UNDER
THE SECURITIES ACT OF 1933
(Address of principal executive offices) (Zip code)
(Registrant’s telephone number, including area code)
c/o Allianz Global Investors Distributors LLC
1633 Broadway
New York, NY 10019
Name and address of agent for service:
c/o Allianz Global Investors Fund Management LLC
1633 Broadway
New York, NY 10019
Ropes & Gray LLP
Prudential Tower
800 Boylston
Boston, MA 02199
(Approximate Date of Proposed Public Offering)
1633 Broadway
New York, NY 10019
• | Expected decrease in total expense ratio. As noted below, the total expense ratio for Class A shares of the AGIC Target Fund is 1.21% and the total expense ratio for Class A shares of the RCM Mid-Cap Fund is 1.13%. The total expense ratio of the RCM Mid-Cap Fund after the Merger is expected to be 1.13%, resulting in a fee decrease to AGIC Target Fund shareholders. See “Information About the Proposed Merger — Management of the AGIC Target Fund and the RCM Mid-Cap Fund” in the Prospectus/Proxy Statement for more details. | |
• | Better prospects for growth and additional assets. We believe that the RCM Mid-Cap Fund will be better positioned than the AGIC Target Fund to perform well and grow in size, potentially benefiting from possible economies of scale. The Merger will immediately result in the combined Fund having materially greater assets than either Fund’s net assets prior to closing. | |
• | Tax-free reorganization. For federal income tax purposes, the Merger is intended to be tax free. This means that no gain or loss is expected to be recognized by you on the distribution of shares of the RCM Mid-Cap Fund to you in exchange for your AGIC Target Fund shares. The aggregate tax basis of the RCM Mid-Cap Fund shares you receive will be the same as the aggregate tax basis of your AGIC Target Fund shares. The other tax consequences of the Merger are complex and may vary depending on the circumstances. See “Overview — What are the U.S. federal income tax consequences of the proposed Merger?” and “Information About the Proposed Merger” in the Prospectus/Proxy Statement for more details. |
• | Continued access to multiple Allianz Funds. Like your Fund, the RCM Mid-Cap Fund will generally permit shareholder exchanges among the funds that comprise Allianz Funds and Allianz Funds Multi-Strategy Trust. | |
• | Continued excellent shareholder services. As a shareholder of the RCM Mid-Cap Fund, you will continue to receive the high-level shareholder services you receive as a shareholder of your Fund. | |
• | Continued commitment to shareholders. AGIFM and its affiliates remain committed to shareholders in terms of fund performance, communications and service. |
Allianz AGIC Target Fund
c/o Allianz Global Investors Fund Management LLC
1633 Broadway
For proxy information, please call (800) 591-6309
For account information, please call:
(800) 988-8380 (Retail classes: A, B, C, D & R)
(800) 498-5413 (Institutional classes: Administrative, Institutional & P)
[DATE], 2012
Prospectus/Proxy Statement
Acquisition of the assets of: | by and in exchange for shares of: | |
Allianz AGIC Target Fund, a series of Allianz Funds 1633 Broadway New York, New York 10019 [[212-739-3190]] | Allianz RCM Mid-Cap Fund, a series of Allianz Funds 1633 Broadway New York, New York 10019 [[212-739-3190]] |
• | The Trust’s current Prospectus for Class A, Class B, Class C and Class R shares of its series, dated November 1, 2011, as supplemented (the “Retail Prospectus”), but only with respect to the information about the AGIC Target Fund and the RCM Mid-Cap Fund contained therein. | |
• | The Trust’s current Prospectus for Class D, Class P, Institutional and Administrative Class shares of its series, dated November 1, 2011, as supplemented (the “Institutional Prospectus”), but only with respect to the information about the AGIC Target Fund and the RCM Mid-Cap Fund contained therein. | |
• | The Trust’s current Statement of Additional Information, dated November 1, 2011, as supplemented from time to time (including the Report of Independent Registered Public Accountants and financial statements |
with respect to the Funds incorporated by reference therein) (together, the “Allianz Statement of Additional Information”). |
• | A Statement of Additional Information dated [DATE], 2012, relating to the transactions described herein (the “Merger Statement of Additional Information” and, together with the Allianz Statement of Additional Information, the “Statement of Additional Information”). | |
• | The Trust’s current Annual Report for Class A, Class B, Class C, Class D, Class R, Class P, Institutional and Administrative Class shares of its series, dated June 30, 2011, as supplemented (the “Annual Report”), but only with respect to the information about the AGIC Target Fund and the RCM Mid-Cap Fund contained therein. |
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A. OVERVIEW | 4 | |
B. PRINCIPAL RISK FACTORS | 13 | |
C. INFORMATION ABOUT THE PROPOSED MERGER | 17 | |
D. INFORMATION ABOUT THE AGIC TARGET FUND AND THE RCM MID-CAP FUND | 30 | |
E. VOTING INFORMATION | 30 | |
APPENDIX A Form of Agreement and Plan of Reorganization | A-1 | |
APPENDIX B Information About the RCM Mid-Cap Fund | B-1 | |
APPENDIX C Financial Highlights | C-1 |
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A. | OVERVIEW |
• | Each shareholder of the AGIC Target Fund will receive, on a tax-free basis, a number of full and fractional Class A, Class B, Class C, Class D, Class P, Institutional Class, and/or Administrative Class Merger Shares of the RCM Mid-Cap Fund equal in value to the aggregate value of the shareholder’s Class A, Class B, Class C, Class D, Class P, Institutional Class and/or Administrative Class shares of the AGIC Target Fund, respectively. | |
• | The AGIC Target Fund will cease to be a series of the Trust and will liquidate. |
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• | Investment Objectives. The investment objective of the AGIC Target Fund is to seek capital appreciation; no consideration is given to income. The investment objective of the RCM Mid-Cap Fund is to seek long-term capital appreciation. | |
• | Principal Investments and Portfolio Management Strategies. The principal investments and strategies of each Fund are summarized below. Additional information about the principal investments and strategies of the AGIC Target Fund is set forth in the Prospectuses, and is incorporated herein by reference. Additional information about the principal investments and strategies of the RCM Mid-Cap Fund is set forth in “Appendix B — Information About the RCM Mid-Cap Fund.” |
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• | Approximate Number of Holdings. The AGIC Target Fund normally invests in equity securities of up to 100 issuers. The RCM Mid-Cap Fund normally invests in equity securities of 85-125 issuers. | |
• | Other Securities. In addition to common stocks, the Funds may invest in other types of securities, including securities issued in initial public offerings (IPOs). | |
• | Investments in Foreign Securities. The AGIC Target Fund may invest up to 15% of its assets in non-U.S. securities (without limit in American Depositary Receipts (ADRs)), while the RCM Mid-Cap Fund does not have any limitation on the percentage of their assets that they may invest in non-U.S. companies. | |
• | Temporary and Defensive Investments. In response to unfavorable market and other conditions, the Funds may each make temporary investments of some or all of its assets in high-quality fixed-income securities, cash and cash equivalents. This would be inconsistent with each Fund’s investment objective and principal strategies. | |
