Index Funds and Ticker Symbols |
|
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
HYS |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
STPZ |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
LTPZ |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
ZROZ |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
TIPZ |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
CORP |
Actively Managed Funds and Ticker Symbols |
|
PIMCO Active Bond Exchange-Traded Fund |
BOND |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
LDUR |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
MINT |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
EMNT |
PIMCO Government Limited Maturity Active Exchange-Traded Fund |
GOVY |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
MUNI |
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
MINO |
PIMCO Prime Limited Maturity Active Exchange-Traded Fund |
PPRM |
PIMCO Senior Loan Active Exchange-Traded Fund |
LONZ |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
SMMU |
1 | |
1 | |
2 | |
2 | |
3 | |
12 | |
21 | |
22 | |
22 | |
25 | |
26 | |
26 | |
27 | |
28 | |
28 | |
29 | |
29 | |
30 | |
32 | |
32 | |
32 | |
33 | |
45 | |
47 | |
48 | |
49 | |
49 | |
62 | |
64 | |
64 | |
64 | |
65 | |
65 | |
66 | |
67 | |
67 | |
67 | |
67 | |
68 | |
68 | |
68 | |
69 | |
70 | |
70 | |
70 | |
71 | |
71 |
73 | |
74 | |
74 | |
74 | |
76 | |
76 | |
77 | |
81 | |
81 | |
81 | |
82 | |
82 | |
82 | |
83 | |
83 | |
83 | |
83 | |
84 | |
84 | |
90 | |
90 | |
91 | |
93 | |
93 | |
93 | |
94 | |
94 | |
95 | |
96 | |
97 | |
98 | |
99 | |
99 | |
102 | |
106 | |
108 | |
110 | |
111 | |
112 | |
113 | |
114 | |
115 | |
115 | |
116 | |
116 | |
116 | |
117 | |
118 | |
119 |
120 | |
120 | |
121 | |
122 | |
124 | |
124 | |
124 | |
125 | |
127 | |
127 | |
128 | |
129 | |
130 | |
131 | |
131 | |
132 | |
133 | |
133 | |
134 | |
134 | |
135 | |
135 | |
135 | |
136 | |
136 | |
136 | |
137 | |
137 | |
137 | |
138 | |
138 | |
138 | |
139 | |
139 | |
144 | |
145 | |
145 | |
147 | |
147 | |
147 | |
147 | |
148 | |
148
|
Name,
Year of Birth and Position
Held with Trust* |
Term of Office and Length of Time Served† |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee |
Other Public Company and Investment Company Directorships Held by Trustee During the Past 5 Years |
Interested Trustees1 |
Name,
Year of Birth and Position
Held with Trust* |
Term of Office and Length of Time Served† |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee |
Other Public Company and Investment Company Directorships Held by Trustee During the Past 5 Years |
Peter G. Strelow (1970) Chairman of the Board and Trustee |
05/2017 to present Chairman 02/2019 to present |
Managing Director and Co-Chief Operating Officer, PIMCO. Senior Vice President of the Trust, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. Formerly, Chief Administrative Officer, PIMCO. |
149 |
Chairman and Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT. |
Kimberley G. Stafford (1978) Trustee |
02/2021 to present |
Managing Director, Head of Asia Pacific, PIMCO; and Member of Executive Committee, PIMCO. Formerly, Global Head of Consultant Relations and Head of US Institutional and Alternatives Sales, PIMCO. |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT. |
Independent Trustees | ||||
George E. Borst (1948) Trustee |
04/2015 to present |
Executive Advisor, McKinsey & Company; Formerly, Executive Advisor, Toyota Financial Services; and CEO, Toyota Financial Services. |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT; Director, MarineMax Inc. |
Jennifer Holden Dunbar (1963) Trustee |
04/2015 to present |
Managing Director, Dunbar Partners, LLC (business consulting and investments). Formerly, Partner, Leonard Green & Partners, L.P. |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT; Director, PS Business Parks; Director, Big 5 Sporting Goods Corporation. |
Name,
Year of Birth and Position
Held with Trust* |
Term of Office and Length of Time Served† |
Principal Occupation(s) During Past 5 Years |
Number of Funds in Fund Complex Overseen by Trustee |
Other Public Company and Investment Company Directorships Held by Trustee During the Past 5 Years |
Kym M. Hubbard (1957) Trustee |
02/2017 to present |
Formerly, Global Head of Investments, Chief Investment Officer and Treasurer, Ernst & Young. |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT; Director, State Auto Financial Corporation. |
Gary F. Kennedy (1955) Trustee |
04/2015 to present |
