Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PIMCO Dynamic Credit & Mortgage Income FundPCI · Entity 132343 | See Remarks | June 12, 2020 | June 16, 2020 |
| PIMCO Dynamic Income FundPDI · Entity 3704 | See Remarks | March 09, 2020 | March 10, 2020 |
| PIMCO Dynamic Income Strategy FundNRGX · Entity 4973 | SEE REMARKS | January 30, 2019 | February 12, 2020 |
| PIMCO Flexible Credit Income FundPFLEX · Entity 10159 | SEE REMARKS | February 09, 2017 | February 09, 2017 |
| PIMCO Flexible Municipal Income FundPMFLX · Entity 9851 | SEE REMARKS | July 19, 2018 | July 19, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PIMCO Dynamic Credit & Mortgage Income Fund
Report date June 12, 2020 · Filed June 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBY DCP | 5,000 |
Reported balance
After 2020-06-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-06-12 · Purchase · Acquired 5,000 · Balance 5,000 |
| COMMON STOCKSEC Table I · non-derivative | IndirectBY FAMILY TRUST | 25,264 |
Reported balance
Holding disclosure · report date 2020-06-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 25,264 F1: Includes 4,306 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 4,306 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person.
PIMCO Dynamic Income Fund
Report date March 09, 2020 · Filed March 10, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBY FAMILY TRUST | 20,298 |
Reported balance
After 2020-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-03-09 · Purchase · Acquired 5,000 · Balance 20,298 F1: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $29.11 to $29.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. F2: Includes approximately 2,156 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $29.11 to $29.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote.
F2: Includes approximately 2,156 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person.
PIMCO Dynamic Income Strategy Fund
Report date January 30, 2019 · Filed February 12, 2020 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | IndirectBY DCP | 25,000 |
Reported balance
After 2019-01-30 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-01-30 · Purchase · Acquired 25,000 · Balance 25,000 F1: See original filing for pricing footnote. F2: This Form 4 is amended solely to clarify that the prior filing inadvertently reported shares as directly owned by the Reporting Person instead of indirectly held through a deferred compensation plan. |
Filing footnotes · ownership attribution and instrument terms
F1: See original filing for pricing footnote.
F2: This Form 4 is amended solely to clarify that the prior filing inadvertently reported shares as directly owned by the Reporting Person instead of indirectly held through a deferred compensation plan.
PIMCO Flexible Credit Income Fund
Report date February 09, 2017 · Filed February 09, 2017
This filing explicitly reported no securities owned.
PIMCO Flexible Municipal Income Fund
Report date July 19, 2018 · Filed July 19, 2018
This filing explicitly reported no securities owned.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 12, 2020 Filed Jun 16, 2020 18:14 UTC | PIMCO Dynamic Credit & Mortgage Income Fund PCI · Entity 132343 | PurchaseCOMMON STOCK | 5,000 | $18.27 | $91,350.00 |
DisclosureSEC source: 0001209191-20-037056 · doc4.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY DCP Disclosed balance after: 5,000 Read SEC document |
| March 09, 2020 Filed Mar 10, 2020 16:45 UTC | PIMCO Dynamic Income Fund PDI · Entity 3704 | PurchaseCOMMON STOCK | 5,000 | $29.12 | $145,588.50 |
DisclosureSEC source: 0001209191-20-017700 · doc4.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 20,298 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $29.11 to $29.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes approximately 2,156 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 21:49 UTC | PIMCO Dynamic Income Strategy Fund NRGX · Entity 4973 | PurchaseCommon Shares | 25,000 | $20.00 | $500,000.00 |
DisclosureSEC source: 0001209191-19-006469 · doc4.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Read SEC document |
| January 30, 2019 Filed Feb 12, 2020 23:54 UTC Amendment | PIMCO Dynamic Income Strategy Fund NRGX · Entity 4973 | PurchaseCOMMON STOCK | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008992 · doc4a.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Indirect · BY DCP Disclosed balance after: 25,000 F1 · price: See original filing for pricing footnote. F2 · ownership.direct: This Form 4 is amended solely to clarify that the prior filing inadvertently reported shares as directly owned by the Reporting Person instead of indirectly held through a deferred compensation plan. Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:40 UTC | PIMCO Dynamic Credit & Mortgage Income Fund PCI · Entity 132343 | PurchaseCOMMON STOCK | 5,000 | $22.29 | $111,459.00 |