• | Investment Restrictions. The AGIC Target Fund normally invests at least 65% of its assets in common stocks of “growth” companies with market capitalizations of at least $1 billion. The RCM Mid-Cap Fund normally invests at least 80% of its net assets in common stocks and other equity securities of medium-sized companies, defined as those companies having market capitalizations comparable to those companies included in the Russell Mid-Cap Growth Index (between $1.4 billion and $17.9 billion as of June 30, 2011). | |
• | Dividends and Distributions. The Funds declare and pay income dividends at least annually. Each Fund distributes its net realized capital gains no less frequently than annually. |
• | Expenses that the AGIC Target Fund incurred in the fiscal year ended June 30, 2011. | |
• | Expenses that the RCM Mid-Cap Fund incurred in the fiscal year ended June 30, 2011. | |
• | Expenses that AGIFM estimates the RCM Mid-Cap Fund would have incurred in the fiscal year ended June 30, 2011, after giving effect to the proposed Merger on a pro forma combined basis, assuming the Merger had occurred as of July 1, 2010. The actual expenses incurred by the RCM Mid-Cap Fund subsequent to the Merger may be higher than the pro forma figures shown to the extent that the RCM Mid-Cap Fund incurs a higher level of expenses in future periods (for example, if its net assets are lower). |
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Current | Pro forma | |||||||||||
Current | Expenses | Expenses | ||||||||||
Expenses | RCM Mid- | RCM Mid- | ||||||||||
AGIC Target Fund | Cap Fund | Cap Fund | ||||||||||
CLASS A SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | 5.50 | % | 5.50 | % | 5.50 | % | ||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price)1 | 1.00 | % | 1.00 | % | 1.00 | % | ||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .95 | % | .87 | % | .87 | % | ||||||
Distribution and/or Servicing Fees | .25 | % | .25 | % | .25 | % | ||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | 1.21 | % | 1.13 | % | 1.13 | % | ||||||
CLASS B SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price)2 | 5.00 | % | 5.00 | % | 5.00 | % | ||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .95 | % | .87 | % | .87 | % | ||||||
Distribution and/or Servicing Fees | 1.00 | % | 1.00 | % | 1.00 | % | ||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | 1.96 | % | 1.88 | % | 1.88 | % | ||||||
CLASS C SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price)3 | 1.00 | % | 1.00 | % | 1.00 | % | ||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .95 | % | .87 | % | .87 | % | ||||||
Distribution and/or Servicing Fees | 1.00 | % | 1.00 | % | 1.00 | % | ||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | 1.96 | % | 1.88 | % | 1.88 | % |
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Current | Pro forma | |||||||||||
Current | Expenses | Expenses | ||||||||||
Expenses | RCM Mid- | RCM Mid- | ||||||||||
AGIC Target Fund | Cap Fund | Cap Fund | ||||||||||
CLASS D SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price) | N/A | N/A | N/A | |||||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .95 | % | .87 | % | .87 | % | ||||||
Distribution and/or Servicing Fees | .25 | % | .25 | % | .25 | % | ||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | 1.21 | % | 1.13 | % | 1.13 | % | ||||||
INSTITUTIONAL CLASS SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price) | N/A | N/A | N/A | |||||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .85 | % | .77 | % | .77 | % | ||||||
Distribution and/or Servicing Fees | N/A | N/A | N/A | |||||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | .86 | % | .78 | % | .78 | % | ||||||
ADMINISTRATIVE CLASS SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price) | N/A | N/A | N/A | |||||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .85 | % | .77 | % | .77 | % | ||||||
Distribution and/or Servicing Fees | .25 | % | .25 | % | .25 | % | ||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | 1.11 | % | 1.03 | % | 1.03 | % | ||||||
CLASS P SHARES | ||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||
Maximum sales charge (load) imposed on purchases (as a percentage of offering price) | N/A | N/A | N/A | |||||||||
Maximum contingent deferred sales charge (load) (as a percentage of original purchase price) | N/A | N/A | N/A |
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Current | Pro forma | |||||||||||
Current | Expenses | Expenses | ||||||||||
Expenses | RCM Mid- | RCM Mid- | ||||||||||
AGIC Target Fund | Cap Fund | Cap Fund | ||||||||||
Annual Fund Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) | ||||||||||||
Management Fees | .95 | % | .87 | % | .87 | % | ||||||
Distribution and/or Servicing Fees | N/A | N/A | N/A | |||||||||
Other Expenses | .01 | % | .01 | % | .01 | % | ||||||
Total Annual Fund Operating Expenses | .96 | % | .88 | % | .88 | % |
1 Year | 3 Years | 5 Years | 10 Years | |||||||||||||
Class A Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 667 | $ | 913 | $ | 1,178 | $ | 1,935 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 659 | $ | 889 | $ | 1,138 | $ | 1,849 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 659 | $ | 889 | $ | 1,138 | $ | 1,849 | ||||||||
Class B Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 699 | $ | 915 | $ | 1,257 | $ | 2,000 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 691 | $ | 891 | $ | 1,216 | $ | 1,914 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 691 | $ | 891 | $ | 1,216 | $ | 1,914 | ||||||||
Class C Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 299 | $ | 615 | $ | 1,057 | $ | 2,285 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 291 | $ | 591 | $ | 1,016 | $ | 2,201 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 291 | $ | 591 | $ | 1,016 | $ | 2,201 | ||||||||
Class D Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 123 | $ | 384 | $ | 665 | $ | 1,466 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 115 | $ | 359 | $ | 622 | $ | 1,375 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 115 | $ | 359 | $ | 622 | $ | 1,375 | ||||||||
Class P Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 98 | $ | 306 | $ | 531 | $ | 1,178 | ||||||||
RCM Mid-Cap Fund (Current) | — | — | — | — | ||||||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 90 | $ | 281 | $ | 488 | $ | 1,084 | ||||||||
Institutional Class Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 88 | $ | 274 | $ | 477 | $ | 1,061 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 80 | $ | 249 | $ | 433 | $ | 966 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 80 | $ | 249 | $ | 433 | $ | 966 | ||||||||
Administrative Class Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 113 | $ | 353 | $ | 612 | $ | 1,352 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 105 | $ | 328 | $ | 569 | $ | 1,259 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 105 | $ | 328 | $ | 569 | $ | 1,259 |
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1 Year | 3 Years | 5 Years | 10 Years | |||||||||||||
Class A Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 667 | $ | 913 | $ | 1,178 | $ | 1,935 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 659 | $ | 889 | $ | 1,138 | $ | 1,849 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 659 | $ | 889 | $ | 1,138 | $ | 1,849 | ||||||||
Class B Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 199 | $ | 615 | $ | 1,057 | $ | 2,000 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 191 | $ | 591 | $ | 1,016 | $ | 1,914 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 191 | $ | 591 | $ | 1,016 | $ | 1,914 | ||||||||
