-6132      297.205         5.19 % 

ALLIANZGI OPPORTUNITY B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 (a)      3983.09         29.64 % 

ALLIANZGI OPPORTUNITY B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405 (a)      3701.463         27.55 % 

ALLIANZGI OPPORTUNITY B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1472.806         10.96 % 

ALLIANZGI OPPORTUNITY B

    SSB&T CUST ROLLOVER IRA FBO BARBARA G MCCLELLAN 210 MEREWOOD RD BELMONT NC 28012-3741      1017.606         7.57 % 

ALLIANZGI OPPORTUNITY B

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      824.739         6.14 % 

ALLIANZGI OPPORTUNITY C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      480924.246         20.17 % 

ALLIANZGI OPPORTUNITY C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      363546.246         15.24 % 

 

B-54

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI OPPORTUNITY C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      176479.977         7.40 % 

ALLIANZGI OPPORTUNITY C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      164406.286         6.89 % 

ALLIANZGI OPPORTUNITY C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      159051.945         6.67 % 

ALLIANZGI OPPORTUNITY C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      127404.226         5.34 % 

ALLIANZGI OPPORTUNITY D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      17589.215         67.79 % 

ALLIANZGI OPPORTUNITY D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      3742.24         14.42 % 

ALLIANZGI OPPORTUNITY D

    AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      2135.807         8.23 % 

ALLIANZGI OPPORTUNITY D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      1521.579         5.86 % 

ALLIANZGI OPPORTUNITY INST

    PORT OF SEATTLE WA C/O ICMA RETIREMENT CORP 777 NORTH CAPITOL ST NE WASHINGTON DC 20002-4239 (a)      131056.887         41.14 % 

 

B-55

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI OPPORTUNITY INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      74171.551         23.29 % 

ALLIANZGI OPPORTUNITY INST

    WTRISC CUST C/O ICMA-RC PORT OF SEATTLE WA 777 NORTH CAPITOL ST NE WASHINGTON DC 20002-4239      34065.106         10.69 % 

ALLIANZGI OPPORTUNITY INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      27866.549         8.75 % 

ALLIANZGI OPPORTUNITY INST

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      22701.674         7.13 % 

ALLIANZGI OPPORTUNITY INST

    TD AMERITRADE TRUST COMPANY PO BOX 17748 DENVER CO 80217-0748      16839.114         5.29 % 

ALLIANZGI OPPORTUNITY P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      27490.277         64.86 % 

ALLIANZGI OPPORTUNITY P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      7635.669         18.01 % 

ALLIANZGI OPPORTUNITY P

    ROBERT W BAIRD & CO INC A/C 1532-5090 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      2333.722         5.51 % 

ALLIANZGI OPPORTUNITY R

    STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 (a)      1912.438         60.33 % 

 

B-56

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI OPPORTUNITY R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      788.666         24.88 % 

ALLIANZGI OPPORTUNITY R

    ASCENSUS TR CO FBO MEDICAL PHARMACY 401K PS PO BOX 10758 FARGO ND 58106-0758      374.687         11.82 % 

ALLIANZGI SMALL-CAP BLEND FUND A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      2360.102         42.01 % 

ALLIANZGI SMALL-CAP BLEND FUND A

    SSB&T CUST ROLLOVER IRA FBO HAROLD P POE 1970 INWOOD CIR COLORADO SPGS CO 80904-1136 (a)      2213.61         39.40 % 

ALLIANZGI SMALL-CAP BLEND FUND A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      673.695         11.99 % 

ALLIANZGI SMALL-CAP BLEND FUND A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CTR NEW YORK NY 10281-1003      371.2         6.61 % 

ALLIANZGI SMALL-CAP BLEND FUND C

    SSB&T CUST ROTH IRA FBO KIMBERLY R HERMSEN 3114 S W BROOKLINE DRIVE ANKENY IA 50021 (a)      815.911         26.85 % 

ALLIANZGI SMALL-CAP BLEND FUND C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      673.327         22.16 % 

ALLIANZGI SMALL-CAP BLEND FUND C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      665.379         21.90 % 

ALLIANZGI SMALL-CAP BLEND FUND C

    DOROTHY JUDD 309 BRIDGEBORO RD APT 1227 MOORESTOWN NJ 08057-1423      565.931         18.62 % 

ALLIANZGI SMALL-CAP BLEND FUND C

    SSB&T CUST ROTH IRA FBO JERI K WHITE PO BOX 172 WATER VALLEY TX 76958-0172      318.287         10.47 % 

 

B-57

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI SMALL-CAP BLEND FUND D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      672.627         48.88 % 

ALLIANZGI SMALL-CAP BLEND FUND D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851 (a)      564.653         41.03 % 

ALLIANZGI SMALL-CAP BLEND FUND D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      138.889         10.09 % 

ALLIANZGI SMALL-CAP BLEND FUND I

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      336858.292         96.17 % 

ALLIANZGI SMALL-CAP BLEND FUND P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      673.385         100.00 % 

ALLIANZGI TECHNOLOGY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      549852.364         10.70 % 

ALLIANZGI TECHNOLOGY A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      534513.516         10.40 % 

ALLIANZGI TECHNOLOGY A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      353731.876         6.88 % 

 

B-58

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI TECHNOLOGY A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      315655.575         6.14 % 

ALLIANZGI TECHNOLOGY A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      308830.247         6.01 % 

ALLIANZGI TECHNOLOGY ADMIN

    STATE STREET BANK & TRUST AS TRUSTEE FBO ADVENTIST HEALTHCARE RETIREMENT PLAN ATTN MARK HANNA 105 ROSEMONT RD WESTWOOD MA 02090-2318(a)      836538.545         84.61 % 

ALLIANZGI TECHNOLOGY ADMIN

    ICMA RETIREMENT CORP 401 (K) PLAN 777 NORTH CAPITOL STREET NE WASHINGTON DC 20002-4239      52585.043         5.32 % 

ALLIANZGI TECHNOLOGY B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      6505.757         19.21 % 

ALLIANZGI TECHNOLOGY B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      3379.006         9.98 % 

ALLIANZGI TECHNOLOGY B

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      2910.183         8.59 % 

ALLIANZGI TECHNOLOGY B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1877.647         5.54 % 

ALLIANZGI TECHNOLOGY B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      1717.88         5.07 % 

 

B-59

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI TECHNOLOGY C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      287750.326         12.97 % 

ALLIANZGI TECHNOLOGY C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      269088.108         12.13 % 

ALLIANZGI TECHNOLOGY C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      244345.851         11.01 % 

ALLIANZGI TECHNOLOGY C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      223834.023         10.09 % 

ALLIANZGI TECHNOLOGY C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      137996.63         6.22 % 

ALLIANZGI TECHNOLOGY C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      129044.287         5.82 % 

ALLIANZGI TECHNOLOGY C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      117831.028         5.31 % 

ALLIANZGI TECHNOLOGY D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1129163.59         45.29 % 

ALLIANZGI TECHNOLOGY D

    NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      544887.807         21.86 % 

 

B-60

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI TECHNOLOGY D

    AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      133886.455         5.37 % 

ALLIANZGI TECHNOLOGY INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      2170352.848         26.65 % 

ALLIANZGI TECHNOLOGY INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      1283753.443         15.76 % 

ALLIANZGI TECHNOLOGY INST

    NORTHERN TRUST CO TTEE FBO HARRIS CORP MASTER TRUST PLAN - DV PO BOX 92994 CHICAGO IL 60675-0001      1210629.977         14.86 % 

ALLIANZGI TECHNOLOGY INST

    VANGUARD FIDUCIARY TRUST CO 100 VANGUARD BLVD VM-613 OUTSIDE FUNDS MALVERN PA 19355-2331      630783.173         7.74 % 

ALLIANZGI TECHNOLOGY P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 (a)      511218.759         72.77 % 

ALLIANZGI TECHNOLOGY P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      61859.4         8.81 % 

ALLIANZGI TECHNOLOGY P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      52315.084         7.45 % 

ALLIANZGI U.S. MANAGED VOLATILITY A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      606418.76         61.88 % 

ALLIANZGI U.S. MANAGED VOLATILITY A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      106024.754         10.82 % 

 

B-61

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. MANAGED VOLATILITY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      52086.328         5.32 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      3705.851         23.61 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    SEAN T DOLLMAN & JENNIFER MORGAN DOLLMAN C/O THOMAS & PATRICIA SKIPPER 118 WYNDHAM WAY WILMINGTON NC 28411-6710      2235.091         14.24 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      2005.097         12.77 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    MARGIT TUMBLESON 5901 MOUNT EAGLE DR APT 514 ALEXANDRIA VA 22303-2506      1337.034         8.52 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1052.021         6.70 % 

ALLIANZGI U.S. MANAGED VOLATILITY B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      1032.563         6.58 % 

ALLIANZGI U.S. MANAGED VOLATILITY C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      27548.617         20.62 % 

ALLIANZGI U.S. MANAGED VOLATILITY C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      13826.479         10.35 % 

ALLIANZGI U.S. MANAGED VOLATILITY C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      11805.012         8.84 % 

ALLIANZGI U.S. MANAGED VOLATILITY C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      11554.655         8.65 % 

 

B-62

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. MANAGED VOLATILITY C

    RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS MN 55402-4413      9013.3         6.75 % 

ALLIANZGI U.S. MANAGED VOLATILITY C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      7957.44         5.96 % 

ALLIANZGI U.S. MANAGED VOLATILITY D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      34554.041         70.37 % 

ALLIANZGI U.S. MANAGED VOLATILITY D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      6234.03         12.70 % 

ALLIANZGI U.S. MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      909213.632         20.92 % 

ALLIANZGI U.S. MANAGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      346134.94         7.97 % 

ALLIANZGI U.S. MANAGED VOLATILITY INST

    M J MURDOCK CHARITABLE TRUST PO BOX 1618 VANCOUVER WA 98668-1618      332921.115         7.66 % 

ALLIANZGI U.S. MANAGED VOLATILITY INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      323598.908         7.45 % 

 

B-63

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. MANAGED VOLATILITY P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      6603.642         32.79 % 

ALLIANZGI U.S. MANAGED VOLATILITY P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      5275.222         26.19 % 

ALLIANZGI U.S. MANAGED VOLATILITY P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      3944.993         19.59 % 

ALLIANZGI U.S. MANAGED VOLATILITY P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      3046.6         15.13 % 

ALLIANZGI WELLNESS A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      134991.71         15.91 % 

ALLIANZGI WELLNESS A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      78824.391         9.29 % 

ALLIANZGI WELLNESS A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      76863.515         9.06 % 