Formerly, Senior Vice President, General Counsel and Chief Compliance Officer, American Airlines and AMR Corporation (now American Airlines Group). |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT. |
Peter B. McCarthy (1950) Trustee |
04/2015 to present |
Formerly, Assistant Secretary and Chief Financial Officer, United States Department of Treasury; Deputy Managing Director, Institute of International Finance. |
149 |
Trustee, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Ronald C. Parker (1951) Lead Independent Trustee |
07/2009 to present Lead Independent Trustee 02/2017 to present |
Director of Roseburg Forest Products Company. Formerly, Chairman of the Board, The Ford Family Foundation; and President, Chief Executive Officer, Hampton Affiliates (forestry products). |
149 |
Lead Independent Trustee, PIMCO Funds and PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Executive Officers | ||
Name, Year of Birth and Position Held with Trust* |
Term of Office and
Length of Time Served |
Principal Occupation(s) During Past 5 Years† |
Eric D. Johnson (1970) President |
06/2019 to present |
Executive Vice President and Head of Funds Business Group Americas, PIMCO. President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Executive Officers | ||
Name, Year of Birth and Position Held with Trust* |
Term of Office and Length of Time Served |
Principal Occupation(s) During Past 5 Years† |
Ryan G. Leshaw (1980) Chief Legal Officer and Secretary |
08/2021 to present |
Executive Vice President and Senior Counsel, PIMCO. Vice President, Senior Counsel and Secretary, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Chief Legal Officer, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. Formerly, Associate, Willkie Farr & Gallagher LLP. |
Keisha Audain-Pressley (1975)** Chief Compliance Officer |
01/2020 to present |
Executive Vice President and Deputy Chief Compliance Officer, PIMCO. Chief Compliance Officer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Joshua D. Ratner (1976)** Senior Vice President |
05/2019 to present |
Executive Vice President and Head of Americas Operations, PIMCO. Senior Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Peter G. Strelow (1970) Senior Vice President |
06/2019 to present |
Managing Director and Co-Chief Operating Officer, PIMCO. Senior Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. Formerly, Chief Administrative Officer, PIMCO. |
Wu-Kwan Kit (1981) Assistant Secretary |
08/2017 to present |
Senior Vice President and Senior Counsel, PIMCO. Assistant Secretary, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Vice President, Senior Counsel and Secretary, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. Formerly, Assistant General Counsel, VanEck Associates Corp. |
Jeffrey A. Byer (1976) Vice President |
02/2020 to present |
Executive Vice President, PIMCO. Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO ETF Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Elizabeth A. Duggan (1964) Vice President |
02/2021 to present |
Executive Vice President, PIMCO. Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. |
Mark A. Jelic (1981) Vice President |
08/2021 to present |
Senior Vice President, PIMCO. Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Executive Officers | ||
Name, Year of Birth and Position Held with Trust* |
Term of Office and Length of Time Served |
Principal Occupation(s) During Past 5 Years† |
Brian J. Pittluck (1977) Vice President |
01/2020 to present |
Senior Vice President, PIMCO. Vice President, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Bijal Y. Parikh (1978) Treasurer |
01/2021 to present |
Senior Vice President, PIMCO. Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Erik C. Brown (1967)*** Assistant Treasurer |
02/2009 to present |
Executive Vice President, PIMCO. Assistant Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Brandon T. Evans (1982) Assistant Treasurer |
05/2019 to present |
Vice President, PIMCO. Assistant Treasurer, Assistant Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Colleen D. Miller (1980)** Assistant Treasurer |
02/2017 to present |
Senior Vice President, PIMCO. Assistant Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series and PIMCO Equity Series VIT. Deputy Treasurer, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Jason J. Nagler (1982)*** Assistant Treasurer |
05/2015 to present |
Senior Vice President, PIMCO. Assistant Treasurer, PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO Equity Series, PIMCO Equity Series VIT, PIMCO Managed Accounts Trust, PIMCO-Sponsored Interval Funds and PIMCO-Sponsored Closed-End Funds. |