Class C Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 199 | $ | 615 | $ | 1,057 | $ | 2,285 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 191 | $ | 591 | $ | 1,016 | $ | 2,201 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 191 | $ | 591 | $ | 1,016 | $ | 2,201 | ||||||||
Class D Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 123 | $ | 384 | $ | 665 | $ | 1,466 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 115 | $ | 359 | $ | 622 | $ | 1,375 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 115 | $ | 359 | $ | 622 | $ | 1,375 | ||||||||
Class P Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 98 | $ | 306 | $ | 531 | $ | 1,178 | ||||||||
RCM Mid-Cap Fund (Current) | — | — | — | — | ||||||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 90 | $ | 281 | $ | 488 | $ | 1,084 | ||||||||
Institutional Class Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 88 | $ | 274 | $ | 477 | $ | 1,061 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 80 | $ | 249 | $ | 433 | $ | 966 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 80 | $ | 249 | $ | 433 | $ | 966 | ||||||||
Administrative Class Shares: | ||||||||||||||||
AGIC Target Fund (Current) | $ | 113 | $ | 353 | $ | 612 | $ | 1,352 | ||||||||
RCM Mid-Cap Fund (Current) | $ | 105 | $ | 328 | $ | 569 | $ | 1,259 | ||||||||
RCM Mid-Cap Fund (Pro forma) | $ | 105 | $ | 328 | $ | 569 | $ | 1,259 |
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• | Class A shares of the Funds are generally sold subject to an initial sales charge (“load”) and are subject to a servicing fee at an annual rate of 0.25% of a Fund’s average daily net assets attributable to its Class A shares. Class A shares are generally not subject to a contingent deferred sales charge (a “CDSC”), except in the case of certain purchases of Class A shares without a sales load that are redeemed within 18 months after purchase. |
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• | Class B shares of the Funds are sold at net asset value, without an initial sales charge, but are subject to a CDSC at declining rates if redeemed during the first six years after purchase (the maximum CDSC is imposed on shares redeemed in the first year). Class B shares are subject to servicing and distribution fees at an aggregate annual rate of 1.00% of a Fund’s average daily net assets attributable to its Class B shares. Class B shares convert automatically to Class A shares seven or eight years after purchase depending on when they were purchased. | |
• | Class C shares of the Funds are sold at net asset value, without an initial sales charge, and are subject to a 1.00% CDSC if redeemed within one year after purchase. Class C shares are subject to servicing and distribution fees at an aggregate annual rate of 1.00% of a Fund’s average daily net assets attributable to its Class C shares. Class C shares do not automatically convert into another class of shares. | |
• | Class D shares of the Funds are not subject to an initial sales charge or CDSC but are subject to an annual distribution and/or service fee of 0.25% of a Fund’s average daily net assets attributable to its Class D shares. | |
• | Class P shares of the Funds are not subject to an initial sales charge or CDSC and are not subject to an annual distribution and/or service fee. | |
• | Institutional Class shares of the Funds are not subject to an initial sales charge or CDSC and are not subject to an annual distribution and/or service fee. | |
• | Administrative Class shares of the Funds are not subject to an initial sales charge or CDSC but are subject to an annual distribution and/or service fee of 0.25% of a Fund’s average daily net assets attributable to its Administrative Class shares. |
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• | 67% or more of the shares present at the meeting or represented by proxy, if more than 50% of the shares are present or represented by proxy, and | |
• | more than 50% of the AGIC Target Fund’s shares. |
B. | PRINCIPAL RISK FACTORS |
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C. | INFORMATION ABOUT THE PROPOSED MERGER |
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• | You pay an initial or (“up-front”) sales charge of up to 5.50% when you buy Class A shares. The sales charge is deducted from your investment so that not all of your purchase payment is invested. AGIC Target Fund shareholders will not pay a sales charge on the RCM Mid-Cap Fund shares they receive in the Merger. | |
• | Class A shares are generally not subject to CDSC, except that certain purchases of $1,000,000 or more of Class A shares are not subject to a front-end sales charge but are subject to a 1% CDSC if redeemed within 18 months after purchase.4 | |
• | Class A shares are subject to a 12b-1 servicing fee at the annual rate of 0.25% of a Fund’s average daily net assets attributable to its Class A shares. |
• | Class B shares are sold without a front-end sales charge, but are subject to a CDSC of up to 5% if redeemed within the first six years after the original purchase.5 | |
• | Class B shares are subject to 12b-1 distribution and/or service fees at the annual rate of 1.00% of a Fund’s average daily net assets attributable to its Class B shares. | |
• | Class B shares purchased on or before December 31, 2001 or after September 30, 2004 automatically convert into Class A shares after they have been held for seven years (eight years for Class B shares purchased after December 31, 2001 but before October 1, 2004). After the conversion takes place, the shares are subject to the lower 12b-1 fees paid by Class A shares. |
• | Class C shares are sold without an initial sales charge, but are subject to a CDSC of 1% if redeemed within the first year after purchase. | |
• | Class C shares are subject to 12b-1 distribution and/or service fees at the annual rate of 1.00% of a Fund’s average daily net assets attributable to its Class C shares. | |
• | Unlike Class B shares, Class C shares do not convert into Class A shares. |
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• | Class D shares are not subject to a front-end sales charge or a CDSC. | |
• | Class D shares are subject to 12b-1 distribution and/or service fees at the annual rate of 0.25% of a Fund’s average daily net assets attributable to its Class D shares. |
• | Class P shares are not subject to a front-end sales charge or a CDSC. | |
• | Class P shares are not subject to 12b-1 distribution and/or service fees. |
• | Institutional Class shares are not subject to a front-end sales charge or a CDSC. | |
• | Institutional Class shares are not subject to 12b-1 distribution and/or service fees. |
• | Administrative Class shares are not subject to a front-end sales charge or a CDSC. | |
• | Administrative Class shares are subject to 12b-1 distribution and/or service fees at the annual rate of 0.25% of a Fund’s average daily net assets attributable to its Administrative Class shares. |
3. | Trustees’ Considerations Relating to the Proposed Merger |
• | The fact that the Merger is expected to result in lower Fund expenses. | |
• | AGIFM’s belief that, given weak investor flows to the mid-cap growth style category, it would simplify the AGIFM Funds line-up for prospective investors to have only one mid-cap growth fund. | |
• | The RCM Mid-Cap Fund has a stronger Morningstar rating than the AGIC Target Fund, reflecting its lower volatility profile, and AGIFM believes investors will gravitate to mid-cap growth funds that exhibit the strongest Morningstar ratings and risk-adjusted performance results. | |