ALLIANZGI
WELLNESS A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      66180.966         7.80 % 

ALLIANZGI
WELLNESS A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      60861.293         7.17 % 

ALLIANZGI
WELLNESS A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      46370.331         5.46 % 

 

B-64

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI
WELLNESS B

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 (a)      5249.665         31.00 % 

ALLIANZGI
WELLNESS B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      2357.665         13.92 % 

ALLIANZGI
WELLNESS B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      2302.982         13.60 % 

ALLIANZGI
WELLNESS B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      1725.739         10.19 % 

ALLIANZGI
WELLNESS B

    SRINIVAS P KADIYALA & HIMA B RAVI JTWROS 3904 76TH ST LUBBOCK TX 79423-1118      1077.937         6.37 % 

ALLIANZGI
WELLNESS B

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      983.609         5.81 % 

ALLIANZGI
WELLNESS B

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      888.385         5.25 % 

ALLIANZGI
WELLNESS C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      77014.004         20.75 % 

ALLIANZGI WELLNESS C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      51243.39         13.81 % 

 

B-65

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI WELLNESS C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      50524.449         13.61 % 

ALLIANZGI WELLNESS C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      29661.711         7.99 % 

ALLIANZGI WELLNESS C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      23591.186         6.36 % 

ALLIANZGI WELLNESS C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      21280.802         5.73 % 

ALLIANZGI WELLNESS D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1532537.873         42.92 % 

ALLIANZGI WELLNESS D

    NATIONAL FINANCIAL SERVICES FOR THE BENEFIT OF CUSTOMER ATTN MUTUAL FUNDS DEPT 5TH FL NEWPORT OFFICE CENTER III 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      799874.379         22.40 % 

ALLIANZGI WELLNESS D

    AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      241053.213         6.75 % 

Allianz Funds Multi-Strategy Trust

 

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI BEHAVIORAL ADV LARGE CAP A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL
32246-6484 (a)		      360495.139         90.99 % 

 

B-66

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI BEHAVIORAL ADV LARGE CAP C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL
33716-1100 (a)		      7309.629         42.88 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      3652.429         21.43 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP C

    SSB&T CUST SIMPLE IRA VETERINARY ASSOCIATES FBO LISA B WOOD PO BOX 839 KAMUELA HI 96743-0839      1310.609         7.69 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      6511.484         45.75 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      3233.864         22.72 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      2643.674         18.57 % 

ALLIANZGI BEHAVIORAL ADV LARGE CAP D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      753.253         5.29 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      755106.604         26.38 % 

 

B-67

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI BEHAVIORAL ADV LRG CAP INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      345305.78         12.06 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP INST

    STATE STREET BANK & TRUST CO CUST FOR MI 529 ADVISOR PLAN AGE-BASED PORTFOLIO 1 P75A 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      220736.198         7.71 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      208245.921         7.27 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP INST

    M J MURDOCK CHARITABLE TRUST PO BOX 1618 VANCOUVER WA 98668-1618      200925.534         7.02 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055 (a)      3787.543         83.43 % 

ALLIANZGI BEHAVIORAL ADV LRG CAP P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      752.154         16.57 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY A*

    N/A      N/A         N/A   

ALLIANZGI BEST STYLES GLOBAL EQUITY INST*

    N/A      N/A         N/A   

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      528630.934         22.11 % 

 

* Class A and Institutional Class shares of AllianzGI Best Styles Global Equity Fund commenced operations following August 31, 2014.

 

B-68

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      333333.333         13.94 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2035 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      242163.422         10.13 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2040 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      229522.033         9.60 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2030 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      218742.919         9.15 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2025 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      181398.663         7.59 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2045 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      153192.45         6.41 % 

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2020 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      152204.764         6.37 % 

 

B-69

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI BEST STYLES GLOBAL EQUITY R6

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2050 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      127749.813         5.34 % 

ALLIANZGI CHINA EQUITY A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 (a)      33174.928         70.28 % 

ALLIANZGI CHINA EQUITY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      8433.324         17.86 % 

ALLIANZGI CHINA EQUITY C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      765.206         38.14 % 

ALLIANZGI CHINA EQUITY C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      473.819         23.62 % 

ALLIANZGI CHINA EQUITY C

    LPL FINANCIAL FBO: CUSTOMER ACCOUNTS ATTN: MUTUAL FUND OPERATIONS P O BOX 509046 SAN DIEGO CA 92150-9046      357.378         17.81 % 

ALLIANZGI CHINA EQUITY C

    SSB&T CUST ROTH IRA FBO MICHAEL K KOUBA 348 RIVER BEND ST MANCHESTER MI 48158-9532      142.625         7.11 % 

ALLIANZGI CHINA EQUITY C

    SSB&T CUST IRA FBO FRED L BRAUN 829 NEAL DR ALEXANDRIA VA 22308-1925      134.729         6.72 % 

ALLIANZGI CHINA EQUITY D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      68790.076         86.51 % 

 

B-70

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI CHINA EQUITY D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      5334.906         6.71 % 

ALLIANZGI CHINA EQUITY INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      236659.477         96.82 % 

ALLIANZGI CHINA EQUITY P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 (a)      105053.97         99.26 % 

ALLIANZGI CONVERTIBLE A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE S MINNEAPOLIS MN
55402-2405 (a)		      7316374.45         52.65 % 

ALLIANZGI CONVERTIBLE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2030778.465         14.61 % 

ALLIANZGI CONVERTIBLE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      1002891.149         7.22 % 

ALLIANZGI CONVERTIBLE ADMIN

    AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 (a)      39322.027         37.01 % 

ALLIANZGI CONVERTIBLE ADMIN

    VANGUARD MARKETING CORPORATION 100 VANGUARD BLVD MALVERN PA 19355-2331 (a)      27622.691         26.00 % 

ALLIANZGI CONVERTIBLE ADMIN

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      20080.407         18.90 % 

ALLIANZGI CONVERTIBLE ADMIN

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      17428.477         16.40 % 

 

B-71

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI CONVERTIBLE C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL
32246-6484 (a)		      1326036.279         35.85 % 

ALLIANZGI CONVERTIBLE C

    MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311      535295.711         14.47 % 

ALLIANZGI CONVERTIBLE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      457469.953         12.37 % 

ALLIANZGI CONVERTIBLE C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      301041.514         8.14 % 

ALLIANZGI CONVERTIBLE C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      298508.668         8.07 % 

ALLIANZGI CONVERTIBLE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1052731.937         42.16 % 

ALLIANZGI CONVERTIBLE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      848227.063         33.97 % 

ALLIANZGI CONVERTIBLE D

    AMERITRADE INC FEBO OUR CLIENT PO BOX 2226 OMAHA NE 68103-2226      405475.885         16.24 % 

ALLIANZGI CONVERTIBLE INST

    STATE OF WYOMING WYOMING STATE TREASURER ATTN ERICA LEGERSKI 200 W 24TH ST CHEYENNE WY 82001-3642 (a)      14655054.32         31.36 % 

ALLIANZGI CONVERTIBLE INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      6823318.798         14.60 % 

 

B-72

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI CONVERTIBLE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      5722675.519         12.24 % 

ALLIANZGI CONVERTIBLE INST

    MAC & CO A/C RAYF6182002 MUTUAL FUND OPERATIONS ATTN MUTUAL FUNDS OPS PO BOX 3198 PITTSBURGH PA 15230-3198      4605698.85         9.85 % 

ALLIANZGI CONVERTIBLE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6484 (a)      1583426.819         25.15 % 

ALLIANZGI CONVERTIBLE P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1182901.932         18.79 % 

ALLIANZGI CONVERTIBLE P

    MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311      1162862.193         18.47 % 

ALLIANZGI CONVERTIBLE P

    LPL FBO LPL CUSTOMERS ATTN: MUTUAL FUND OPERATIONS 1 BEACON ST FL 22 BOSTON MA 02108-3106      562857.573         8.94 % 

ALLIANZGI CONVERTIBLE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      547491.599         8.70 % 

ALLIANZGI CONVERTIBLE P

    RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS MN 55402-4413      468633.947         7.44 % 

 

B-73

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI CONVERTIBLE P

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      316743.91         5.03 % 

ALLIANZGI CONVERTIBLE R

    CBNA CUST FBO FRINGE BENEFITS DESIGN RETIREMENT P 6 RHOADS DRIVE SUITE 7 UTICA NY 13502-6317 (a)      19169.636         48.23 % 

ALLIANZGI CONVERTIBLE R

    MLPF & S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      6886.363         17.33 % 

ALLIANZGI CONVERTIBLE R

    RELIANCE TRUST COMPANY FBO CITY OF LENOIR P.O. BOX 48529 ATLANTA GA 30362-1529      5731.673         14.42 % 

ALLIANZGI CONVERTIBLE R

    ASCENSUS TRUST COMPANY FBO T. F. HUDGINS, INCORPORATED 401(K) P.O. BOX 10758 FARGO ND 58106-0758      5195.893         13.07 % 

ALLIANZGI EMERGING MARKETS DEBT A*

    N/A      N/A         N/A   

ALLIANZGI EMERGING MARKETS DEBT C*

    N/A      N/A         N/A   

ALLIANZGI EMERGING MARKETS DEBT INST*

    N/A      N/A         N/A   

ALLIANZGI EMERGING MARKETS DEBT P*

    N/A      N/A         N/A   

ALLIANZGI GLBL GROWTH ALLOCATION ADMIN

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      923.297         100.00 % 

 

* AllianzGI Emerging Markets Debt Fund commenced operations following August 31, 2014.