DisclosureSEC source: 0001209191-18-054981 · doc4.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,958 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $22.2199 to $22.3996, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 3,561 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person. Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 16:33 UTC | PIMCO Dynamic Income Fund PDI · Entity 3704 | PurchaseCOMMON STOCK | 4,000 | $30.68 | $122,719.60 |
DisclosureSEC source: 0001209191-18-054976 · doc4.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,142 F1 · price: The price reported in Column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $30.4899 to $30.8699, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. F2 · balance_after: Includes 2,253 shares acquired on various dates under a qualified dividend reinvestment plan since the last Form 4 filed by the Reporting Person. Read SEC document |
| October 11, 2018 Filed Feb 12, 2020 18:50 UTC Amendment | PIMCO Dynamic Income Fund PDI · Entity 3704 | PurchaseCOMMON STOCK | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008989 · doc4a.xml · nonDerivative · entry 3 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 13,142 F5 · date: The Form 4 being amended hereby for this transaction was filed on October 15, 2018. F1 · price: See original applicable filing for pricing footnote. F4 · balance_after: Includes 789 and 2,253 shares, respectively, acquired under a qualified dividend reinvestment plan on various dates since the then prior Form 4 filing. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
| October 11, 2018 Filed Feb 12, 2020 18:46 UTC Amendment | PIMCO Dynamic Credit & Mortgage Income Fund PCI · Entity 132343 | PurchaseCOMMON STOCK | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008985 · doc4a.xml · nonDerivative · entry 3 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 20,958 F5 · date: The Form 4 being amended hereby for this transaction was filed on October 15, 2018. F1 · price: See original applicable filing for pricing footnote. F4 · balance_after: Includes 397 and 3,561 shares, respectively, acquired under a qualified dividend reinvestment plan on various dates since the then prior Form 4 filing. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
| April 20, 2016 Filed Feb 12, 2020 18:50 UTC Amendment | PIMCO Dynamic Income Fund PDI · Entity 3704 | PurchaseCOMMON STOCK | 1,100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008989 · doc4a.xml · nonDerivative · entry 2 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 6,889 F3 · date: The Form 4 being amended hereby for this transaction was filed on April 22, 2016. F1 · price: See original applicable filing for pricing footnote. F4 · balance_after: Includes 789 and 2,253 shares, respectively, acquired under a qualified dividend reinvestment plan on various dates since the then prior Form 4 filing. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
| April 20, 2016 Filed Feb 12, 2020 18:46 UTC Amendment | PIMCO Dynamic Credit & Mortgage Income Fund PCI · Entity 132343 | PurchaseCOMMON STOCK | 7,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008985 · doc4a.xml · nonDerivative · entry 2 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 12,397 F3 · date: The Form 4 being amended hereby for this transaction was filed on April 22, 2016. F1 · price: See original applicable filing for pricing footnote. F4 · balance_after: Includes 397 and 3,561 shares, respectively, acquired under a qualified dividend reinvestment plan on various dates since the then prior Form 4 filing. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
| September 04, 2015 Filed Feb 12, 2020 18:50 UTC Amendment | PIMCO Dynamic Income Fund PDI · Entity 3704 | PurchaseCOMMON STOCK | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008989 · doc4a.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 5,000 F1 · price: See original applicable filing for pricing footnote. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
| September 04, 2015 Filed Feb 12, 2020 18:46 UTC Amendment | PIMCO Dynamic Credit & Mortgage Income Fund PCI · Entity 132343 | PurchaseCOMMON STOCK | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-008985 · doc4a.xml · nonDerivative · entry 1 Otterbein Thomas J · CIK 0001423452 · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · BY FAMILY TRUST Disclosed balance after: 5,000 F1 · price: See original applicable filing for pricing footnote. F2 · ownership.direct: These Form 4s are amended solely to clarify that the prior filings inadvertently reported the shares as directly owned by the Reporting Person instead of indirectly held through a family trust. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.