• | The Merger will result in a combined fund with a better longer-term absolute performance record and lower volatility in performance results than those metrics currently attributable to the AGIC Target Fund. Although the RCM Mid-Cap Fund is significantly smaller than the AGIC Target Fund, it is expected that the performance record of the RCM Mid-Cap Fund will survive as the record of the combined fund after the Merger. | |
• | The fact that the two Funds have similar investment objectives and investment strategies. The Trustees considered the fact that combining the two Funds would allow shareholders of the AGIC Target Fund to continue their investment in a substantially similar Fund with lower expenses due to the lower total expense ratio of the combined fund expected to result from the Merger. | |
• | The fact that the Merger is expected to be a tax-free reorganization. |
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• | Alternatives to the Merger, including maintaining the status quo, merging with another fund in the Trust, and liquidating the AGIC Target Fund. | |
• | The fact that all legal and accounting fees and expenses, printing and other fees and expenses incurred in connection with the consummation of the transactions contemplated by the Merger Agreement (other than brokerage and other transaction costs and similar expenses, as described below) will be borne by AGIFM or its affiliates, and not by the Funds. | |
• | Shareholders who do not wish to invest in the RCM Mid-Cap Fund can redeem their shares before or after the Merger. |
Pre-Merger | YTD (7/1/11- | |||||||||||||||
Net | Capital Loss | 9/30/11) Net | Net Unrealized | |||||||||||||
Fund | Assets | Carryforwards | Realized Gains | Gains (Losses) | ||||||||||||
Allianz RCM Mid-Cap Fund | $ | 61.4 | $ | (6.1 | )** | $ | 0.4 | $ | (5.9 | ) | ||||||
Allianz AGIC Target Fund | $ | 263.1 | $ | (64.3 | ) | $ | 19.1 | $ | (9.8 | ) | ||||||
Pro Forma Combined Fund* | $ | 324.5 | $ | (70.4 | ) | — | — |
Amounts expressed in millions. | ||
* | The pro forma figures for net assets, pre-merger capital loss carryforwards, net realized gains or losses and net unrealized gains or losses are as of September 30, 2011. Please note that the figures for YTD Net Realized Gains represent book numbers, rather than tax, which will differ, though we do not have reason to believe that such differences will have a material affect on this gain/loss analysis. Please also note that the pro forma “pre-merger capital loss carryforwards” for the combined fund do not reflect the effect of the loss limitation rules as a result of the reorganization under Sections 381-384 of the Internal Revenue Code (see “Information About the Proposed Merger — U.S. Federal Income Tax Consequences”). | |
** | The Allianz RCM Mid-Cap Fund’s carryforwards are currently subject to limitation under Section 382, as the result of an “ownership change” that occurred on June 4, 2009. The amount of the loss that may be utilized is limited to $1.9 million per year. |
4. | Expenses of the Merger |
5. | U.S. Federal Income Tax Consequences |
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6. | Management of the AGIC Target Fund and the RCM Mid-Cap Fund |
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7. | Existing and Pro Forma Capitalization |
June 30, 2011
RCM Mid- | ||||||||||||||||
Cap Fund | ||||||||||||||||
RCM | Pro Forma | Pro Forma | ||||||||||||||
Amounts in thousands, | AGIC Target | Mid-Cap | Adjustments | Combined | ||||||||||||
except per share amounts | Fund | Fund | (Unaudited) | (Unaudited)** | ||||||||||||
Net Assets: | ||||||||||||||||
Class A | $ | 112,459 | $ | 11,498 | $ | 6 | $ | 123,963 | ||||||||
Class B | $ | 4,250 | $ | 2,344 | $ | — | $ | 6,594 | ||||||||
Class C | $ | 217,082 | $ | 5,942 | $ | 12 | $ | 223,036 | ||||||||
Class D | $ | 739 | $ | 1,807 | $ | — | $ | 2,546 | ||||||||
Class R | $ | — | $ | 1,832 | $ | — | $ | 1,832 | ||||||||
Class P | $ | 1,869 | $ | — | $ | — | $ | 1,869 | ||||||||
Institutional Class | $ | 6,403 | $ | 55,460 | $ | 4 | $ | 61,867 | ||||||||
Administrative Class | $ | 66 | $ | 2,923 | $ | — | $ | 2,989 | ||||||||
Shares Issued and Outstanding: | ||||||||||||||||
Class A | 5,638 | 3,509 | 28,647 | * | 37,794 | |||||||||||
Class B | 270 | 762 | 1,109 | * | 2,141 | |||||||||||
Class C | 13,778 | 1,939 | 57,170 | * | 72,887 | |||||||||||
Class D | 37 | 543 | 185 | * | 765 | |||||||||||
Class R | — | 557 | — | 557 | ||||||||||||
Class P | 93 | — | 443 | * | 536 | |||||||||||
Institutional Class | 305 | 15,903 | 1,519 | * | 17,727 | |||||||||||
Administrative Class | 3 | 867 | 17 | * | 887 | |||||||||||
Net Asset Value and Redemption Price | ||||||||||||||||
Per Share (Net Asset Per Share Outstanding) | ||||||||||||||||
Class A | $ | 19.95 | $ | 3.28 | $ | — | $ | 3.28 | ||||||||
Class B | $ | 15.76 | $ | 3.08 | $ | — | $ | 3.08 | ||||||||
Class C | $ | 15.76 | $ | 3.06 | $ | — | $ | 3.06 | ||||||||
Class D | $ | 19.95 | $ | 3.33 | $ | — | $ | 3.33 | ||||||||
Class R | $ | — | $ | 3.29 | $ | — | $ | 3.29 | ||||||||
Class P | $ | 20.10 | $ | — | $ | (16.61 | ) | $ | 3.49 | |||||||
Institutional Class | $ | 20.99 | $ | 3.49 | $ | — | $ | 3.49 | ||||||||
Administrative Class | $ | 20.51 | $ | 3.37 | $ | — | $ | 3.37 |
27
* | Classes A, B, C, D, Institutional and Administrative shares of the AGIC Target Fund are exchanged for Classes A, B, C, D, Institutional and Administrative shares of the RCM Mid-Cap Fund, respectively. Initial per share values of each class are presumed to be equal to the respective share classes of the RCM Mid-Cap Fund. Class P shares, since new for the RCM Mid-Cap Fund, will replicate the Institutional Class shares NAV. | |
** | The pro forma information assumes the Merger was consummated on June 30, 2011, and is for informational purposes only. No assurance can be given as to how many shares of the RCM Mid-Cap Fund will be received by shareholders of the AGIC Target Fund on the actual date of the Merger, and the foregoing should not be relied upon to predict the number of shares of the RCM Mid-Cap Fund that actually will be received on or after such date. |
8. | Performance of the AGIC Target Fund and the RCM Mid-Cap Fund |
28
Quarter End Date | QTR Return | |||||||
Highest | 06/30/2009 | 26.05 | % | |||||
Lowest | 12/31/2008 | (32.80 | )% |
1/1/11-9/30/11 | (13.97 | )% |
Fund Inception | ||||||||||||||||
1 Year | 5 Years | 10 Years | (12/17/92) | |||||||||||||
Class A — Before Taxes | 16.83 | % | 3.25 | % | (0.29 | )% | 9.52 | % | ||||||||
Class A — After Taxes on Distributions | 16.83 | % | 2.01 | % | (0.89 | )% | 7.63 | % | ||||||||
Class A — After Taxes on Distributions and Sale of Fund Shares | 10.94 | % | 2.16 | % | (0.55 | )% | 7.40 | % | ||||||||
Class B | 17.70 | % | 3.36 | % | (0.25 | )% | 9.55 | % | ||||||||
Class C | 21.61 | % | 3.65 | % | (0.47 | )% | 9.07 | % | ||||||||
Institutional Class — Before Taxes | 24.04 | % | 4.84 | % | 0.67 | % | 10.29 | % | ||||||||
Institutional Class — After Taxes on Distributions | 24.04 | % | 3.62 | % | 0.08 | % | 8.38 | % | ||||||||
Institutional Class — After Taxes on Distributions and Sale of Fund Shares | 15.63 | % | 3.54 | % | 0.27 | % | 8.11 | % | ||||||||
Class P | 23.85 | % | 4.73 | % | 0.56 | % | 10.18 | % | ||||||||
Administrative Class | 23.73 | % | 4.57 | % | 0.43 | % | 10.08 | % | ||||||||
Class D | 23.61 | % | 4.44 | % | 0.28 | % | 9.87 | % | ||||||||
Russell Midcap Growth Index | 26.38 | % | 4.88 | % | 3.12 | % | 8.70 | % | ||||||||
Lipper Multi-Cap Growth Funds Average | 18.62 | % | 3.46 | % | 1.20 | % | 8.20 | % |
29
Quarter End Date | QTR Return | |||||||
Highest | 06/30/2009 | 20.35 | % | |||||
Lowest | 12/31/2008 | (26.56 | )% |
1/1/11—9/30/11 | (16.31)% |
Fund Inception | ||||||||||||||||
1 Year | 5 Years | 10 Years | (11/6/79) | |||||||||||||