 

B-74

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398 (a)      354910.577         44.91 % 

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      94135.661         11.91 % 

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2030 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      53476.839         6.77 % 

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2025 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      47130.647         5.96 % 

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2040 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      43570.518         5.51 % 

ALLIANZGI GLBL MANAGED VOLATILITY INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2035 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      43101.445         5.45 % 

ALLIANZGI GLOBAL ALLOCATION A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      796513.799         14.22 % 

 

B-75

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL ALLOCATION A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      726805.072         12.98 % 

ALLIANZGI GLOBAL ALLOCATION A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      603024.483         10.77 % 

ALLIANZGI GLOBAL ALLOCATION A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      568757.668         10.15 % 

ALLIANZGI GLOBAL ALLOCATION A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      544611.777         9.72 % 

ALLIANZGI GLOBAL ALLOCATION A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      436173.653         7.79 % 

ALLIANZGI GLOBAL ALLOCATION ADMIN

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      1409.573         53.50 % 

ALLIANZGI GLOBAL ALLOCATION ADMIN

    AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 (a)      1224.968         46.50 % 

ALLIANZGI GLOBAL ALLOCATION B

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 (a)      56809.23         35.71 % 

ALLIANZGI GLOBAL ALLOCATION B

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      33579.816         21.11 % 

ALLIANZGI GLOBAL ALLOCATION B

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      13574.33         8.53 % 

 

B-76

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL ALLOCATION B

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      12612.906         7.93 % 

ALLIANZGI GLOBAL ALLOCATION B

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      9010.096         5.66 % 

ALLIANZGI GLOBAL ALLOCATION C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      830498.016         16.00 % 

ALLIANZGI GLOBAL ALLOCATION C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      791356.308         15.24 % 

ALLIANZGI GLOBAL ALLOCATION C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      547804.62         10.55 % 

ALLIANZGI GLOBAL ALLOCATION C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      390319.644         7.52 % 

ALLIANZGI GLOBAL ALLOCATION C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      363669.96         7.00 % 

ALLIANZGI GLOBAL ALLOCATION D

    AMERITRADE INC FEBO OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 (a)      118244.482         74.26 % 

ALLIANZGI GLOBAL ALLOCATION D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      20956.188         13.16 % 

ALLIANZGI GLOBAL ALLOCATION INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      5410765.598         87.34 % 

 

B-77

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL ALLOCATION INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      542055.362         8.75 % 

ALLIANZGI GLOBAL ALLOCATION P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      131161.677         83.57 % 

ALLIANZGI GLOBAL ALLOCATION P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      8445.556         5.38 % 

ALLIANZGI GLOBAL ALLOCATION P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311      8147.976         5.19 % 

ALLIANZGI GLOBAL ALLOCATION R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      1431.32         100.00 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      674.545         66.27 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT A

    JUSTIN M HANSON & LAURA A HANSON JT WROS 244 SHERIDAN AVE S MINNEAPOLIS MN
55405-1936 (a)		      343.28         33.73 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      672.043         100.00 % 

 

B-78

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL FUNDAMENTAL STRAT D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      2011.521         50.38 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT D

    TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      983.908         24.64 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      674.545         16.89 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      323.092         8.09 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT I

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      1350805.948         97.72 % 

ALLIANZGI GLOBAL FUNDAMENTAL STRAT P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      675.041         100.00 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      11255.075         21.01 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      5228.869         9.76 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      4937.003         9.21 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION A

    FREDERICK M STELL UNIT 3230, BOX 0047 DPO AA
34031-0047		      3275.438         6.11 % 

 

B-79

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL GROWTH ALLOCATION A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      2707.015         5.05 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION C

    JUNE M GARRISON & WALTER E GARRISON TTEES WALTER E GARRISON AND JUNE M GARRISON LIVING TRUST U/A DTD 6300 STEPHENS RANCH RD LA VERNE CA 91750-1139      12100.803         18.83 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      10532.202         16.39 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION C

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      5495.306         8.55 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION C

    SSB&T CUST SIMPLE IRA MERCHCO SERVICES INC FBO SCOTT A JOHNSON 207 PINEVIEW DR GOOSE CREEK SC 29445-3067      4188.121         6.52 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION C

    SSB&T CUST SIMPLE IRA CLAESSON JANITORIAL SERVICE FBO KEVIN J CLAESSON 0S039 SURREY DR ELBURN IL 60119-9690      3434.995         5.34 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      3556.172         66.59 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      926.389         17.35 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      572.068         10.71 % 

 

B-80

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL GROWTH ALLOCATION P

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      1025.408         52.46 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      929.404         47.54 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION R

    MID ATLANTIC TR CO FBO VANTAGE PARTNERS LLC 401K PSP & TR 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 (a)      5425.098         68.22 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION R

    ADVISORS CLEARING NETWORK INC FBO RETIREMENT PLANS OMNIBUS ADVISORS CLEARING NETWORK INC 7 N FAIR OAKS AVE PASADENA CA 91103-3608      1613.329         20.29 % 

ALLIANZGI GLOBAL GROWTH ALLOCATION R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      914.032         11.49 % 

ALLIANZGI GLOBAL GRWTH ALLOCATION INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      143912.588         92.36 % 

ALLIANZGI GLOBAL GRWTH ALLOCATION INST

    CHARLES SCHWAB COMPANY 211 MAIN ST SAN FRANCISCO CA 94105-1905      9396.3         6.03 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 (a)      2232.234         29.81 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY A

    MARJORIE I KELLOGG TTEE KELLOGG LIVING TRUST U/A DTD 08/22/2007 3301 N VILLARD ST TACOMA WA 98407-3429 (a)      1911.491         25.53 % 

 

B-81

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL MANAGED VOLATILITY A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1867.69         24.94 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      741.628         9.91 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY A

    LPL FINANCIAL FBO CUSTOMER ACCOUNTS ATTN MUTUAL FUND OPERATIONS PO BOX 509046 SAN DIEGO CA 92150-9046      442.745         5.91 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    SSB&T CUST ROLLOVER IRA FBO RIPP BUROKER N9688 ARGUE RD NEW GLARUS WI 53574-9741      2536.747         21.64 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    SSB&T CUST IRA DCD ELEANOR E CARBERRY FBO ELLEN R SCHNEIDER BENE 9431 COUNTY ROAD Y SAUK CITY WI 53583-9566      1981.372         16.91 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    SSB&T CUST ROLLOVER IRA FBO DUANE A ELLER 7225 CLOVER HILL DR WAUNAKEE WI 53597-9393      1607.742         13.72 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    SSB&T CUST IRA FBO CAROL M MACK 7190 BERGMAN RD SAUK CITY WI 53583-9714      1244.667         10.62 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1160.549         9.90 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    JEROME P MEYERS & RUTH R MEYERS JT TEN WROS NOT TC 3829 SUNNY WOOD DR DE FOREST WI 53532-2878      906.045         7.73 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      744.669         6.35 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      5559.186         72.59 % 

 

B-82

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL MANAGED VOLATILITY D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      742.477         9.70 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      600.123         7.84 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY D

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      556.099         7.26 % 

ALLIANZGI GLOBAL MANAGED VOLATILITY P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN
55416-1297 (a)		      741.97         100.00 % 

ALLIANZGI GLOBAL WATER A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      2746659.899         24.03 % 

ALLIANZGI GLOBAL WATER A

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      2579978.506         22.57 % 

ALLIANZGI GLOBAL WATER A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      1354672.255         11.85 % 

ALLIANZGI GLOBAL WATER A

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      792129.732         6.93 % 

ALLIANZGI GLOBAL WATER A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      767683.232         6.72 % 

 

B-83

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL WATER A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      638720.388         5.59 % 

ALLIANZGI GLOBAL WATER A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      592068.402         5.18 % 

ALLIANZGI GLOBAL WATER C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL
32246-6484 (a)		      2660204.716         43.12 % 

ALLIANZGI GLOBAL WATER C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1076571.062         17.45 % 

ALLIANZGI GLOBAL WATER C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      504969.604         8.18 % 

ALLIANZGI GLOBAL WATER C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      430087.379         6.97 % 

ALLIANZGI GLOBAL WATER C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      322011.416         5.22 % 

ALLIANZGI GLOBAL WATER D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      812233.542         45.51 % 

ALLIANZGI GLOBAL WATER D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      649466.274         36.39 % 

ALLIANZGI GLOBAL WATER D

    TD AMERITRADE FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      94104.276         5.27 % 

 

B-84

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI GLOBAL WATER INST

    ATTN MUTUAL FUND OPS CHARLES SCHWAB & CO INC 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1283502.836         70.93 % 

ALLIANZGI GLOBAL WATER INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995      335576.968         18.55 % 

ALLIANZGI GLOBAL WATER INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      151565.422         8.38 % 

ALLIANZGI GLOBAL WATER P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      3525147.121         56.26 % 

ALLIANZGI GLOBAL WATER P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055 (a)      1265877.942         20.20 % 

ALLIANZGI GLOBAL WATER P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      860904.846         13.74 % 

ALLIANZGI HIGH YIELD BOND A

    MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311 (a)      4067091.195         49.15 % 

ALLIANZGI HIGH YIELD BOND A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      899441.743         10.87 % 

ALLIANZGI HIGH YIELD BOND A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      557808.009         6.74 % 

ALLIANZGI HIGH YIELD BOND A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      415757.577         5.02 % 

 

B-85

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI HIGH YIELD BOND ADMIN

    RELIANCE TRUST COMPANY CUSTODIAN FBO INSPERITY 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529 (a)      3409437.516         94.34 % 

ALLIANZGI HIGH YIELD BOND C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      440591.497         18.54 % 

ALLIANZGI HIGH YIELD BOND C

    MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311      426157.887         17.93 % 

ALLIANZGI HIGH YIELD BOND C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      253289.916         10.66 % 

ALLIANZGI HIGH YIELD BOND C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      230475.061         9.70 % 

ALLIANZGI HIGH YIELD BOND C

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE S MINNEAPOLIS MN 55402-2405      204426.935         8.60 % 

ALLIANZGI HIGH YIELD BOND C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      152497.746         6.42 % 

ALLIANZGI HIGH YIELD BOND C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      142537.952         6.00 % 

ALLIANZGI HIGH YIELD BOND D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      4321220.969         74.33 % 

ALLIANZGI HIGH YIELD BOND D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      753679.48         12.96 % 

 

B-86

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI HIGH YIELD BOND INST

    NATIONAL FINANCIAL SERVICES FOR EXCLUSIVE BEN OF OUR CUSTOMERS 499 WASHINGTON BLVD MAIL ZONE NJ4C JERSEY CITY NJ 07310-2010 (a)      7284057.869         43.45 % 

ALLIANZGI HIGH YIELD BOND INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      2576351.888         15.37 % 

ALLIANZGI HIGH YIELD BOND INST

    WELLS FARGO BANK NA FBO MDU MASTER TR HIGH YIELD BOND PO BOX 1533 MINNEAPOLIS MN 55480-1533      1160440.644         6.92 % 

ALLIANZGI HIGH YIELD BOND P

    MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311 (a)      2959404.132         60.27 % 

ALLIANZGI HIGH YIELD BOND P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6484      1116728.704         22.74 % 

ALLIANZGI HIGH YIELD BOND P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      632794.315         12.89 % 

ALLIANZGI HIGH YIELD BOND R

    MG TRUST COMPANY CUST. FBO WORLD RESOURCES INSTITUTE PENSION P 717 17TH STREET SUITE 1300 DENVER CO 80202-3304 (a)      122052.06         39.68 % 