Name of Trustee |
Name of Fund |
Dollar
Range of Equity Securities in the Funds |
Aggregate Dollar
Range of Equity Securities in All
Funds Overseen by Trustee in Family of Investment Companies |
Kimberley G. Stafford* |
None |
None |
Over $100,000 |
Peter G. Strelow |
None |
None |
Over $100,000 |
Independent Trustees |
|
|
|
George E. Borst |
None |
None |
Over $100,000 |
Jennifer Holden Dunbar |
PIMCO Active Bond Exchange-Traded Fund |
$1-$10,000 |
Over $100,000 |
Kym M. Hubbard |
None |
None |
Over $100,000 |
Gary F. Kennedy |
None |
None |
Over $100,000 |
Peter B. McCarthy |
None |
None |
Over $100,000 |
Ronald C. Parker |
None |
None |
Over $100,000 |
Name of Independent Trustee |
Name of
Owners and Relationships to Trustee |
Company |
Title of
Class |
Value
of Securities |
Percent of Class |
George E. Borst |
None |
None |
None |
None |
None |
Jennifer Holden Dunbar |
None |
None |
None |
None |
None |
Kym M. Hubbard |
None |
None |
None |
None |
None |
Gary F. Kennedy |
None |
None |
None |
None |
None |
Peter B. McCarthy |
None |
None |
None |
None |
None |
Ronald C. Parker |
None |
None |
None |
None |
None |
Name and Position |
Aggregate
Compensation
from Trust1 |
Pension or Retirement
Benefits Accrued As
Part of Funds Expenses |
Total Compensation
from Trust and Fund
Complex Paid to Trustees |
George E. Borst, Trustee |
$43,750 |
N/A |
$458,375 |
Jennifer Holden Dunbar, Trustee |
$43,750 |
N/A |
$458,375 |
Kym M. Hubbard, Trustee |
$44,600 |
N/A |
$451,375 |
Gary F. Kennedy, Trustee |
$44,600 |
N/A |
$451,375 |
Peter B. McCarthy, Trustee |
$45,400 |
N/A |
$478,375 |
Ronald C. Parker, Trustee |
$45,400 |
N/A |
$478,375 |
Fund(*) |
|
Index Funds |
Management Fee Rate |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
0.55% |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
0.20% |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
0.20% |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
0.15% |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
0.20% |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
0.20% |
Active Funds |
|
PIMCO Active Bond Exchange-Traded Fund |
0.55% |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
0.46% |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
0.35% |
Fund(*) |
|
Index Funds |
Management Fee Rate |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
0.36% |
PIMCO Government Limited Maturity Active Exchange-Traded Fund |
0.25% |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
0.35% |
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
0.49% |
PIMCO Prime Limited Maturity Active Exchange-Traded Fund |
0.25% |
PIMCO Senior Loan Active Exchange-Traded Fund |
0.70% |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
0.35% |
Fund |
Year Ended
6/30/21 |
Year Ended
6/30/20 |
Year Ended
6/30/19 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
$9,126,133 |
$7,917,581 |
$8,566,041 |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
1,468,742 |
1,387,088 |
1,604,676 |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
1,269,399 |
548,408 |
404,967 |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
573,751 |
489,624 |
258,493 |
PIMCO Active Bond Exchange-Traded Fund |
21,833,960 |
15,959,618 |
11,333,742 |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
251,911 |
107,483 |
106,052 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
3,740,771 |
1,986,033 |
1,108,874 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
503,714 |
134,912 |
N/A |
Fund |
Year Ended
6/30/21 |
Year Ended
6/30/20 |
Year Ended
6/30/19 |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
50,263,908 |
45,916,448 |
39,436,712 |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
1,990,313 |
1,276,802 |
990,728 |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
1,582,112 |
1,303,542 |
1,413,195 |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
1,057,851 |
425,040 |
280,338 |
Fund |
Year Ended
6/30/21 |
Year Ended
6/30/20 |
Year Ended
6/30/19 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Active Bond Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
$886 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
$149,444 |
$307,718 |
174,053 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
169,688 |
128,290 |
N/A |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
Fund |
Year Ended
6/30/21 |
Year Ended
6/30/20 |
Year Ended
6/30/19 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Active Bond Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
N/A |
N/A |
$2,059 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
$39,847 |