Class A — Before Taxes | 19.16 | % | 4.42 | % | 0.73 | % | 13.26 | % | ||||||||
Class A — After Taxes on Distributions | 19.11 | % | 3.31 | % | 0.19 | % | 8.92 | % | ||||||||
Class A — After Taxes on Distributions and Sale of Fund Shares | 12.46 | % | 3.24 | % | 0.35 | % | 9.20 | % | ||||||||
Class B | 20.11 | % | 4.47 | % | 0.78 | % | 13.26 | % | ||||||||
Class C | 23.78 | % | 4.75 | % | 0.63 | % | 12.70 | % | ||||||||
Class R | 25.86 | % | 5.42 | % | 1.26 | % | 13.30 | % | ||||||||
Institutional Class — Before Taxes | 26.24 | % | 6.02 | % | 1.90 | % | 14.07 | % | ||||||||
Institutional Class — After Taxes on Distributions | 26.15 | % | 4.92 | % | 1.37 | % | 9.62 | % | ||||||||
Institutional Class — After Taxes on Distributions and Sale of Fund Shares | 17.06 | % | 4.63 | % | 1.36 | % | 9.86 | % | ||||||||
Administrative Class | 25.89 | % | 5.73 | % | 1.59 | % | 13.77 | % | ||||||||
Class D | 25.95 | % | 5.68 | % | 1.49 | % | 13.73 | % | ||||||||
Russell Midcap Index | 25.48 | % | 4.66 | % | 6.54 | % | 13.34 | % | ||||||||
Russell Midcap Growth Index | 26.38 | % | 4.88 | % | 3.12 | % | 12.29 | % | ||||||||
Lipper Mid-Cap Growth Funds Average | 25.87 | % | 4.67 | % | 3.01 | % | 11.17 | % |
D. | INFORMATION ABOUT THE AGIC TARGET FUND AND THE RCM MID-CAP FUND |
30
E. | VOTING INFORMATION |
• | 67% or more of the shares present at the meeting or represented by proxy, if more than 50% of the shares are present or represented by proxy, and | |
• | more than 50% of the AGIC Target Fund’s shares. |
31
32
33
AGREEMENT AND PLAN OF REORGANIZATION
A-1
A-2
A-3
A-4
A-5
A-6
A-7
A-8
A-9
A-10
A-11
A-12
10. | Indemnification. |
A-13
A-14
A-15
By: | Name: |
By: |
By: |
A-16
• Market Risk | • Currency Risk | • Liquidity Risk | ||
• Issuer Risk | • Derivatives Risk | • Management Risk | ||
• Equity Security Risk | • Focused Investment Risk | • Non-U.S. Management Risk | ||
• Smaller Company Risk | • IPO Risk | • Turnover Risk | ||
• Credit Risk | • Leveraging Risk |
B-1
B-2
• | You pay an initial sales charge of up to 5.50% when you buy Class A shares. The sales charge is deducted from your investment so that not all of your purchase payment is invested. |
B-3
• | You may be eligible for a reduction or a complete waiver of the initial sales charge under a number of circumstances. For example, you normally pay no sales charge if you purchase $1,000,000 or more of Class A shares. Please see the Statement of Additional Information for details. | |
• | Class A shares are subject to lower 12b-1 fees than Class B or Class C shares. Therefore, Class A shareholders generally pay lower annual expenses and receive higher dividends than Class B or Class C shareholders, but pay initial sales charges that do not apply to Class B or Class C shares. | |
• | You normally pay no contingent deferred sales charge (“CDSC”) when you redeem Class A shares, although you may pay a 1% CDSC if you purchase $1,000,000 or more of Class A shares (and therefore pay no initial sales charge) and then redeem the shares during the first 18 months after your initial purchase. The Class A CDSC is waived for certain categories of investors and does not apply if you are otherwise eligible to purchase Class A shares without a sales charge. Please see the Statement of Additional Information for details. |
• | You do not pay an initial sales charge when you buy Class B shares. The full amount of your purchase payment is invested initially. Class B shares might be preferred by investors who intend to invest in the Funds for longer periods and who do not intend to purchase shares of sufficient aggregate value to qualify for sales charge reductions applicable to Class A shares. | |
• | You normally pay a CDSC of up to 5% if you redeem Class B shares during the first six years after your initial purchase. The amount of the CDSC declines the longer you hold your Class B shares. You pay no CDSC if you redeem during the seventh year and thereafter. The Class B CDSC is waived for certain categories of investors. Please see the Statement of Additional Information for details. | |
• | Class B shares are subject to higher 12b-1 fees than Class A shares for the first seven years (eight years for Class B shares purchased before October 1, 2004) they are held. During this time, Class B shareholders normally pay higher annual expenses and receive lower dividends than Class A shareholders. | |
• | Class B shares purchased after September 30, 2004 automatically convert into Class A shares after they have been held for seven years (eight years for Class B shares purchased before October 1, 2004). After the conversion takes place, the shares are subject to the lower 12b-1 fees paid by Class A shares. | |
• | For more information about the CDSC calculation and conversion date of shares received in an exchange, please see the Statement of Additional Information. |
• | You do not pay an initial sales charge when you buy Class C shares. The full amount of your purchase payment is invested initially. | |
• | You normally pay a CDSC of 1% if you redeem Class C shares during the first year after your initial purchase. | |
• | Class C shares are subject to higher 12b-1 fees than Class A shares. Therefore, Class C shareholders normally pay higher annual expenses and receive lower dividends than Class A shareholders. | |
• | Class C shares do not convert into any other class of shares. Because Class B shares convert into Class A shares after seven (or eight) years, Class C shares will normally be subject to higher expenses and will pay lower dividends than Class B shares if the shares are held for more than seven (or eight) years. |
• | Class R shares are generally available only to specified benefit plans. See “How to Buy and Sell Shares — Class R Shares” below for additional information on eligible investors. | |
• | You do not pay an initial sales charge when you buy Class R shares and you are not charged a CDSC for redeeming Class R shares, however, you may be charged transaction fees and/or other charges as noted below. |
B-4
• | Class R shares are subject to higher 12b-1 fees than Class A shares and lower 12b-1 fees than Class B and Class C shares. |
Initial Sales Charge | Initial Sales Charge | |||||||
as % of Net | as % of Public | |||||||
Amount of Purchase | Amount Invested | Offering Price | ||||||
$0-$49,999 | 5.82 | % | 5.50 | % | ||||
$50,000-$99,000 | 4.71 | % | 4.50 | % | ||||
$100,000-$249,999 | 3.63 | % | 3.50 | % | ||||
$250,000-$499,999 | 2.56 | % | 2.50 | % | ||||
$500,000-$999,999 | 2.04 | % | 2.00 | % | ||||
$1,000,000 + | 0.00 | %* | 0.00 | %* |
* | As shown, investors that purchase $1,000,000 or more of the RCM Mid-Cap Fund’s Class A shares will not pay any initial sales charge on the purchase. However, purchasers of $1,000,000 or more of Class A shares may be subject to a CDSC of 1% if the shares are redeemed during the first 18 months after their purchase. See “CDSCs on Class A Shares” below. |
* | For the purpose of determining whether a purchase would qualify for a reduced sales charge under the Combined Purchase Privilege or Right of Accumulation, a “family trust” is one in which a family member(s) described in section (i) above is/are a beneficiary/ies and such person(s) and/or another family member is the trustee. |
B-5
• | all of the investor’s accounts held directly with the Trust or through a financial intermediary; | |
• | any account of the investor at another financial intermediary; and | |
• | accounts of related parties of the investor, such as members of the same family or household, at any financial intermediary. |
B-6
Percentage Contingent | ||||
Years Since Purchase Payment Was Made | Deferred Sales Charge | |||
First | 5 | |||
Second | 4 | |||