ALLIANZGI HIGH YIELD BOND R

    MLPF & S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      102184.684         33.22 % 

 

B-87

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI HIGH YIELD BOND R

    MID ATLANTIC TR CO FBO CARL BELT INC 2021-2030 MODERATE MAP-R FUND 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228      26744.282         8.70 % 

ALLIANZGI HIGH YIELD BOND R

    MID ATLANTIC TR CO FBO CARL BELT INC 2011-2020 MODERATE MAP-R FUND 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228      23734.798         7.72 % 

ALLIANZGI INTERNATIONAL SMALL-CAP A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      94434.726         73.58 % 

ALLIANZGI INTERNATIONAL SMALL-CAP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      8072.954         6.29 % 

ALLIANZGI INTERNATIONAL SMALL-CAP C

    ATTN NPIO TRADE DESK DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 (a)      13435.767         41.59 % 

ALLIANZGI INTERNATIONAL SMALL-CAP C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      4666.26         14.44 % 

ALLIANZGI INTERNATIONAL SMALL-CAP C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      2965.078         9.18 % 

ALLIANZGI INTERNATIONAL SMALL-CAP C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2384.987         7.38 % 

ALLIANZGI INTERNATIONAL SMALL-CAP D

    AMERITRADE INC FEBO OUR CLIENT PO BOX 2226 OMAHA NE 68103-2226 (a)      26683.321         74.73 % 

ALLIANZGI INTERNATIONAL SMALL-CAP D

    INTERACTIVE BROKERS LLC 2 PICKWICK PLAZA GREENWICH CT 06830-5576      4095.542         11.47 % 

 

B-88

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INTERNATIONAL SMALL-CAP D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      2817.007         7.89 % 

ALLIANZGI INTERNATIONAL SMALL-CAP R

    ATTN NPIO TRADE DESK DCGT TRUSTEE & OR CUSTODIAN FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS 711 HIGH ST DES MOINES IA 50392-0001 (a)      1732.523         80.85 % 

ALLIANZGI INTERNATIONAL SMALL-CAP R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      410.334         19.15 % 

ALLIANZGI INTL SMALL-CAP INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      665927.584         40.24 % 

ALLIANZGI INTL SMALL-CAP INST

    TAYNIK & CO C/O INVESTORS BANK & TRUST 200 CLARENDON ST FCG 124 BOSTON MA 02116-5097      123917.856         7.49 % 

ALLIANZGI INTL SMALL-CAP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      101352.726         6.13 % 

ALLIANZGI INTL SMALL-CAP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      98060.359         5.93 % 

 

B-89

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI INTL SMALL-CAP INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      97527.893         5.89 % 

ALLIANZGI INTL SMALL-CAP INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      83379.334         5.04 % 

ALLIANZGI INTL SMALL-CAP P

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      337088.011         42.93 % 

ALLIANZGI INTL SMALL-CAP P

    NATIONAL FINANCIAL SERVICES FOR EXCLUSIVE BENEFIT OF OUR CUSTOM 499 WASHINGTON BLVD MAIL ZONE NJ4C JERSEY CITY NJ 07310-2010 (a)      231013.069         29.42 % 

ALLIANZGI INTL SMALL-CAP P

    ELIZABETH C CONSIDINE TR TERRY CONSIDINE CARBONDALE CORP RET TRUST 4582 S ULSTER ST STE 310 DENVER CO 80237-2634      81887.847         10.43 % 

ALLIANZGI MICRO CAP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      82042.689         30.61 % 

ALLIANZGI MICRO CAP A

    LPL FINANCIAL FBO COSTUMER ACCOUNTS ATTN MUTUAL FUND OPERATIONS PO BOX 509046 SAN DIEGO CA 92150-9046 (a)      75674.372         28.24 % 

ALLIANZGI MICRO CAP A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      41769.233         15.59 % 

 

B-90

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MICRO CAP A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      17241.112         6.43 % 

ALLIANZGI MICRO CAP INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1165440.552         50.93 % 

ALLIANZGI MICRO CAP INST

    NEW YORK LIFE TRUST CO CLIENT ACCT 169 LACKAWANNA AVE PARSIPPANY NJ 07054-1007      419433.109         18.33 % 

ALLIANZGI MICRO CAP INST

    MERCER TRUST COMPANY TTEE FBO HD SUPPLY 401 K RETIREMENT PLAN 1 INVESTORS WAY MSC N-1-D NORWOOD MA 02062-1599      389244.735         17.01 % 

ALLIANZGI MICRO CAP INST

    NATIONAL FINANCIAL SERVICES FOR EXCLUSIVE BENEFIT OF OUR CUSTOM 499 WASHINGTON BLVD MAIL ZONE NJ4C JERSEY CITY NJ 07310-2010      128479.772         5.61 % 

ALLIANZGI MICRO CAP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055 (a)      50211.59         49.07 % 

ALLIANZGI MICRO CAP P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      32027.516         31.30 % 

ALLIANZGI MICRO CAP P

    LPL FBO LPL CUSTOMERS ATTN: MUTUAL FUND OPERATIONS 1 BEACON ST FL 22 BOSTON MA 02108-3106      13423.671         13.12 % 

ALLIANZGI MULTI-ASSET REAL RETURN A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      5603.083         56.75 % 

 

B-91

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MULTI-ASSET REAL RETURN A

    SSB&T CUST IRA FBO RICHARD D ESTABROOK 58 LIME KILN RD BUTTE MT 59701-9778      746.741         7.56 % 

ALLIANZGI MULTI-ASSET REAL RETURN A

    SSB&T CUST ROTH IRA FBO JANET L FAETH 2479 235TH ST FORT MADISON IA 52627-9522      686.609         6.95 % 

ALLIANZGI MULTI-ASSET REAL RETURN A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      680.364         6.89 % 

ALLIANZGI MULTI-ASSET REAL RETURN A

    SSB&T CUST IRA FBO JANET L FAETH 2479 235TH ST FORT MADISON IA 52627-9522      557.114         5.64 % 

ALLIANZGI MULTI-ASSET REAL RETURN C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      5819.313         75.58 % 

ALLIANZGI MULTI-ASSET REAL RETURN C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      678.912         8.82 % 

ALLIANZGI MULTI-ASSET REAL RETURN C

    WALTER R HOOPER 5100 N GOLDER AVE ODESSA TX 79764-4059      491.978         6.39 % 

ALLIANZGI MULTI-ASSET REAL RETURN C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      386.722         5.02 % 

ALLIANZGI MULTI-ASSET REAL RETURN D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      2202.088         63.23 % 

ALLIANZGI MULTI-ASSET REAL RETURN D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      679.136         19.50 % 

 

B-92

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI MULTI-ASSET REAL
RETURN D

    SSB&T CUST IRA CUST FOR THE ROLLOVER IRA OF ROBIN MALLARY KELZ 106 BARRINGER CT WEST ORANGE NJ 07052-3016      588.774         16.91 % 

ALLIANZGI MULTI-ASSET REAL
RETURN I

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      340531.09         84.43 % 

ALLIANZGI MULTI-ASSET REAL
RETURN I

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      62818.155         15.57 % 

ALLIANZGI MULTI-ASSET REAL
RETURN P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      680.152         100.00 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405 (a)      1541.993         33.89 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      689.393         15.15 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    EDWARD D JONES & CO CUST FBO MICHAEL CHAD PARSONS RTH 3824 W BIDDISON ST FORT WORTH TX 76109-2707      653.891         14.37 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      458.811         10.08 % 

 

B-93

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    SSB&T CUST IRA FBO WILLIAM J MCGANNON 1505 E TIERNEY ST BLOOMINGTON IN 47401-7211      381.587         8.39 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      323.934         7.12 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE C

    RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS
MN 55402-4413 (a)		      981.421         35.52 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      689.971         24.97 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      683.473         24.73 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE C

    ROBERT W BAIRD & CO INC A/C 3181-1926 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      201.172         7.28 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE C

    ROBERT W BAIRD & CO INC A/C 6999-9941 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      201.172         7.28 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE D

    CHARLES SCHWAB & CO INC ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      77369.267         81.27 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE D

    TD AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      13525.807         14.21 % 

ALLIANZGI NFJ EMERGING MARKETS VALUE P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS
MN 55416-1297 (a)		      688.116         100.00 % 

 

B-94

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ EMERGING MKT VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      277010.382         54.20 % 

ALLIANZGI NFJ EMERGING MKT VALUE INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS
MN 55416-1297 (a)		      206609.105         40.42 % 

ALLIANZGI NFJ GLBL DIVIDEND VALUE INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      539345.916         20.12 % 

ALLIANZGI NFJ GLBL DIVIDEND VALUE INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO
CA 94105-1905		      465275.791         17.36 % 

ALLIANZGI NFJ GLBL DIVIDEND VALUE INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACESS 529 PLAN AGE-BASED PORTFOLIO 11-14 P51D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307      198425.444         7.40 % 

ALLIANZGI NFJ GLBL DIVIDEND VALUE INST

    STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN AGE-BASED PORTFOLIO 7-10 P51B ATTN STATE STREET TRUST OPERATIONS 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      154773.303         5.77 % 

 

B-95

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE
FL 32246-6484 (a)		      292325.475         54.19 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      49003.075         9.08 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      45371.024         8.41 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      39288.087         7.28 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      29150.318         5.40 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 (a)      77359.294         27.59 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      19492.664         6.95 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      17861.705         6.37 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      17071.012         6.09 % 

 

B-96

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      15078.348         5.38 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      17838.916         42.51 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      10694.243         25.48 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE D

    AMERITRADE INC FEBO OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      4077.812         9.72 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      3333.924         7.94 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      2645.645         6.30 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      70507.35         76.20 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      6804.44         7.35 % 

ALLIANZGI NFJ GLOBAL DIVIDEND VALUE P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      6762.972         7.31 % 

 

B-97

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTERNATIONAL VALUE II A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405 (a)      6376.507         75.24 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II A

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      732.835         8.65 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II A

    SSB&T CUST IRA FBO INGER N KOPPLIN 4915 40TH AVE S MINNEAPOLIS MN 55417-1602      446.446         5.27 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 (a)      1892.842         42.55 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II C

    STIFEL NICHOLAUS & CO INC EXCLUSIVE BENEFIT OF CUTOMERS 501 N BROADWAY EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2131 (a)      1528.931         34.37 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      723.728         16.27 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      303.068         6.81 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS
MN 55416-1297 (a)		      732.241         96.34 % 

ALLIANZGI NFJ INTERNATIONAL VALUE II P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS
MN 55416-1297 (a)		      735.486         58.52 % 

 

