person · Reporting owner
BUFFINGTON THOMAS MATTHEW
Disclosed activity across 8 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PIMCO CALIFORNIA MUNICIPAL INCOME FUNDPCQ · Entity 8870 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO CALIFORNIA MUNICIPAL INCOME FUND IIPCK · Entity 11255 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO CALIFORNIA MUNICIPAL INCOME FUND IIIPZC · Entity 11257 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO MUNICIPAL INCOME FUNDPMF · Entity 11254 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO MUNICIPAL INCOME FUND IIPML · Entity 8878 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO MUNICIPAL INCOME FUND IIIPMX · Entity 11252 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO NEW YORK MUNICIPAL INCOME FUNDPNF · Entity 11256 | Director | January 29, 2020 | January 30, 2020 |
| PIMCO NEW YORK MUNICIPAL INCOME FUND IIPNI · Entity 8879 | Director | January 29, 2020 | January 30, 2020 |
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 CALIFORNIA MUNICIPAL INCOME FUND
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 5 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO CALIFORNIA MUNICIPAL INCOME FUND II
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 2 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO CALIFORNIA MUNICIPAL INCOME FUND III
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 14 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO MUNICIPAL INCOME FUND
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 41 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO MUNICIPAL INCOME FUND II
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 42 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO MUNICIPAL INCOME FUND III
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 25 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO NEW YORK MUNICIPAL INCOME FUND
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 10 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
PIMCO NEW YORK MUNICIPAL INCOME FUND II
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Auction Rate Preferred SharesSEC Table I · non-derivative | IndirectBy Dryden Capital Fund, LP | 0 |
Reported balance
After 2020-01-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-01-29 · Sale · Disposed 8 · Balance 0 F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| January 29, 2020 Filed Jan 30, 2020 21:41 UTC | PIMCO CALIFORNIA MUNICIPAL INCOME FUND PCQ · Entity 8870 | SaleAuction Rate Preferred Shares | 5 | $22,000.00 | $110,000.00 |
DisclosureSEC source: 0001209191-20-005542 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 16:57 UTC | PIMCO MUNICIPAL INCOME FUND III PMX · Entity 11252 | SaleAuction Rate Preferred Shares | 25 | $22,000.00 | $550,000.00 |
DisclosureSEC source: 0001209191-20-005563 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 21:50 UTC | PIMCO MUNICIPAL INCOME FUND PMF · Entity 11254 | SaleAuction Rate Preferred Shares | 41 | $22,000.00 | $902,000.00 |
DisclosureSEC source: 0001209191-20-005551 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 22:00 UTC | PIMCO NEW YORK MUNICIPAL INCOME FUND PNF · Entity 11256 | SaleAuction Rate Preferred Shares | 10 | $22,000.00 | $220,000.00 |
DisclosureSEC source: 0001209191-20-005572 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 21:52 UTC | PIMCO MUNICIPAL INCOME FUND II PML · Entity 8878 | SaleAuction Rate Preferred Shares | 42 | $22,000.00 | $924,000.00 |
DisclosureSEC source: 0001209191-20-005552 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 21:45 UTC | PIMCO CALIFORNIA MUNICIPAL INCOME FUND II PCK · Entity 11255 | SaleAuction Rate Preferred Shares | 2 | $22,000.00 | $44,000.00 |
DisclosureSEC source: 0001209191-20-005549 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 22:02 UTC | PIMCO NEW YORK MUNICIPAL INCOME FUND II PNI · Entity 8879 | SaleAuction Rate Preferred Shares | 8 | $22,000.00 | $176,000.00 |
DisclosureSEC source: 0001209191-20-005577 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. Read SEC document |
| January 29, 2020 Filed Jan 30, 2020 16:48 UTC | PIMCO CALIFORNIA MUNICIPAL INCOME FUND III PZC · Entity 11257 | SaleAuction Rate Preferred Shares | 14 | $22,000.00 | $308,000.00 |
DisclosureSEC source: 0001209191-20-005550 · doc4.xml · nonDerivative · entry 1 BUFFINGTON THOMAS MATTHEW · CIK 0001764108 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Dryden Capital Fund, LP Disclosed balance after: 0 F1 · security: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. F1 · ownership.nature: Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein. 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.