Third | 3 | |||
Fourth | 3 | |||
Fifth | 2 | |||
Sixth | 1 | |||
Seventh and thereafter | 0 | * |
* | After the seventh year, Class B shares purchased after September 30, 2004 convert into Class A shares. As noted above, Class B shares purchased before October 1, 2004, convert into Class A shares after eight years. After the conversion takes place, the shares are subject to the lower 12b-1 fees paid by Class A shares. |
Percentage Contingent | ||||
Years Since Purchase Payment Was Made | Deferred Sales Charge | |||
First | 1 | |||
Thereafter | 0 |
• | Assume that an individual opens an account and makes a purchase payment of $10,000 for 1,000 Class B shares of a Fund (at $10 per share) and that six months later the value of the investor’s account for that Fund has grown through investment performance to $11,000 ($11 per share). If the investor should redeem $2,200 (200 shares), a CDSC would be applied against $2,000 of the redemption (the purchase price of the shares redeemed, because the purchase price is lower than the current net asset value of such shares ($2,200)). At the rate of 5%, the Class B CDSC would be $100. |
B-7
B-8
Servicing | Distribution | |||||||
Servicing Class | Fee | Fee | ||||||
Class A | 0.25 | % | None | |||||
Class B | 0.25 | % | 0.75 | % | ||||
Class C | 0.25 | % | 0.75 | % | ||||
Class R | 0.25 | % | 0.25 | % |
B-9
B-10
B-11
B-12
• | Wire-transfer procedures | |
• | Automatic purchase, exchange and withdrawal programs | |
• | Programs that establish a link from your Fund account to your bank account | |
• | Special arrangements for tax-qualified retirement plans | |
• | Investment programs that allow you to reduce or eliminate initial sales charges | |
• | Categories of investors that are eligible for waivers or reductions of initial sales charges and CDSCs |
B-13
• | Through your broker, dealer or other financial intermediary. Your broker, dealer or other intermediary may establish higher minimum investment requirements than the Trust and may also independently charge you transaction fees and additional amounts (which may vary) in return for its services, which will reduce your return. Shares you purchase through your broker, dealer or other intermediary will normally be held in your account with that firm. | |
• | Directly from the Trust. To make direct investments, you must open an account with the Distributor and send payment for your shares either by mail or through a variety of other purchase options and plans offered by the Trust. |
Initial | Subsequent | |||
Investment | Investments | |||
$1,000 per Fund | $ | 50 |
B-14
B-15
Initial | Subsequent | |||
Investment | Investments | |||
$1,000 per Fund | $ | 50 per Fund |
B-16
B-17
B-18
B-19
• | Through your broker, dealer or other financial intermediary. Your broker, dealer or other intermediary may independently charge you transaction fees and additional amounts in return for its services, which will reduce your return. | |
• | Directly from the Trust by written request. To redeem shares directly from the Trust by written request (whether or not the shares are represented by certificates), you must send the following items to the Trust’s Transfer Agent, Boston Financial Data Services, Inc., P.O. Box 8050, Boston, MA 02266-8050: |
B-20
B-21
B-22
B-23
• | Reinvest all distributions in additional shares of the same class of the RCM Mid-Cap Fund at NAV. This will be done unless you elect another option. | |
• | Invest all distributions in shares of the same class of any other Fund or another series of the Trust or Allianz Funds Multi-Strategy Trust that offers that class at NAV. You must have an account existing in the Fund or series selected for investment with the identical registered name. Class R shareholders may utilize this distribution option only if it is offered by your specified benefit plan, and only with respect to Funds or other series that are investment options offered by the plan. You must elect this option on your account application or by a telephone request to the Transfer Agent at 1-800-988-8380. |
• | Receive all distributions in cash (either paid directly to you or credited to your account with your broker or other financial intermediary). You must elect this option on your account application or by a telephone request to the Transfer Agent at 1-800-988-8380. For Class R shares, cash distributions will be credited to your account at your specified benefit plan if this option is elected when your account is established. |
• | Reinvest all distributions in additional Class D shares of the RCM Mid-Cap Fund at NAV. This will be done unless you elect another option. | |
• | Invest all distributions in Class D shares of any other series of the Trust or Allianz Funds Multi-Strategy Trust that offers Class D shares, at NAV. You must have an account existing in the Fund or series selected for investment with the identical registered name. You must elect this option when your account is established. | |
• | Receive all distributions in cash (either paid directly to you or credited to your account with your financial service firm). You must elect this option when your account is established. |
B-24
B-25
B-26
Net | Ratio of | Ratio of | |||||||||||||||||||||||||||||||||||||||||||||||||||
Realized | Expenses | Expenses | Ratio of | ||||||||||||||||||||||||||||||||||||||||||||||||||
and | Distributions | to Average | to Average | Net | |||||||||||||||||||||||||||||||||||||||||||||||||
Net Asset | Change in | from Net | Net Assets | Net Assets | Net Assets | Investment | |||||||||||||||||||||||||||||||||||||||||||||||
For a Share | Value | Net | Unrealized | Total from | Realized | Fund | Net Asset | End of | with Fee | Without Fee | Loss to | Portfolio | |||||||||||||||||||||||||||||||||||||||||
Outstanding | Beginning | Investment | Gain | Investment | Capital | Redemption | Value End | Total | Period | Waiver/ | Waiver/ | Average | Turnover | ||||||||||||||||||||||||||||||||||||||||
for the Period Ended: | of Period | Loss(a) | (Loss)(a) | Operations | Gains | Fees(a)(j) | of Period | Return(i) | (000s) | Reimbursement | Reimbursement | Net Assets | Rate | ||||||||||||||||||||||||||||||||||||||||
AGIC Target: | |||||||||||||||||||||||||||||||||||||||||||||||||||||
Class A | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 14.15 | $ | (0.13 | ) | $ | 5.93 | $ | 5.80 | $ | — | $ | — | $ | 19 | .95 | 40.99 | % | $ | 112,459 | 1.21 | % | 1.21 | % | (0.75 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 11.66 | (0.10 | ) | 2.59 | 2.49 | — | — | 14 | .15 | 21.35 | 97,184 | 1.21 | 1.21 | (0.69 | ) | 121 | |||||||||||||||||||||||||||||||||||||
6/30/2009 | 23.01 | (0.08 | ) | (9.61 | ) | (9.69 | ) | (1.66 | ) | — | (b) | 11 | .66(c | ) | (40.24 | )(c) | 93,101 | 1.21 | 1.22 | (0.62 | ) | 130 | |||||||||||||||||||||||||||||||
6/30/2008 | 24.98 | (0.14 | ) | 0.55 | 0.41 | (2.38 | ) | — | (b) | 23 | .01 | 1.27 | 182,525 | 1.21 | 1.21 | (0.57 | ) | 122 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 19.71 | (0.12 | ) | 5.39 | 5.27 | — | — | (b) | 24 | .98 | 26.74 | 175,023 | 1.21 | 1.21 | (0.55 | ) | 114 | ||||||||||||||||||||||||||||||||||||
Class B | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 11.27 | $ | (0.21 | ) | $ | 4.70 | $ | 4.49 | $ | — | $ | — | $ | 15 | .76 | 39.84 | % | $ | 4,250 | 1.96 | % | 1.96 | % | (1.51 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 9.35 | (0.17 | ) | 2.09 | 1.92 | — | — | 11 | .27 | 20.53 | 5,884 | 1.96 | 1.96 | (1.43 | ) | 121 | |||||||||||||||||||||||||||||||||||||
6/30/2009 | 19.28 | (0.16 | ) | (8.11 | ) | (8.27 | ) | (1.66 | ) | — | (b) | 9 | .35(d | ) | (40.71 | )(d) | 7,993 | 1.97 | 1.97 | (1.40 | ) | 130 | |||||||||||||||||||||||||||||||