B-98

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTERNATIONAL VALUE II P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY
NJ 07311 (a)		      521.344         41.48 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      211028.053         23.69 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      107729.65         12.09 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI GLOBAL ALLOCATION FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      94570.996         10.62 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    M J MURDOCK CHARITABLE TRUST PO BOX 1618 VANCOUVER WA 98668-1618      80044.564         8.99 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2030 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      51181.697         5.75 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2040 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      48266.094         5.42 % 

ALLIANZGI NFJ INTL SMALL-CAP VAL INST

    ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZGI RETIREMENT 2035 FUND ATTN STEPHEN SEXAUER 600 W BROADWAY FL 34 SAN DIEGO CA 92101-3398      45920.522         5.15 % 

 

B-99

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTL SMALL-CAP VALUE A

    CITY NATIONAL BANK A/C # 200097202 FBO WGA ASSURANCE TRUST/ AT SURPLUS 555 S FLOWER ST STE 1000 LOS ANGELES CA 90071-2429 (a)      61970.286         47.76 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE A

    LPL FINANCIAL FBO: CUSTOMER ACCOUNTS ATTN: MUTUAL FUND OPERATIONS P O BOX 509046 SAN DIEGO CA 92150-9046 (a)      45058.236         34.73 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      8903.293         6.86 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE C

    RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS MN 55402-4413 (a)      60155.534         90.85 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 4TH FLOOR 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      4677.696         7.06 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      29006.294         47.91 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      25932.125         42.83 % 

ALLIANZGI NFJ INTL SMALL-CAP VALUE P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      698.104         66.82 % 

 

B-100

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI NFJ INTL SMALL-CAP VALUE P

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 (a)      346.582         33.18 % 

ALLIANZGI NFJ INTL VALUE II INST

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2 3RD FLOOR JERSEY CITY NJ 07311 (a)      2119030.302         98.46 % 

ALLIANZGI RETIREMENT 2015 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      223730.708         39.35 % 

ALLIANZGI RETIREMENT 2015 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      105008.727         18.47 % 

ALLIANZGI RETIREMENT 2015 A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      103847.847         18.27 % 

ALLIANZGI RETIREMENT 2015 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      31556.142         5.55 % 

ALLIANZGI RETIREMENT 2015 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      158970.068         89.87 % 

ALLIANZGI RETIREMENT 2015 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      13161.651         7.44 % 

ALLIANZGI RETIREMENT 2015 C

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 (a)      25463.654         44.45 % 

 

B-101

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2015 C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      5277.509         9.21 % 

ALLIANZGI RETIREMENT 2015 C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      4660.957         8.14 % 

ALLIANZGI RETIREMENT 2015 C

    SSB&T CUST SIMPLE IRA WEST FINANCIAL FBO W ALAN KING 3304 PERRINS CHASE VIRGINIA BCH VA 23452-6258      4565.003         7.97 % 

ALLIANZGI RETIREMENT 2015 D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      2391.886         43.90 % 

ALLIANZGI RETIREMENT 2015 D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      928.65         17.05 % 

ALLIANZGI RETIREMENT 2015 D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      812.973         14.92 % 

ALLIANZGI RETIREMENT 2015 D

    SSB&T CUST ROTH IRA FBO NANCY ANDERSON WELTY 138 GRIST MILL RD SCHUYKL HAVN PA 17972-8523      583.963         10.72 % 

ALLIANZGI RETIREMENT 2015 D

    TD AMERITRADE FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      425.231         7.81 % 

ALLIANZGI RETIREMENT 2015 D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      297.616         5.46 % 

 

B-102

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2015 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      208439.824         97.65 % 

ALLIANZGI RETIREMENT 2015 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      8045.763         78.26 % 

ALLIANZGI RETIREMENT 2015 R

    ASCENSUS TR CO FBO CARBONE METAL FABRICATOR INC 401K S P O BOX 10758 FARGO ND 58106-0758      1247.959         12.14 % 

ALLIANZGI RETIREMENT 2015 R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      802.304         7.80 % 

ALLIANZGI RETIREMENT 2015 R6

    RETIREMENT PLANS SERVICED BYMETLIFE RELIANCE TRUST CO 8515 E ORCHARD RD 2T2 GREENWOOD VLG CO 80111-5002 (a)      380172.728         56.75 % 

ALLIANZGI RETIREMENT 2015 R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      71181.544         10.63 % 

ALLIANZGI RETIREMENT 2015 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      66823.592         9.98 % 

ALLIANZGI RETIREMENT 2015 R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      54242.073         8.10 % 

ALLIANZGI RETIREMENT 2015 R6

    ASCENSUS TRUST COMPANY FBO GREENE ESPEL P.L.L.P. RETIREMENT SA FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      36599.253         5.46 % 

 

B-103

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2015 R6

    WILMINGTON TRUST FIDUCIARY COMPANY AS TTEE FBO HURLEY BURISH & STANTON SC 401(K) PS PL PO BOX 52129 PHOENIX AZ 85072-2129      36302.81         5.42 % 

ALLIANZGI RETIREMENT 2020 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938 (a)      660886.501         37.29 % 

ALLIANZGI RETIREMENT 2020 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      511101.984         28.84 % 

ALLIANZGI RETIREMENT 2020 A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      347126.954         19.58 % 

ALLIANZGI RETIREMENT 2020 A

    RELIANCE TRUST CO TTEE FBO ADP ACCESS LARGE MARKET 401(K) PLAN 1100 ABERNATHY RD ATLANTA GA 30328-5620      105451.96         5.95 % 

ALLIANZGI RETIREMENT 2020 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      300375.084         83.53 % 

ALLIANZGI RETIREMENT 2020 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      26920.846         7.49 % 

ALLIANZGI RETIREMENT 2020 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      23779.272         6.61 % 

 

B-104

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2020 C

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      2696.235         11.56 % 

ALLIANZGI RETIREMENT 2020 C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2582.13         11.07 % 

ALLIANZGI RETIREMENT 2020 C

    VANGUARD BROKERAGE SERVICES A/C 7625-5635 PO BOX 1170 VALLEY FORGE PA 19482-1170      2400.966         10.29 % 

ALLIANZGI RETIREMENT 2020 C

    SSB&T CUST ROLLOVER IRA FBO DANIEL K MOYE 601 CONNECTICUT AVE SAINT CLOUD FL 34769-2734      1749.632         7.50 % 

ALLIANZGI RETIREMENT 2020 D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      7790.191         47.32 % 

ALLIANZGI RETIREMENT 2020 D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      3935.212         23.91 % 

ALLIANZGI RETIREMENT 2020 D

    ASCENSUS TRUST COMPANY FBO TS GRAY CONSTRUCTION 401K PLAN 218 P.O. BOX 10758 FARGO ND 58106-0758      2595.894         15.77 % 

ALLIANZGI RETIREMENT 2020 D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      836.294         5.08 % 

ALLIANZGI RETIREMENT 2020 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      513912.734         81.63 % 

 

B-105

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2020 P

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      110265.991         17.51 % 

ALLIANZGI RETIREMENT 2020 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      49630.529         96.77 % 

ALLIANZGI RETIREMENT 2020 R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      98660.975         35.48 % 

ALLIANZGI RETIREMENT 2020 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577 (a)      85656.497         30.80 % 

ALLIANZGI RETIREMENT 2020 R6

    WILMINGTON TRUST FIDUCIARY COMPANY AS TTEE FBO HURLEY BURISH & STANTON SC 401(K) PS PL PO BOX 52129 PHOENIX AZ 85072-2129      28918.724         10.40 % 

ALLIANZGI RETIREMENT 2020 R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      25774.73         9.27 % 

ALLIANZGI RETIREMENT 2020 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      24778.948         8.91 % 

ALLIANZGI RETIREMENT 2025 A

    WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 (a)      592529.726         32.92 % 

 

B-106

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2025 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      572802.442         31.83 % 

ALLIANZGI RETIREMENT 2025 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      419012.816         23.28 % 

ALLIANZGI RETIREMENT 2025 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      117237.914         6.51 % 

ALLIANZGI RETIREMENT 2025 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      626908.529         96.46 % 

ALLIANZGI RETIREMENT 2025 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      788603.878         99.03 % 

ALLIANZGI RETIREMENT 2025 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX
AZ 85072-2129 (a)		      60969.209         96.74 % 

ALLIANZGI RETIREMENT 2025 R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS
MN 55416-1297 (a)		      149073.464         31.36 % 

ALLIANZGI RETIREMENT 2025 R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 (a)      120749.346         25.40 % 

ALLIANZGI RETIREMENT 2025 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      72536.626         15.26 % 

 

B-107

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2025 R6

    ASCENSUS TRUST COMPANY FBO GREENE ESPEL P.L.L.P. RETIREMENT SA FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      45784.382         9.63 % 

ALLIANZGI RETIREMENT 2025 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      40182.545         8.45 % 

ALLIANZGI RETIREMENT 2025 R6

    WILMINGTON TRUST FIDUCIARY COMPANY AS TTEE FBO HURLEY BURISH & STANTON SC 401(K) PS PL PO BOX 52129 PHOENIX AZ 85072-2129      25709.974         5.41 % 

ALLIANZGI RETIREMENT 2030 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      402176.734         32.18 % 

ALLIANZGI RETIREMENT 2030 A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 (a)      361776.559         28.95 % 

ALLIANZGI RETIREMENT 2030 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      301947.538         24.16 % 

ALLIANZGI RETIREMENT 2030 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      69402.903         5.55 % 

ALLIANZGI RETIREMENT 2030 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      373782.956         91.75 % 

ALLIANZGI RETIREMENT 2030 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      24327.152         5.97 % 

 

B-108

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2030 C

    SSB&T CUST SIMPLE IRA MAPLEVIEW ANIMAL CLINIC FBO ROBERT J KRAPFL 13652 LARIMORE AVE OMAHA NE 68164-6129 (a)      9283.234         26.27 % 

ALLIANZGI RETIREMENT 2030 C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      4094.779         11.59 % 

ALLIANZGI RETIREMENT 2030 C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2683.263         7.59 % 

ALLIANZGI RETIREMENT 2030 C

    SSB&T CUST SIMPLE IRA TALON DESIGN GROUP INC FBO ALAN C PAGE 383 DIABLO RD STE 214 DANVILLE CA 94526-3453      1995.245         5.65 % 

ALLIANZGI RETIREMENT 2030 D

    ASCENSUS TRUST COMPANY FBO TS GRAY CONSTRUCTION 401K PLAN 218 P.O. BOX 10758 FARGO ND 58106-0758 (a)      9883.935         32.37 % 