$21,156 |
11,812 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
6,856 |
94 |
N/A |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
N/A |
N/A |
N/A |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
N/A |
N/A |
N/A |
|
Total
Number of Accounts |
Total
Assets of All Accounts (in $millions) |
Number
of Accounts Paying a Performance Fee |
Total Assets of Accounts Paying
a Performance Fee (in $millions) |
Agrawal1
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
8 |
$22,022.61 |
0 |
$0.00 |
Other Accounts |
1 |
$13.64 |
0 |
$0.00 |
Betton2
|
|
|
|
|
Registered Investment Companies |
10 |
$8,595.67 |
0 |
$0.00 |
Pooled Investment Vehicles |
2 |
$217.55 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Braun3
|
|
|
|
|
Registered Investment Companies |
4 |
$15,754.18 |
0 |
$0.00 |
Pooled Investment Vehicles |
5 |
$1,784.69 |
0 |
$0.00 |
Other Accounts |
91 |
$167,344.92 |
0 |
$0.00 |
Brons4
|
|
|
|
|
Registered Investment Companies |
4 |
$2,820.62 |
0 |
$0.00 |
Pooled Investment Vehicles |
17 |
$4,788.80 |
2 |
$538.62 |
Other Accounts |
51 |
$25,005.87 |
11 |
$6,996.97 |
Bui5 |
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
2 |
$5,859.09 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Chiaverini6
|
|
|
|
|
Registered Investment Companies |
2 |
$16,870.60 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
12 |
$2,448.30 |
0 |
$0.00 |
Christine7
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Crowley8
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Dora9
|
|
|
|
|
|
Total
Number of Accounts |
Total
Assets of All Accounts (in $millions) |
Number
of Accounts Paying a Performance Fee |
Total Assets of Accounts Paying
a Performance Fee (in $millions) |
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Dorsten10
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
8 |
$4,490.93 |
3 |
$992.89 |
Other Accounts |
2 |
$1,533.81 |
0 |
$0.00 |
Forgash11
|
|
|
|
|
Registered Investment Companies |
1 |
$432.87 |
0 |
$0.00 |
Pooled Investment Vehicles |
18 |
$5,822.66 |
0 |
$0.00 |
Other Accounts |
4 |
$1,127.74 |
0 |
$0.00 |
Hammer12
|
|
|
|
|
Registered Investment Companies |
21 |
$12,298.92 |
0 |
$0.00 |
Pooled Investment Vehicles |
9 |
$10,031.84 |
5 |
$9,549.71 |
Other Accounts |
149 |
$13,150.77 |
0 |
$0.00 |
He13 |
|
|
|
|
Registered Investment Companies |
16 |
$25,849.13 |
0 |
$0.00 |
Pooled Investment Vehicles |
1 |
$253.40 |
0 |
$0.00 |
Other Accounts |
7 |
$2,725.61 |
0 |
$0.00 |
Hyman14
|
|
|
|
|
Registered Investment Companies |
7 |
$12,285.02 |
0 |
$0.00 |
Pooled Investment Vehicles |
7 |
$2,899.05 |
1 |
$3.60 |
Other Accounts |
29 |
$28,527.80 |
4 |
$5,541.83 |
Kemp15
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Nambimadom16
|
|
|
|
|
Registered Investment Companies |
0 |
$0.00 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
0 |
$0.00 |
0 |
$0.00 |
Pier17
|
|
|
|
|
Registered Investment Companies |
6 |
$21,338.57 |
0 |
$0.00 |
Other Pooled Investment Vehicles |
15 |
$3,162.80 |
0 |
$0.00 |
Other Accounts |
24 |
$113,524.60 |
0 |
$0.00 |
Rennison18
|
|
|
|
|
Registered Investment Companies |
17 |
$9,863.40 |
0 |
$0.00 |
Pooled Investment Vehicles |
1 |
$72.72 |
0 |
$0.00 |
Other Accounts |
1 |
$416.73 |
0 |
$0.00 |
Schneider19
|
|
|
|
|
Registered Investment Companies |
18 |
$88,498.62 |
0 |
$0.00 |
Pooled Investment Vehicles |
8 |
$21,730.00 |
0 |
$0.00 |
Other Accounts |
35 |
$33,141.03 |
3 |
$4,190.19 |
Wittkop20
|
|
|
|
|
Registered Investment Companies |
4 |
$26,627.32 |
0 |
$0.00 |
Pooled Investment Vehicles |
0 |
$0.00 |
0 |
$0.00 |
Other Accounts |
16 |
$6,671.04 |
0 |
$0.00 |
Portfolio Manager |
Funds Managed by Portfolio Manager1 |
Dollar Range of Shares Owned |
Agrawal |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
None |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
None | |
Betton2
|
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
None |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
None | |
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
None | |
Braun |
PIMCO Active Bond Exchange-Traded Fund |
Over $1,000,000 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
None | |
Brons |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
None |
Bui3
|
PIMCO Senior Loan Active Exchange-Traded Fund |
None |
Chiaverini4
|
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
$50,001 - $100,000 |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
None | |
Christine5
|
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
None |
Crowley |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
None |
Dora6
|