6/30/2008 | 21.44 | (0.28 | ) | 0.50 | 0.22 | (2.38 | ) | — | (b) | 19 | .28 | 0.55 | 25,133 | 1.96 | 1.96 | (1.36 | ) | 122 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 17.04 | (0.24 | ) | 4.64 | 4.40 | — | — | (b) | 21 | .44 | 25.82 | 50,506 | 1.96 | 1.96 | (1.31 | ) | 114 | ||||||||||||||||||||||||||||||||||||
Class C | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 11.26 | $ | (0.21 | ) | $ | 4.71 | $ | 4.50 | $ | — | $ | — | $ | 15 | .76 | 39.96 | % | $ | 217,082 | 1.96 | % | 1.96 | % | (1.49 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 9.35 | (0.17 | ) | 2.08 | 1.91 | — | — | 11 | .26 | 20.43 | 182,245 | 1.96 | 1.96 | (1.44 | ) | 121 | |||||||||||||||||||||||||||||||||||||
6/30/2009 | 19.28 | (0.15 | ) | (8.12 | ) | (8.27 | ) | (1.66 | ) | — | (b) | 9 | .35(e | ) | (40.68 | )(e) | 175,813 | 1.97 | 1.97 | (1.38 | ) | 130 | |||||||||||||||||||||||||||||||
6/30/2008 | 21.44 | (0.27 | ) | 0.49 | 0.22 | (2.38 | ) | — | (b) | 19 | .28 | 0.50 | 373,169 | 1.96 | 1.96 | (1.33 | ) | 122 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 17.04 | (0.24 | ) | 4.64 | 4.40 | — | — | (b) | 21 | .44 | 25.82 | 432,836 | 1.96 | 1.96 | (1.30 | ) | 114 |
C-1
Net | Ratio of | Ratio of | |||||||||||||||||||||||||||||||||||||||||||||||||||
Realized | Expenses | Expenses | Ratio of | ||||||||||||||||||||||||||||||||||||||||||||||||||
and | Distributions | to Average | to Average | Net | |||||||||||||||||||||||||||||||||||||||||||||||||
Net Asset | Change in | from Net | Net Assets | Net Assets | Net Assets | Investment | |||||||||||||||||||||||||||||||||||||||||||||||
For a Share | Value | Net | Unrealized | Total from | Realized | Fund | Net Asset | End of | with Fee | Without Fee | Loss to | Portfolio | |||||||||||||||||||||||||||||||||||||||||
Outstanding | Beginning | Investment | Gain | Investment | Capital | Redemption | Value End | Total | Period | Waiver/ | Waiver/ | Average | Turnover | ||||||||||||||||||||||||||||||||||||||||
for the Period Ended: | of Period | Loss(a) | (Loss)(a) | Operations | Gains | Fees(a)(j) | of Period | Return(i) | (000s) | Reimbursement | Reimbursement | Net Assets | Rate | ||||||||||||||||||||||||||||||||||||||||
Class D | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 14.16 | $ | (0.13 | ) | $ | 5.92 | $ | 5.79 | $ | — | $ | — | $ | 19 | .95 | 40.89 | % | $ | 739 | 1 | .21% | 1 | .21% | (0.74 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 11.66 | (0.10 | ) | 2.60 | 2.50 | — | — | 14 | .16 | 21.44 | 531 | 1 | .21 | 1 | .21 | (0.67 | ) | 121 | |||||||||||||||||||||||||||||||||||
6/30/2009 | 23.02 | (0.09 | ) | (9.61 | ) | (9.70 | ) | (1.66 | ) | — | (b) | 11 | .66(f | ) | (40.27 | )(f) | 568 | 1 | .22 | 1 | .22 | (0.64 | ) | 130 | |||||||||||||||||||||||||||||
6/30/2008 | 24.98 | (0.13 | ) | 0.55 | 0.42 | (2.38 | ) | — | (b) | 23 | .02 | 1.32 | 1,398 | 1 | .21 | 1 | .21 | (0.53 | ) | 122 | |||||||||||||||||||||||||||||||||
6/30/2007 | 19.71 | (0.12 | ) | 5.39 | 5.27 | — | — | (b) | 24 | .98 | 26.74 | 1,064 | 1 | .21 | 1 | .21 | (0.56 | ) | 114 | ||||||||||||||||||||||||||||||||||
Class P | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 14.23 | $ | (0.09 | ) | $ | 5.96 | $ | 5.87 | $ | — | $ | — | $ | 20 | .10 | 41.25 | % | $ | 1,869 | 0 | .96% | 0 | .96% | (0.50 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 11.69 | (0.06 | ) | 2.60 | 2.54 | — | — | 14 | .23 | 21.73 | 1,597 | 0 | .95 | 0 | .95 | (0.44 | ) | 121 | |||||||||||||||||||||||||||||||||||
7/7/2008† - 6/30/2009 | 21.92 | (0.03 | ) | (8.54 | ) | (8.57 | ) | (1.66 | ) | — | (b) | 11 | .69(g | ) | (37.12 | )(g) | 1,127 | 0 | .89* | 0 | .90* | (0.24 | )* | 130 | |||||||||||||||||||||||||||||
Institutional Class | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 14.84 | $ | (0.07 | ) | $ | 6.22 | $ | 6.15 | $ | — | $ | — | $ | 20 | .99 | 41.44 | % | $ | 6,403 | 0 | .86% | 0 | .86% | (0.39 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 12.18 | (0.05 | ) | 2.71 | 2.66 | — | — | 14 | .84 | 21.84 | 4,535 | 0 | .85 | 0 | .85 | (0.33 | ) | 121 | |||||||||||||||||||||||||||||||||||
6/30/2009 | 23.80 | (0.03 | ) | (9.93 | ) | (9.96 | ) | (1.66 | ) | — | (b) | 12 | .18(h | ) | (40.02 | )(h) | 4,122 | 0 | .81 | 0 | .82 | (0.24 | ) | 130 | |||||||||||||||||||||||||||||
6/30/2008 | 25.66 | (0.04 | ) | 0.56 | 0.52 | (2.38 | ) | — | (b) | 23 | .80 | 1.73 | 11,980 | 0 | .81 | 0 | .81 | (0.16 | ) | 122 | |||||||||||||||||||||||||||||||||
6/30/2007 | 20.17 | (0.03 | ) | 5.52 | 5.49 | — | — | (b) | 25 | .66 | 27.23 | 9,857 | 0 | .81 | 0 | .81 | (0.14 | ) | 114 | ||||||||||||||||||||||||||||||||||
Administrative Class | |||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 14.54 | $ | (0.12 | ) | $ | 6.09 | $ | 5.97 | $ | — | $ | — | $ | 20 | .51 | 41.06 | % | $ | 66 | 1 | .11% | 1 | .11% | (0.63 | )% | 97 | % | |||||||||||||||||||||||||
6/30/2010 | 11.97 | (0.09 | ) | 2.66 | 2.57 | — | — | 14 | .54 | 21.47 | 38 | 1 | .10 | 1 | .10 | (0.58 | ) | 121 | |||||||||||||||||||||||||||||||||||
6/30/2009 | 23.50 | (0.06 | ) | (9.81 | ) | (9.87 | ) | (1.66 | ) | — | (b) | 11 | .97(i | ) | (40.16 | )(i) | 112 | 1 | .06 | 1 | .07 | (0.45 | ) | 130 | |||||||||||||||||||||||||||||
6/30/2008 | 25.42 | (0.11 | ) | 0.57 | 0.46 | (2.38 | ) | — | (b) | 23 | .50 | 1.46 | 132 | 1 | .06 | 1 | .06 | (0.44 | ) | 122 | |||||||||||||||||||||||||||||||||
6/30/2007 | 20.02 | (0.09 | ) | 5.49 | 5.40 | — | — | (b) | 25 | .42 | 26.97 | 193 | 1 | .06 | 1 | .06 | (0.41 | ) | 114 |
* | Annualized | |
† | Commencement of operations. | |
(a) | Calculated on average shares outstanding during the period. | |
(b) | Less than $0.01 per share. | |
(c) | Capital contribution from Affiliate increased the end of year net asset value by $0.20 per share and the total return by 1.03%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $11.46 and (41.27)%, respectively. | |
(d) | Capital contribution from Affiliate increased the end of year net asset value by $0.17 per share and the total return by 1.08%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $9.18 and (41.79)%, respectively. |
C-2
(e) | Capital contribution from Affiliate increased the end of year net asset value by $0.17 per share and the total return by 1.08%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $9.18 and (41.76)%, respectively. | |
(f) | Capital contribution from Affiliate increased the end of year net asset value by $0.21 per share and the total return by 1.08%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $11.45 and (41.35)%, respectively. | |
(g) | Capital contribution from Affiliate increased the end of period net asset value by $0.17 per share and the total return by 0.91%. If the Affiliate had not made these payments, end of period net asset value and total return would have been $11.52 and (38.03)%, respectively. | |
(h) | Capital contribution from Affiliate increased the end of year net asset value by $0.21 per share and the total return by 1.03%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $11.97 and (41.05)%, respectively. | |
(i) | Capital contribution from Affiliate increased the end of year net asset value by $0.20 per share and the total return by 1.00%. If the Affiliate had not made these payments, end of year net asset value and total return would have been $11.77 and (41.16)%, respectively. | |
(j) | Effective May 1, 2009, Fund redemption fees were eliminated. | |
(k) | Total return is calculated assuming a purchase of a share on the first day of the period and a sale of a share on the last day of each period reported. Income dividends and capital gains distributions, if any, are assumed, for purposes of this calculation, to be reinvested. Total return does not reflect sales charges and includes the effect of fee waivers and reimbursements. Total return may reflect adjustments to conform to generally accepted accounting principles. Total investment return for a period of less than one year is not annualized. |