ALLIANZGI RETIREMENT 2030 D

    ASCENSUS TRUST COMPANY FBO PECK SMILEY ETTLIN ARCHITECTS, INC. P.O. BOX 10758 FARGO ND 58106-0758      4670.898         15.30 % 

ALLIANZGI RETIREMENT 2030 D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      4624.379         15.15 % 

ALLIANZGI RETIREMENT 2030 D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      4236.864         13.88 % 

ALLIANZGI RETIREMENT 2030 D

    AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      4194.804         13.74 % 

 

B-109

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2030 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      718076.736         84.96 % 

ALLIANZGI RETIREMENT 2030 P

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      118688.33         14.04 % 

ALLIANZGI RETIREMENT 2030 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      47192.407         72.52 % 

ALLIANZGI RETIREMENT 2030 R

    MLPF & S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      12045.88         18.51 % 

ALLIANZGI RETIREMENT 2030 R

    PAI TR CO INC INNOVATIVE MARKETING RESOURCES PS 1300 ENTERPRISE DR DE PERE WI 54115-4934      4983.471         7.66 % 

ALLIANZGI RETIREMENT 2030 R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      195443.41         47.50 % 

ALLIANZGI RETIREMENT 2030 R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      56526.603         13.74 % 

ALLIANZGI RETIREMENT 2030 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      44439.189         10.80 % 

ALLIANZGI RETIREMENT 2030 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      36956.492         8.98 % 

 

B-110

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2030 R6

    MID ATLANTIC TRUST COMPANY FBO HAWTHORNE RESIDENTIAL PARTNERS 401(K) PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228      21370.771         5.19 % 

ALLIANZGI RETIREMENT 2035 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      419761.928         46.03 % 

ALLIANZGI RETIREMENT 2035 A

    WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 (a)      229262.114         25.14 % 

ALLIANZGI RETIREMENT 2035 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      105652.867         11.59 % 

ALLIANZGI RETIREMENT 2035 A

    MG TR CO CUST FBO BRITT HUNT CO LLC RETIREM 717 17TH STREET SUITE 1300 DENVER CO 80202-3304      66029.965         7.24 % 

ALLIANZGI RETIREMENT 2035 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      50778.89         5.57 % 

ALLIANZGI RETIREMENT 2035 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      577866.737         96.74 % 

ALLIANZGI RETIREMENT 2035 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      765591.381         98.86 % 

ALLIANZGI RETIREMENT 2035 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      54277.157         95.91 % 

 

B-111

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2035 R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      213035.413         47.80 % 

ALLIANZGI RETIREMENT 2035 R6

    WILMINGTON TRUST FIDUCIARY COMPANY AS TTEE FBO HURLEY BURISH & STANTON SC 401(K) PS PL PO BOX 52129 PHOENIX AZ 85072-2129      98903.101         22.19 % 

ALLIANZGI RETIREMENT 2035 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      75747.633         17.00 % 

ALLIANZGI RETIREMENT 2035 R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      28510.05         6.40 % 

ALLIANZGI RETIREMENT 2035 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      24310.135         5.45 % 

ALLIANZGI RETIREMENT 2040 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      272685.473         35.78 % 

ALLIANZGI RETIREMENT 2040 A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      175090.305         22.98 % 

ALLIANZGI RETIREMENT 2040 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      163679.073         21.48 % 

ALLIANZGI RETIREMENT 2040 A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      54835.04         7.20 % 

ALLIANZGI RETIREMENT 2040 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      38715.151         5.08 % 

 

B-112

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2040 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      217795.785         92.39 % 

ALLIANZGI RETIREMENT 2040 C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      2568.75         17.95 % 

ALLIANZGI RETIREMENT 2040 C

    TD AMERITRADE FBO D A WUERSCH & T GERING TR WUERSCH & GERING LLP SAVING & INCENTIVE PLAN FBO ANNAMARIA HACHMEISTER 644 AMSTERDAM AVE APT 5B NEW YORK NY 10025-7453      2457.088         17.17 % 

ALLIANZGI RETIREMENT 2040 C

    SSB&T CUST SIMPLE IRA OAK GROVE LLC FBO DANIEL J BENDLAGE 1420 E COUNTY ROAD 2680 NIOTA
IL 62358-2428		      1952.982         13.65 % 

ALLIANZGI RETIREMENT 2040 C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      1926.269         13.46 % 

ALLIANZGI RETIREMENT 2040 C

    SSB&T CUST ROLLOVER IRA FBO BRYAN J KUHLMAN 9500 ROAD F9 LEIPSIC OH 45856-9435      1123.795         7.85 % 

ALLIANZGI RETIREMENT 2040 C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      867.916         6.06 % 

ALLIANZGI RETIREMENT 2040 C

    SSB&T CUST IRA FBO PAUL L LIPIARSKI 4419 ALDRICH AVE S MINNEAPOLIS MN 55419-4821      804.06         5.62 % 

ALLIANZGI RETIREMENT 2040 D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      3519.365         39.50 % 

 

B-113

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2040 D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      2488.923         27.93 % 

ALLIANZGI RETIREMENT 2040 D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      893.201         10.02 % 

ALLIANZGI RETIREMENT 2040 D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851      601.571         6.75 % 

ALLIANZGI RETIREMENT 2040 D

    ASCENSUS TRUST COMPANY FBO PECK SMILEY ETTLIN ARCHITECTS, INC. P.O. BOX 10758 FARGO ND 58106-0758      600.36         6.74 % 

ALLIANZGI RETIREMENT 2040 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      461323.214         83.55 % 

ALLIANZGI RETIREMENT 2040 P

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      86894.273         15.74 % 

ALLIANZGI RETIREMENT 2040 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      53759.273         85.65 % 

ALLIANZGI RETIREMENT 2040 R

    MLPF & S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      6315.79         10.06 % 

 

B-114

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2040 R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      177331.593         50.85 % 

ALLIANZGI RETIREMENT 2040 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      46711.255         13.39 % 

ALLIANZGI RETIREMENT 2040 R6

    ASCENSUS TRUST COMPANY FBO THE NEUROLOGY FOUNDATION IN 401(K) RET PLAN 214455 PO BOX 10758 FARGO ND 58106-0758      45663.958         13.09 % 

ALLIANZGI RETIREMENT 2040 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      34322.867         9.84 % 

ALLIANZGI RETIREMENT 2040 R6

    WILMINGTON TRUST FIDUCIARY COMPANY AS TTEE FBO HURLEY BURISH & STANTON SC 401(K) PS PL PO BOX 52129 PHOENIX AZ 85072-2129      20492.092         5.88 % 

ALLIANZGI RETIREMENT 2045 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      185254.141         37.32 % 

ALLIANZGI RETIREMENT 2045 A

    WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 (a)      151604.92         30.54 % 

ALLIANZGI RETIREMENT 2045 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      53191.861         10.71 % 

 

B-115

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2045 A

    MG TR CO CUST FBO BRITT HUNT CO LLC RETIREM 717 17TH STREET SUITE 1300 DENVER CO 80202-3304      42390.54         8.54 % 

ALLIANZGI RETIREMENT 2045 A

    AMERICAN UNITED INSURANCE CO CUST FBO GROUP RETIREMENT ANNUITY IRA PO BOX 368 INDIANAPOLIS IN 46206-0368      28271.773         5.70 % 

ALLIANZGI RETIREMENT 2045 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      77942.359         88.11 % 

ALLIANZGI RETIREMENT 2045 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368      7137.535         8.07 % 

ALLIANZGI RETIREMENT 2045 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      456869.321         99.84 % 

ALLIANZGI RETIREMENT 2045 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      20211.337         91.16 % 

ALLIANZGI RETIREMENT 2045 R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      215309.701         73.45 % 

ALLIANZGI RETIREMENT 2045 R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529      23186.607         7.91 % 

ALLIANZGI RETIREMENT 2045 R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      15958.491         5.44 % 

 

B-116

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2050 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      95978.482         48.93 % 

ALLIANZGI RETIREMENT 2050 A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      32478.787         16.56 % 

ALLIANZGI RETIREMENT 2050 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      29048.911         14.81 % 

ALLIANZGI RETIREMENT 2050 A

    AMERICAN UNITED INSURANCE CO TTEE GROUP RETIREMENT ANNUITY PO BOX 368 INDIANAPOLIS IN 46206-0368      11914.213         6.07 % 

ALLIANZGI RETIREMENT 2050 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      32387.414         61.13 % 

ALLIANZGI RETIREMENT 2050 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368 (a)      17750.804         33.50 % 

ALLIANZGI RETIREMENT 2050 C

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      1881.693         30.45 % 

ALLIANZGI RETIREMENT 2050 C

    SSB&T CUST SIMPLE IRA MAPLEVIEW ANIMAL CLINIC PC FBO STEPHANIE M JONES 17008 HAWTHORNE PLZ #206 OMAHA NE 68118-2855      997.381         16.14 % 

ALLIANZGI RETIREMENT 2050 C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      896.62         14.51 % 

 

B-117

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2050 C

    ROBERT W BAIRD & CO INC A/C 2306-3081 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      766.562         12.40 % 

ALLIANZGI RETIREMENT 2050 C

    ROBERT W BAIRD & CO INC A/C 3177-6342 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      556.846         9.01 % 

ALLIANZGI RETIREMENT 2050 C

    SSB&T CUST SEP IRA LOUISIANA BAR FOUNDATION FBO RENEE E BIENVENU 2016 DESLONDE ST NEW ORLEANS LA 70117-4004      407.649         6.60 % 

ALLIANZGI RETIREMENT 2050 C

    ROBERT W BAIRD & CO INC A/C 7073-9912 777 EAST WISCONSIN AVENUE MILWAUKEE WI 53202-5391      319.403         5.17 % 

ALLIANZGI RETIREMENT 2050 D

    TD AMERITRADE PO BOX 2226 OMAHA NE 68103-2226 (a)      3391.668         25.69 % 

ALLIANZGI RETIREMENT 2050 D

    ASCENSUS TRUST COMPANY FBO TS GRAY CONSTRUCTION 401K PLAN 218 P.O. BOX 10758 FARGO ND 58106-0758      2806.345         21.26 % 

ALLIANZGI RETIREMENT 2050 D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      2619.782         19.85 % 

ALLIANZGI RETIREMENT 2050 D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      2573.531         19.50 % 

ALLIANZGI RETIREMENT 2050 D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      921.127         6.98 % 

ALLIANZGI RETIREMENT 2050 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      242151.206         97.18 % 

 

B-118

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2050 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      25425.41         92.03 % 

ALLIANZGI RETIREMENT 2050 R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      180669.919         46.50 % 