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
None |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
None | |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
None | |
PIMCO Senior Loan Active Exchange-Traded Fund5
|
None |
Portfolio Manager |
Funds Managed by Portfolio Manager1 |
Dollar Range of Shares Owned |
Dorsten |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
None |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
None | |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
None | |
Forgash7
|
PIMCO Senior Loan Active Exchange-Traded Fund |
None |
Hammer8
|
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
None |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
None | |
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
None | |
He |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
None |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
None | |
Hyman |
PIMCO Active Bond Exchange-Traded Fund |
None |
Kemp9
|
PIMCO Senior Loan Active Exchange-Traded Fund |
None |
Rennison |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
None |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
None | |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
$1-$10,000 | |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
None | |
Nambimadom |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
None |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
None |
Portfolio Manager |
Funds Managed by Portfolio Manager1 |
Dollar Range of Shares Owned |
Pier |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
None |
Schneider |
PIMCO Active Bond Exchange-Traded Fund |
None |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
$100,001-$500,000 | |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
$500,001 - $1,000,000 | |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
None | |
Wittkop10
|
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
None |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
$500,001 - $1,000,000 |
Fund |
Creation Unit Size |
PIMCO Government Limited Maturity Active Exchange-Traded Fund |
90,000 |
PIMCO Prime Limited Maturity Active Exchange-Traded Fund |
|
Fund |
Creation Unit Size |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
70,000 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
50,000 |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
|
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
|
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
|
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
|
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
|
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
|
PIMCO Active Bond Exchange-Traded Fund |
20,000 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
|
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
|
PIMCO Municipal Income Opportunities Active Exchange-Traded Fund |
|
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
|
PIMCO Senior Loan Active Exchange-Traded Fund |
|
|
Settlement Date | ||
Funds |
Securities Creations
and Redemptions |
Cash
Creations |
Cash Redemptions |
Index Funds (except PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund and PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund) |
T+1 |
T+1 |
T+1 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund and PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
T+2 |
T+1 |
T+2 |
Active Funds |
T+2 |
T+1 |
T+2 |
Funds |
Standard Creation
Transaction Fee* |
Maximum Variable
Charge for Creations** |
All Funds |
$500 |
3.00% |
Funds |
Standard Redemption Transaction Fee* |
Maximum Variable Charge for Redemptions** |
All Funds |
$500 |
2.00% |
Fund(1) |
Year Ended
06/30/21 |
Year Ended
06/30/20 |
Year Ended
06/30/19 |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
$5,536 |
$6,308 |
$22,725 |
PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
None |
None |
None |
PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
None |
None |
None |
PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
None |
None |
None |
PIMCO Active Bond Exchange-Traded Fund |
13,601 |
7,704 |
28,961 |
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
None |
None |
None |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
44,476 |
40,457 |
25,640 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
None |
None |
None |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
None |
None |
None |
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund |
None |
None |
None |
PIMCO Investment Grade Corporate Bond Exchange-Traded Fund |
2,604 |
2,385 |
5,087 |