ALLIANZGI RETIREMENT 2050 R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      173940.54         44.77 % 

ALLIANZGI RETIREMENT 2055 A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      17644.778         43.21 % 

ALLIANZGI RETIREMENT 2055 A

    WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      5349.879         13.10 % 

ALLIANZGI RETIREMENT 2055 A

    AMERICAN UNITED INSURANCE CO TTEE GROUP RETIREMENT ANNUITY PO BOX 368 INDIANAPOLIS IN 46206-0368      5068.221         12.41 % 

ALLIANZGI RETIREMENT 2055 A

    ASCENSUS TR CO FBO HORIZON MEDICAL GROUP PC 401K PS P O BOX 10758 FARGO ND 58106-0758      3674.819         9.00 % 

ALLIANZGI RETIREMENT 2055 A

    SOUTHWEST SECURITIES INC FBO DUNCAN E HARVEY SOUTHWEST SECURITIES INC ROTH IRA CUST PO BOX 509002 DALLAS TX 75250-9002      2544.567         6.23 % 

 

B-119

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2055 A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      2494.033         6.11 % 

ALLIANZGI RETIREMENT 2055 ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      9441.926         54.19 % 

ALLIANZGI RETIREMENT 2055 ADMIN

    AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION PO BOX 368 INDIANAPOLIS IN 46206-0368 (a)      6878.31         39.47 % 

ALLIANZGI RETIREMENT 2055 P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      55834.259         84.61 % 

ALLIANZGI RETIREMENT 2055 P

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      9413.442         14.27 % 

ALLIANZGI RETIREMENT 2055 R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      4719.352         71.04 % 

ALLIANZGI RETIREMENT 2055 R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      736.024         11.08 % 

ALLIANZGI RETIREMENT 2055 R

    TD AMERITRADE INC FEBO OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226      659.315         9.93 % 

ALLIANZGI RETIREMENT 2055 R

    PAI TR CO INC INNOVATIVE MARKETING RESOURCES PS 1300 ENTERPRISE DR DE PERE WI 54115-4934      528.114         7.95 % 

 

B-120

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT 2055 R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      222430.879         88.56 % 

ALLIANZGI RETIREMENT INCOME A

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCOUNT OF THE EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      80115.409         28.28 % 

ALLIANZGI RETIREMENT INCOME A

    WELLS FARGO FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076      48122.179         16.99 % 

ALLIANZGI RETIREMENT INCOME A

    TAYNIK & CO C/O STATE STREET BANK & TRUST CO 1200 CROWN COLONY DR CC103 QUINCY MA 02169-0938      36185.11         12.77 % 

ALLIANZGI RETIREMENT INCOME A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      27014.285         9.54 % 

ALLIANZGI RETIREMENT INCOME A

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      22781.743         8.04 % 

ALLIANZGI RETIREMENT INCOME A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      14411.698         5.09 % 

ALLIANZGI RETIREMENT INCOME ADMIN

    FIIOC FBO SMC CORPORATION RETIREMENT SAVINGS PLAN -19456 ATTN JAKE BEIL 100 MAGELLAN WAY KW1C COVINGTON KY 41015-1987 (a)      96026.716         93.03 % 

ALLIANZGI RETIREMENT INCOME C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      57484.688         26.64 % 

ALLIANZGI RETIREMENT INCOME C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      28074.336         13.01 % 

 

B-121

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT INCOME C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      16258.395         7.53 % 

ALLIANZGI RETIREMENT INCOME C

    SSB&T CUST ROLLOVER IRA FBO STEVEN W STUHR W6393 SCHILLING RD ONALASKA WI 54650-9325      15414.506         7.14 % 

ALLIANZGI RETIREMENT INCOME D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      40968.405         77.42 % 

ALLIANZGI RETIREMENT INCOME D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      5459.633         10.32 % 

ALLIANZGI RETIREMENT INCOME D

    AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226      3756.01         7.10 % 

ALLIANZGI RETIREMENT INCOME P

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      300637.553         82.12 % 

ALLIANZGI RETIREMENT INCOME P

    CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 211 MAIN ST SAN FRANCISCO CA 94105-1905      64624.43         17.65 % 

ALLIANZGI RETIREMENT INCOME R

    WILMINGTON TR RISC TTEE FBO 3 DIMENSIONAL SERVICES GROUP 401K PO BOX 52129 PHOENIX AZ 85072-2129 (a)      9200.196         88.19 % 

ALLIANZGI RETIREMENT INCOME R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      789.77         7.57 % 

 

B-122

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI RETIREMENT INCOME R6

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      169853.838         33.76 % 

ALLIANZGI RETIREMENT INCOME R6

    RELIANCE TRUST COMPANY CUSTODIAN FBO TENNESSEE ORTHOPAEDIC A 401K PLAN PO BOX 48529 ATLANTA GA 30362-1529 (a)      161028.632         32.01 % 

ALLIANZGI RETIREMENT INCOME R6

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      50873.118         10.11 % 

ALLIANZGI RETIREMENT INCOME R6

    STATE STREET BANK TTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901      43364.414         8.62 % 

ALLIANZGI RETIREMENT INCOME R6

    ASCENSUS TRUST COMPANY FBO POWERS AND SONS, LLC 401(K) PLAN 2 FRONTIER TRUST COMPANY PO BOX 10577 FARGO ND 58106-0577      31326.135         6.23 % 

ALLIANZGI SHORT DURATION HIGH INC INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      4261979.094         28.72 % 

ALLIANZGI SHORT DURATION HIGH INC INST

    NATIONAL FINANCIAL SERVICES FOR EXCLUSIVE BEN OF OUR CUSTOMERS 499 WASHINGTON BLVD MAIL ZONE NJ4C JERSEY CITY NJ 07310-2010      2731751.841         18.41 % 

ALLIANZGI SHORT DURATION HIGH INC INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      1703718.605         11.48 % 

 

B-123

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI SHORT DURATION HIGH INCOME A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      2365677.992         21.46 % 

ALLIANZGI SHORT DURATION HIGH INCOME A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      2192242.98         19.88 % 

ALLIANZGI SHORT DURATION HIGH INCOME A

    MLPF & S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1768058.864         16.04 % 

ALLIANZGI SHORT DURATION HIGH INCOME A

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      1093748.546         9.92 % 

ALLIANZGI SHORT DURATION HIGH INCOME A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      789340.907         7.16 % 

ALLIANZGI SHORT DURATION HIGH INCOME C

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      1274685.435         22.61 % 

ALLIANZGI SHORT DURATION HIGH INCOME C

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484      1263439.097         22.41 % 

ALLIANZGI SHORT DURATION HIGH INCOME C

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD FL 9 JERSEY CITY NJ 07310-2055      516304.703         9.16 % 

ALLIANZGI SHORT DURATION HIGH INCOME C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      485952.892         8.62 % 

 

B-124

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI SHORT DURATION HIGH INCOME C

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      347104.247         6.16 % 

ALLIANZGI SHORT DURATION HIGH INCOME C

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      306613.838         5.44 % 

ALLIANZGI SHORT DURATION HIGH INCOME D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 (a)      1917096.682         83.01 % 

ALLIANZGI SHORT DURATION HIGH INCOME D

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      198110.381         8.58 % 

ALLIANZGI SHORT DURATION HIGH INCOME D

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      137055.407         5.93 % 

ALLIANZGI SHORT DURATION HIGH INCOME P

    MERRILL LYNCH PIERCE FENNER & SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR E JACKSONVILLE FL 32246-6484 (a)      4678818.126         31.05 % 

ALLIANZGI SHORT DURATION HIGH INCOME P

    MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311      3561783.905         23.64 % 

ALLIANZGI SHORT DURATION HIGH INCOME P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      2922753.55         19.40 % 

ALLIANZGI SHORT DURATION HIGH INCOME P

    LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968      2051266.176         13.61 % 

 

B-125

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI SHORT DURATION HIGH INCOME P

    FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523      1177636.367         7.81 % 

ALLIANZGI STRUCTURED RETURN A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      130174.268         78.93 % 

ALLIANZGI STRUCTURED RETURN A

    JP MORGAN CLEARING CORP OMINIBUS ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS 3 CHASE METROTECH CENTER 3RD FLOOR MUTUAL FUND DEPARTMENT BROOKLYN NY 11245-0001      17998         10.91 % 

ALLIANZGI STRUCTURED RETURN A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      8481.619         5.14 % 

ALLIANZGI STRUCTURED RETURN C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      6073.444         78.47 % 

ALLIANZGI STRUCTURED RETURN C

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      807.448         10.43 % 

ALLIANZGI STRUCTURED RETURN C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      700.63         9.05 % 

ALLIANZGI STRUCTURED RETURN D

    CHARLES SCHWAB & CO INC ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      134158.839         93.25 % 

ALLIANZGI STRUCTURED RETURN D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      8807.907         6.12 % 

 

B-126

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI STRUCTURED RETURN INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      420135.371         44.25 % 

ALLIANZGI STRUCTURED RETURN INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      333822.507         35.16 % 

ALLIANZGI STRUCTURED RETURN INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      119847.653         12.62 % 

ALLIANZGI STRUCTURED RETURN P

   

RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE

700 # STREET-P08 MINNEAPOLIS MN 55402-4413 (a)

      1654.655         70.26 % 

ALLIANZGI STRUCTURED RETURN P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      700.249         29.74 % 

ALLIANZGI U.S. EQUITY HEDGED A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      85240.511         97.08 % 

ALLIANZGI U.S. EQUITY HEDGED C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052 (a)      9787.93         93.22 % 

ALLIANZGI U.S. EQUITY HEDGED C

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      712.337         6.78 % 

ALLIANZGI U.S. EQUITY HEDGED D

    CHARLES SCHWAB & CO INC ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      14818.976         87.31 % 

 

B-127

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. EQUITY HEDGED D

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010      1025.599         6.04 % 

ALLIANZGI U.S. EQUITY HEDGED INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      364226.409         50.98 % 

ALLIANZGI U.S. EQUITY HEDGED INST

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      212617.157         29.76 % 

ALLIANZGI U.S. EQUITY HEDGED INST

    RELIANCE TRUST COMPANY FBO USW DISTRICT P.O. BOX 48529 ATLANTA GA 30362-1529      65785.011         9.21 % 

ALLIANZGI U.S. EQUITY HEDGED INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905      53257.228         7.45 % 

ALLIANZGI U.S. EQUITY HEDGED P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      706.876         100.00 % 

ALLIANZGI U.S. SMALL-CAP GROWTH A

    MLPF&S FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMN/#97M 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 (a)      254031.479         86.16 % 

ALLIANZGI U.S. SMALL-CAP GROWTH C

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      9671.969         25.54 % 

 

B-128

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. SMALL-CAP GROWTH C

    RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTM COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100      4850.018         12.81 % 

ALLIANZGI U.S. SMALL-CAP GROWTH C

    SSB&T CUST SIMPLE IRA PRECISE STAMPING INC FBO CHRIS P GOBLET 1480 SEQUOIA DR STE A AURORA IL 60506-1098      2805.104         7.41 % 

ALLIANZGI U.S. SMALL-CAP GROWTH C

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      2724.973         7.20 % 

ALLIANZGI U.S. SMALL-CAP GROWTH C

    SSB&T CUST ROTH CONV IRA FBO THOMAS W SOLEM 3709 S GEORGE MASON DR APT 1110E FALLS CHURCH VA 22041-4726      2175.548         5.74 % 

ALLIANZGI U.S. SMALL-CAP GROWTH D

    CAPITAL ONE SHAREBUILDER INC —OMNIBUS ACCOUNT— 83 S KING ST STE 700 SEATTLE WA 98104-2851 (a)      2353.663         36.62 % 

ALLIANZGI U.S. SMALL-CAP GROWTH D

    TD AMERITRADE FBO RICHARD CHENEY JR & SUSAN CHENEY COMMUNITY PROPERTY 426 BYNNER DR SAN PEDRO CA 90732-3306      1195.071         18.59 % 

ALLIANZGI U.S. SMALL-CAP GROWTH D

    VANGUARD BROKERAGE SERVICES A/C 2541-6362 PO BOX 1170 VALLEY FORGE PA 19482-1170      912.054         14.19 % 

ALLIANZGI U.S. SMALL-CAP GROWTH D

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      891.023         13.86 % 

ALLIANZGI U.S. SMALL-CAP GROWTH D

    TD AMERITRADE FBO ILSE-ROSE WARG & JAMISON B WARG JT TEN 215 S FRONT ST PHILIPSBURG PA 16866-2211      405.984         6.32 % 

 

B-129

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. SMALL-CAP GROWTH INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO
CA 94105-1905 (a)		      1084838.285         66.07 % 

ALLIANZGI U.S. SMALL-CAP GROWTH INST

    STATE STREET BANK & TRUST CO CUST FOR MI 529 ADVISOR PLAN AGE-BASED PORTFOLIO 1 P75A 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307      118550.11         7.22 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    NATIONAL FINANCIAL SERVICES FOR EXCLUSIVE BEN OF OUR CUSTOMERS 499 WASHINGTON BLVD MAIL ZONE NJ4C JERSEY CITY NJ 07310-2010 (a)      3735.419         30.97 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    AMERITRADE INC PO BOX 2226 OMAHA NE 68103-2226      2316.549         19.21 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    LPL FBO LPL CUSTOMERS ATTN: MUTUAL FUND OPERATIONS 1 BEACON ST FL 22 BOSTON MA 02108-3106      2155.094         17.87 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    RBC CAPITAL MARKETS, LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 60 S 6TH ST STE 700 # STREET-P08 MINNEAPOLIS MN 55402-4413      1120.69         9.29 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      1088.816         9.03 % 

ALLIANZGI U.S. SMALL-CAP GROWTH P

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297      890.021         7.38 % 

 

B-130

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI U.S. SMALL-CAP GROWTH R

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      892.023         74.42 % 

ALLIANZGI U.S. SMALL-CAP GROWTH R

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055 (a)      306.612         25.58 % 

ALLIANZGI ULTRA MICRO CAP A

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      533005.58         21.79 % 

ALLIANZGI ULTRA MICRO CAP A

    LPL FINANCIAL FBO CUSTOMER ACCOUNTS ATTN MUTUAL FUND OPERATIONS PO BOX 509046 SAN DIEGO CA 92150-9046      512595.94         20.95 % 

ALLIANZGI ULTRA MICRO CAP A

    AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405      314348.713         12.85 % 

ALLIANZGI ULTRA MICRO CAP A

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055      274912.249         11.24 % 

ALLIANZGI ULTRA MICRO CAP A

    NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010      169307.527         6.92 % 

ALLIANZGI ULTRA MICRO CAP A

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 211 MAIN ST SAN FRANCISCO CA 94105-1905      145212.171         5.94 % 

 

B-131

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

ALLIANZGI ULTRA MICRO CAP INST

    CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 211 MAIN ST SAN FRANCISCO CA 94105-1905 (a)      999408.089         46.29 % 

ALLIANZGI ULTRA MICRO CAP INST

    NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER ATTN: MUTUAL FUNDS DEPT 4TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-1995 (a)      566290.323         26.23 % 

ALLIANZGI ULTRA MICRO CAP INST

    PERSHING LLC PO BOX 2052 JERSEY CITY NJ 07303-2052      239757.858         11.11 % 

ALLIANZGI ULTRA MICRO CAP P

    UBS WM USA 0O0 11011 6100 OMNI A/C M/F ATTN DEPT MANAGER 499 WASHINGTON BLVD 9TH FL JERSEY CITY NJ 07310-2055 (a)      352697.079         86.70 % 

ALLIANZGI ULTRA MICRO CAP P

    STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188      35490.053         8.72 % 

AllianzGI Institutional Multi-Series Trust

 

Fund Name

   

Registration

    Number of
Shares		      Percentage of
Outstanding
Shares of Class
Owned		  

AGI US UNCONSTRAINED EQUITY PORTFOLIO

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      200,000.00         100.00 % 

ALLIANZGI GLOBAL SMALL-CAP OPPTY PORT

    ALLIANZ FUND INVESTMENTS INC ATTN TODD M HEDTKE 5701 GOLDEN HILLS DR MINNEAPOLIS MN 55416-1297 (a)      333,333.33         100.00 % 

 

B-132

PROXY TABULATOR

PO BOX 55909

BOSTON, MA 02205-5909

       Your Vote is Important!
   LOGO    Vote by Internet
   Please go to the electronic voting site at www.2voteproxy.com/allianz. Follow the on-line instructions. If you vote by internet, you do not have to return your Proxy
   LOGO    Vote by Telephone
   Please call us toll-free at 1-800-830-3542, and follow the instructions provided. If you vote by telephone, you do not have to return your Proxy Card.
   LOGO    Vote by Mail
  

Mark, sign and date your Proxy Card and return it promptly in the envelope provided.

 

Please ensure the address below shows through the window of the enclosed postage paid return envelope.

     

 

PROXY TABULATOR

PO BOX 55909

BOSTON, MA 02205-9100

 

 

LOGO

ALLIANZ FUNDS

ALLIANZ FUNDS MULTI-STRATEGY TRUST

ALLIANZGI INSTITUTIONAL MULTI-SERIES TRUST

PROXY SOLICITED BY THE BOARD OF TRUSTEES

PROXY FOR SPECIAL MEETING OF SHAREHOLDERS TO BE HELD DECEMBER 18, 2014

The undersigned hereby appoints Lawrence G. Altadonna, Thomas J. Fuccillo and Julian Sluyters, and each of them separately, proxies, with power of substitution to each, and hereby authorizes them to represent and to vote, as designated on the reverse side, at the combined Special Meeting of Shareholders (the “Meeting”) of the series of Allianz Funds (“Allianz Funds”), Allianz Funds Multi-Strategy Trust (“MST”) and AllianzGI Institutional Multi-Series Trust (“IMST,” and together with Allianz Funds and MST, the “Trusts,” and each series thereof a “Fund” and together, the “Funds”), to be held on December 18, 2014 at 10:00 a.m., Eastern time, at the offices of Allianz Global Investors Fund Management LLC, 1633 Broadway, New York, New York 10019, and at any adjournments or postponements thereof, all of the shares of the Fund which the undersigned would be entitled to vote if personally present.

THIS PROXY WHEN PROPERLY EXECUTED WILL BE VOTED IN THE MANNER DIRECTED HEREIN BY THE UNDERSIGNED SHAREHOLDER. IF NO DIRECTION IS MADE, THIS PROXY WILL BE VOTED FOR EACH OF THE NOMINEES IN PROPOSAL 1.

 

NOTE: Please sign exactly as your name appears on this proxy card. All joint owners should sign. When signing as executor, administrator, attorney, Trustee or guardian or as custodian for a minor, please give full title as such. If a corporation, please sign in full corporate name and indicate the signer’s office. If a partner, sign in the partnership name.

Signature(s) (if held jointly):

    

    

 

Date:

  ALZ14-V3
 

YOUR VOTE IS IMPORTANT

Please complete, date, sign and mail your proxy card

in the envelope provided as soon as possible.

Important Notice Regarding the Availability of Proxy Materials for the Special Meeting:

The Proxy Statement is available at

www.2voteproxy.com/allianz

 

  ¨   Express Vote Option: To vote ALL accounts as the Board recommends for the Proposal, mark the box at the left. No other vote is necessary.

 

In their discretion, the proxies are authorized to vote upon such other business as may properly come before the Meeting or any adjournments or postponements thereof. The Board of Trustees of each Trust recommend a vote FOR the Proposal.

PLEASE MARK BOX BELOW IN BLUE OR BLACK INK AS FOLLOWS. Example: n

 

 

1.

      To Elect Trustees of the Trust:          
     (1 )    Deborah A. DeCotis      (5 )    Susan M. King      (9 )    Alan Rappaport
     (2 )    F. Ford Drummond      (6 )    James A. Jacobson      (10 )    Davey S. Scoon
     (3 )    Bradford K. Gallagher      (7 )    James S. MacLeod      (11 )    Julian Sluyters
     (4 )    Hans W. Kertess      (8 )    William B. Ogden, IV     

To withhold authority to vote for any individual nominee(s), write the number(s) of the nominee(s) on the line(s) below.

 

     FOR    WITHHOLD    FOR ALL EXCEPT         FOR    WITHHOLD    FOR ALL EXCEPT
     ALL    ALL    WITHHOLD FOR         ALL    ALL    WITHHOLD FOR
Fund 1    ¨    ¨    ¨                  Fund 4    ¨    ¨    ¨              
Fund 2    ¨    ¨    ¨                  Fund 5    ¨    ¨    ¨              
Fund 3    ¨    ¨    ¨                  Fund 6    ¨    ¨    ¨              

 

2.

    To consider and act upon such other matters as may properly come before the Meeting and any adjourned or postponed session thereof.

PLEASE SIGN ON THE REVERSE SIDE AND RETURN PROMPTLY IN THE ENCLOSED ENVELOPE.

ALZ14-V3

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