PIMCO Short Term Municipal Bond Active Exchange-Traded Fund |
None |
None |
None |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
BNP Paribas Securities Corp. |
$34,400 |
PIMCO Active Bond Exchange-Traded Fund |
Banc of America Securities LLC |
$127,383 |
|
JPMorgan Chase & Co. |
83,040 |
|
Wells Fargo & Co. |
73,162 |
|
Citigroup Global Markets, Inc |
71,102 |
|
Credit Suisse (USA), Inc. |
66,258 |
|
Morgan Stanley & Co., Inc. |
57,656 |
|
Goldman Sachs & Co. |
45,914 |
|
Barclays, Inc. |
35,514 |
|
Deutsche Bank Securities, Inc. |
23,028 |
|
RBS Securities, Inc. |
17,336 |
|
BNP Paribas Securities Corp. |
12,434 |
|
SG AMERICAS SECURITIES |
6,605 |
|
State Street Bank & Trust Co. |
5,480 |
PIMCO Enhanced Low Duration Active Exchange-Traded Fund |
Barclays, Inc. |
$11,622 |
|
Credit Suisse (USA), Inc. |
9,402 |
|
RBS Securities, Inc. |
9,160 |
|
Citigroup Global Markets, Inc |
8,394 |
|
JPMorgan Chase & Co. |
7,907 |
|
Wells Fargo & Co. |
6,001 |
|
SG AMERICAS SECURITIES |
5,156 |
|
Goldman Sachs & Co. |
2,334 |
|
Morgan Stanley & Co., Inc. |
1,243 |
|
Banc of America Securities LLC |
1,096 |
|
Credit Agricole Securities (USA) Inc |
296 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
RBS Securities, Inc. |
$2,337 |
|
Barclays, Inc. |
2,317 |
|
Deutsche Bank Securities, Inc. |
2,111 |
|
BNP Paribas Securities Corp. |
1,600 |
|
Citigroup Global Markets, Inc |
1,524 |
|
JPMorgan Chase & Co. |
1,274 |
|
Credit Suisse (USA), Inc. |
1,001 |
|
RBC Capital Markets Corp. |
550 |
|
Morgan Stanley & Co., Inc. |
508 |
|
Banc of America Securities LLC |
201 |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
Barclays, Inc. |
$418,504 |
|
Goldman Sachs & Co. |
236,628 |
|
Deutsche Bank Securities, Inc. |
198,407 |
|
JPMorgan Chase & Co. |
189,988 |
|
Citigroup Global Markets, Inc |
186,182 |
|
RBS Securities, Inc. |
185,176 |
|
Wells Fargo & Co. |
179,786 |
|
Morgan Stanley & Co., Inc. |
162,064 |
|
Banc of America Securities LLC |
149,955 |
|
RBC Capital Markets Corp. |
130,739 |
|
Credit Suisse (USA), Inc. |
123,950 |
|
SG AMERICAS SECURITIES |
80,500 |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
SG AMERICAS SECURITIES |
$41,107 |
|
Banc of America Securities LLC |
20,854 |
|
JPMorgan Chase & Co. |
13,952 |
|
Goldman Sachs & Co. |
8,138 |
|
Citigroup Global Markets, Inc |
8,136 |
|
Wells Fargo & Co. |
7,957 |
|
Barclays, Inc. |
5,910 |
|
Morgan Stanley & Co., Inc. |
4,464 |
|
RBS Securities, Inc. |
4,162 |
|
BNP Paribas Securities Corp. |
4,059 |
|
Deutsche Bank Securities, Inc. |
3,679 |
|
Credit Suisse (USA), Inc. |
2,929 |
PORTFOLIO NAME
|
REGISTRATION |
SHARES BENEFICIALLY OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
3,391,349.00 |
16.65% |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
2,829,420.00 |
13.89% |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
1,927,683.00 |
9.46% |
PORTFOLIO NAME
|
REGISTRATION |
SHARES
BENEFICIALLY
OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
1,807,749.00 |
8.87% |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
FIRST CLEARING LLC 2801
MARKET ST SAINT LOUIS, MO
63103-2523 |
1,226,820.00 |
6.02% |
PIMCO 1-5 Year U.S. TIPS
Index Exchange-Traded
Fund |
RELIANCE TRUST
COMPANY/FIS TRUSTDESK
MKE 1100 ABERNATHY ROAD
SUITE 400 ATLANTA GA
30328-5634 |
1,139,663.00 |
5.59% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
2,674,952.00 |
27.38% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
1,008,505.00 |
10.32% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
829,085.00 |
8.49% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
CITIGROUP GLOBAL MARKETS
390 GREENWICH STREET, 3RD
FLOOR NEW YORK, NY 10013 |
639,863.00 |
6.55% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
FIRST CLEARING LLC 2801
MARKET ST SAINT LOUIS, MO
63103-2523 |
591,986.00 |
6.06% |
PIMCO 15+ Year U.S. TIPS
Index Exchange-Traded
Fund |
INTERACTIVE BROKERS TWO
PICKWICK PLAZA
GREENWICH, CT 06830 |
540,523.00 |
5.53% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
494,250.00 |
16.31% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
379,412.00 |
12.52% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
LPL FINANCIAL 9785 TOWNE
CENTRE DRIVE SAN DIEGO CA
92121-1968 |
351,110.00 |
11.59% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
311,614.00 |
10.28% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
PERSHING LLC 1 PERSHING
PLZ JERSEY CITY, NJ 07399-000
|
282,196.00 |
9.31% |
PORTFOLIO NAME
|
REGISTRATION |
SHARES
BENEFICIALLY
OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
RAYMOND JAMES &
ASSOCIATES, INC. 880
CARILLON PARKWAY ST.
PETERSBURG, FL 33733-2749 |
261,428.00 |
8.63% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
200,634.00 |
6.62% |
PIMCO Broad U.S. TIPS Index
Exchange-Traded Fund |
CITIBANK, N.A./S.D. INDEVAL
INSTITUCION PARA EL
DEPOSITO DE VALORES 111
WALL STREET, NEW YORK, NY
10003 |
167,353.00 |
5.52% |
PIMCO Enhanced Short
Maturity Active ESG
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
309,998.00 |
31.95% |
PIMCO Enhanced Short
Maturity Active ESG
Exchange-Traded Fund |
JPMORGAN CHASE BANK,
NATIONAL ASSOCIATION ONE
METROTECH CENTER
NORTH-4TH FLOOR
BROOKLYN, NY 11201-3859 |
136,458.00 |
14.06% |
PIMCO Enhanced Short
Maturity Active ESG
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
108,337.00 |
11.17% |
PIMCO Enhanced Short
Maturity Active ESG
Exchange-Traded Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
98,428.00 |
10.15% |
PIMCO Enhanced Low
Duration Active
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
2,385,368.00 |
20.08% |
PIMCO Enhanced Low
Duration Active
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
2,243,306.00 |
18.88% |
PIMCO Enhanced Low
Duration Active
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
1,744,176.00 |
14.68% |
PIMCO Enhanced Low
Duration Active
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
1,134,686.00 |
9.55% |
PIMCO Enhanced Low
Duration Active
Exchange-Traded Fund |
STATE STREET BANK & TRUST
1776 HERITAGE DRIVE NORTH
QUINCY, MA 02171 |
747,608.00 |
6.29% |
PIMCO Active Bond
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
9,227,858.00 |
23.67% |
PORTFOLIO NAME
|
REGISTRATION |
SHARES
BENEFICIALLY
OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO Active Bond
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
5,215,401.00 |
13.38% |
PIMCO Active Bond
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
4,929,914.00 |
12.65% |
PIMCO Active Bond
Exchange-Traded Fund |
PERSHING LLC 1 PERSHING
PLZ JERSEY CITY, NJ 07399-000
|
2,178,900.00 |
5.59% |
PIMCO Active Bond
Exchange-Traded Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
2,074,834.00 |
5.32% |
PIMCO Active Bond
Exchange-Traded Fund |
FIRST CLEARING LLC 2801
MARKET ST SAINT LOUIS, MO
63103-2523 |
2,007,153.00 |
5.15% |
PIMCO 0-5 Year High Yield
Corporate Bond Index
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
2,947,537.00 |
14.41% |
PIMCO 0-5 Year High Yield
Corporate Bond Index
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
2,302,466.00 |
11.26% |
PIMCO 0-5 Year High Yield
Corporate Bond Index
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
2,073,873.00 |
10.14% |
PIMCO 0-5 Year High Yield
Corporate Bond Index
Exchange-Traded Fund |
JP MORGAN SECURITIES CORP.
383 MADISON AVENUE NEW
YORK, NY 10179 |
1,785,612.00 |
8.73% |
PIMCO 0-5 Year High Yield
Corporate Bond Index
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
1,094,318.00 |
5.35% |
PIMCO Investment Grade
Corporate Bond Index
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
3,216,530.00 |
45.75% |
PIMCO Investment Grade
Corporate Bond Index
Exchange-Traded Fund |
BANK OF NEW YORK MELLON
ONE WALL STREET NEW
YORK, NEW YORK 10286 |
629,419.00 |
8.95% |
PIMCO Investment Grade
Corporate Bond Index
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
437,324.00 |
6.22% |
PIMCO Investment Grade
Corporate Bond Index
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
398,119.00 |
5.66% |
PORTFOLIO NAME
|
REGISTRATION |
SHARES
BENEFICIALLY
OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO Investment Grade
Corporate Bond Index
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
387,137.00 |
5.51% |
PIMCO Enhanced Short
Maturity Active
Exchange-Traded Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
34,410,987.00 |
24.37% |
PIMCO Enhanced Short
Maturity Active
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
25,933,599.00 |
18.36% |
PIMCO Enhanced Short
Maturity Active
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
16,275,165.00 |
11.52% |
PIMCO Enhanced Short
Maturity Active
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
10,092,324.00 |
7.15% |
PIMCO Enhanced Short
Maturity Active
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
9,252,549.00 |
6.55% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
2,353,446.00 |
19.43% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
2,187,258.00 |
18.06% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
1,576,180.00 |
13.02% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
882,436.00 |
7.29% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
LPL FINANCIAL 9785 TOWNE
CENTRE DRIVE SAN DIEGO CA
92121-1968 |
822,547.00 |
6.79% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
722,427.00 |
5.97% |
PIMCO Intermediate
Municipal Bond Active
Exchange-Traded Fund |
FIRST CLEARING LLC 2801
MARKET ST SAINT LOUIS, MO
63103-2523 |
664,603.00 |
5.49% |
PORTFOLIO NAME
|
REGISTRATION |
SHARES
BENEFICIALLY
OWNED |
PERCENTAGE OF
OUTSTANDING
SHARES OF
CLASS OWNED |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
3,100,797.00 |
28.95% |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
2,314,446.00 |
21.61% |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
1,270,445.00 |
11.86% |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
1,036,138.00 |
9.67% |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
MORGAN STANLEY SMITH
BARNEY HARBORSIDE
FINANCIAL CENTER,PLAZA 2
JERSEY CITY, NJ 07311 |
863,695.00 |
8.06% |
PIMCO Short Term
Municipal Bond Active
Exchange-Traded Fund |
JP MORGAN SECURITIES CORP.
383 MADISON AVENUE NEW
YORK, NY 10179 |
674,063.00 |
6.29% |
PIMCO 25+ Year Zero
Coupon U.S. Treasury
Index Exchange-Traded
Fund |
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST SAN
FRANCISCO CA 94104-4151 |
455,698.00 |
16.45% |
PIMCO 25+ Year Zero
Coupon U.S. Treasury
Index Exchange-Traded
Fund |
TD AMERITRADE INC PO BOX
2226 OMAHA NE 68103-2226 |
455,551.00 |
16.45% |
PIMCO 25+ Year Zero
Coupon U.S. Treasury
Index Exchange-Traded
Fund |
NATIONAL FINANCIAL
SERVICES LLC 200 LIBERTY ST,
ONE WORLD FINANCIAL
CENTER NEW YORK NY
10281-1003 |
298,451.00 |
10.77% |
PIMCO 25+ Year Zero
Coupon U.S. Treasury
Index Exchange-Traded
Fund |
JP MORGAN SECURITIES CORP.
383 MADISON AVENUE NEW
YORK, NY 10179 |
281,433.00 |
10.16% |
PIMCO 25+ Year Zero
Coupon U.S. Treasury
Index Exchange-Traded
Fund |
MERRILL LYNCH
PROFESSIONAL CLEARING
CORP. 222 BROADWAY NEW
YORK, NY 10038 |
158,456.00 |
5.72% |
Fund |
Gross Income from Securities
Lending Activities |
Fees Paid to Securities
Lending Agent from a Revenue
Split |
Rebates Paid to Borrowers |
Aggregate Fees/ Compensation for
Securities Lending Activities |
Net Income from Securities
Lending Activities |
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund |
$282,141.40
|
$33,424.59
|
$8.58
|
$33,433.17
|
$248,708.23
|
PIMCO Enhanced Low Duration Active Exchanged-Traded Fund |
$268.27 |
$35.51 |
$0.00
|
$35.51 |
$232.76 |
PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund |
$190.32 |
$19.03 |
$0.00
|
$19.03 |
$171.29 |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund |
$13,155.95 |
$1,345.43 |
$0.00
|
$1,345.43 |
$11,810.52 |
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
$317.71 |
$35.52 |
$0.00
|
$35.52 |
$282.19 |