C-3
Ratio of | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Net | Net | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Realized | Investment | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
and | Distributions | Net | Ratio of | Income | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Net Asset | Net | Change in | Dividends | from Net | Total | Net Asset | Assets | Expenses | (Loss) to | |||||||||||||||||||||||||||||||||||||||||||||||
For a Share | Value | Investment | Unrealized | Total from | from Net | Realized | Dividends | Fund | Value | End of | to Average | Average | Portfolio | |||||||||||||||||||||||||||||||||||||||||||
Outstanding | Beginning | Income | Gain | Investment | �� | Investment | Capital | and | Redemption | End of | Total | Period | Net | Net | Turnover | |||||||||||||||||||||||||||||||||||||||||
for the Period Ended: | of Period | (Loss)(a) | (Loss)(a) | Operations | Income | Gains | Distributions | Fees(a)(e) | Period | Return(f) | (000s) | Assets | Assets | Rate | ||||||||||||||||||||||||||||||||||||||||||
RCM Mid-Cap: | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Class A | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 2.36 | $ | (0.01 | ) | $ | 0.93 | $ | 0.92 | $ | — | (b) | $ | — | $ | — | (b) | $ | — | $ | 3.28 | (d) | 39.17 | %(d) | $ | 11,498 | 1.13 | % | (0.46 | )% | 133 | % | ||||||||||||||||||||||||
6/30/2010 | 1.95 | (0.01 | ) | 0.42 | 0.41 | — | (b) | — | — | (b) | — | 2.36 | 21.03 | 5,496 | 1.14 | (0.46 | ) | 110 | ||||||||||||||||||||||||||||||||||||||
6/30/2009 | 2.67 | — | (b) | (0.71 | ) | (0.71 | ) | — | (0.01 | ) | (0.01 | ) | — | (c) | 1.95 | (26.34) | 2,608 | 1.14 | (0.20 | ) | 139 | |||||||||||||||||||||||||||||||||||
6/30/2008 | 2.87 | (0.01 | ) | (0.16 | ) | (0.17 | ) | — | (0.03 | ) | (0.03 | ) | — | (c) | 2.67 | (6.40) | 3,146 | 1.13 | (0.35 | ) | 107 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 2.89 | (0.01 | ) | 0.57 | 0.56 | — | (0.58 | ) | (0.58 | ) | — | (c) | 2.87 | 21.69 | 3,640 | 1.17 | (0.49 | ) | 102 | |||||||||||||||||||||||||||||||||||||
Class B | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 2.23 | $ | (0.03 | ) | $ | 0.88 | $ | 0.85 | $ | — | (b) | $ | — | $ | — | (b) | $ | — | $ | 3.08 | (d) | 38.12 | %(d) | $ | 2,344 | 1.88 | % | (1.19 | )% | 133 | % | ||||||||||||||||||||||||
6/30/2010 | 1.86 | (0.03 | ) | 0.40 | 0.37 | — | (b) | — | — | (b) | — | 2.23 | 19.90 | 1,950 | 1.89 | (1.19 | ) | 110 | ||||||||||||||||||||||||||||||||||||||
6/30/2009 | 2.56 | (0.02 | ) | (0.67 | ) | (0.69 | ) | — | (0.01 | ) | (0.01 | ) | — | (c) | 1.86 | (26.98) | 1,260 | 1.89 | (0.96 | ) | 139 | |||||||||||||||||||||||||||||||||||
6/30/2008 | 2.78 | (0.03 | ) | (0.16 | ) | (0.19 | ) | — | (0.03 | ) | (0.03 | ) | — | (c) | 2.56 | (6.97) | 1,913 | 1.89 | (1.11 | ) | 107 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 2.83 | (0.03 | ) | 0.56 | 0.53 | — | (0.58 | ) | (0.58 | ) | — | (c) | 2.78 | 21.08 | 2,412 | 1.92 | (1.24 | ) | 102 | |||||||||||||||||||||||||||||||||||||
Class C | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 2.22 | $ | (0.03 | ) | $ | 0.87 | $ | 0.84 | $ | — | (b) | $ | — | $ | — | (b) | $ | — | $ | 3.06 | (d) | 37.84 | %(d) | $ | 5,942 | 1.88 | % | (1.21 | )% | 133 | % | ||||||||||||||||||||||||
6/30/2010 | 1.85 | (0.03 | ) | 0.40 | 0.37 | — | (b) | — | — | (b) | — | 2.22 | 20.01 | 2,964 | 1.89 | (1.19 | ) | 110 | ||||||||||||||||||||||||||||||||||||||
6/30/2009 | 2.55 | (0.02 | ) | (0.67 | ) | (0.69 | ) | — | (0.01 | ) | (0.01 | ) | — | (c) | 1.85 | (27.09) | 2,042 | 1.88 | (0.95 | ) | 139 | |||||||||||||||||||||||||||||||||||
6/30/2008 | 2.77 | (0.03 | ) | (0.16 | ) | (0.19 | ) | — | (0.03 | ) | (0.03 | ) | — | (c) | 2.55 | (6.99) | 2,264 | 1.89 | (1.11 | ) | 107 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 2.82 | (0.03 | ) | 0.56 | 0.53 | — | (0.58 | ) | (0.58 | ) | — | (c) | 2.77 | 21.17 | 2,764 | 1.92 | (1.25 | ) | 102 | |||||||||||||||||||||||||||||||||||||
Class D | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 2.39 | $ | (0.01 | ) | $ | 0.95 | $ | 0.94 | $ | — | (b) | $ | — | $ | — | (b) | $ | — | $ | 3.33 | (d) | 39.38 | %(d) | $ | 1,807 | 1.13 | % | (0.45 | )% | 133 | % | ||||||||||||||||||||||||
6/30/2010 | 1.98 | (0.01 | ) | 0.42 | 0.41 | — | (b) | — | — | (b) | — | 2.39 | 20.80 | 1,421 | 1.14 | (0.43 | ) | 110 | ||||||||||||||||||||||||||||||||||||||
6/30/2009 | 2.70 | — | (b) | (0.71 | ) | (0.71 | ) | — | (0.01 | ) | (0.01 | ) | — | (c) | 1.98 | (26.32) | 638 | 1.14 | (0.21 | ) | 139 | |||||||||||||||||||||||||||||||||||
6/30/2008 | 2.91 | (0.01 | ) | (0.17 | ) | (0.18 | ) | — | (0.03 | ) | (0.03 | ) | — | (c) | 2.70 | (6.31) | 927 | 1.13 | (0.35 | ) | 107 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 2.92 | (0.01 | ) | 0.58 | 0.57 | — | (0.58 | ) | (0.58 | ) | — | (c) | 2.91 | 21.86 | 973 | 1.17 | (0.49 | ) | 102 | |||||||||||||||||||||||||||||||||||||
Class R | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
6/30/2011 | $ | 2.38 | $ | (0.02 | ) | $ | 0.93 | $ | 0.91 | $ | — | (b) | $ | — | $ | — | (b) | $ | — | $ | 3.29 | (d) | 38.98 | %(d) | $ | 1,832 | 1.38 | % | (0.71 | )% | 133 | % | ||||||||||||||||||||||||
6/30/2010 | 1.97 | (0.02 | ) | 0.43 | 0.41 | — | (b) | — | — | (b) | — | 2.38 | 20.41 | 619 | 1.38 | (0.68 | ) | 110 | ||||||||||||||||||||||||||||||||||||||
6/30/2009 | 2.69 | (0.01 | ) | (0.70 | ) | (0.71 | ) | — | (0.01 | ) | (0.01 | ) | — | (c) | 1.97 | (26.42) | 76 | 1.38 | (0.36 | ) | 139 | |||||||||||||||||||||||||||||||||||
6/30/2008 | 2.91 | (0.02 | ) | (0.17 | ) | (0.19 | ) | — | (0.03 | ) | (0.03 | ) | — | (c) | 2.69 | (6.66) | 24 | 1.39 | (0.73 | ) | 107 | |||||||||||||||||||||||||||||||||||
6/30/2007 | 2.92 | (0.02 | ) | 0.59 | 0.57 | — | (0.58 | ) | (0.58 | ) | — | (c) | 2.91 | 21.86 | 231 | 1.38 | (0.70 | ) | 102 |
C-4
PART B
I. Additional Information about the Acquiring Fund | 1 | |
II. Financial Statements | 1 | |
A. Incorporation by Reference | 1 | |
B. Unaudited Pro Forma Combined Financial Statements | 2 | |
I. Additional Information about the Acquiring Fund. |
1
RCM | ||||||||||||||||
Mid-Cap | ||||||||||||||||
Fund Pro | ||||||||||||||||
AGIC | RCM | Pro Forma | Forma | |||||||||||||
Target | Mid-Cap | Adjustments | Combined | |||||||||||||
Amounts in thousands, except per share amounts | Fund | Fund | (unaudited) | (unaudited) | ||||||||||||
Assets: | ||||||||||||||||
Investments, at value | $ | 343,616 | $ | 82,108 | $ | — | $ | 425,724 | ||||||||
Cash | — | 1 | — | 1 | ||||||||||||
Receivable for investments sold | — | 911 | — | 911 | ||||||||||||
Dividends and interest receivable | 95 | 29 | — | 124 | ||||||||||||
Receivable for Fund shares sold | 58 | 15 | — | 73 | ||||||||||||
Investments in Affiliated Funds — Trustee Deferred Compensation Plan | 50 | 7 | — | 57 | ||||||||||||
Total Assets | 343,819 | 83,071 | — | 426,890 | ||||||||||||
Liabilities: | ||||||||||||||||
Payable for investments purchased | — | 1,158 | — | 1,158 | ||||||||||||
Payable for Fund shares redeemed | 442 | 39 | — | 481 | ||||||||||||
Investment advisory fees payable | 150 | 30 | (22 | ) | 158 | |||||||||||
Distribution fees payable | 133 | 6 | — | 139 | ||||||||||||
Administration fees payable | 109 | 21 | — | 130 | ||||||||||||
Servicing fees payable | 67 | 4 | — | 71 | ||||||||||||
Trustee Deferred Compensation Plan payable | 50 | 7 | — | 57 | ||||||||||||
Total Liabilities | 951 | 1,265 | (22 | ) | 2,194 | |||||||||||
Net Assets | $ | 342,868 | $ | 81,806 | $ | 22 | $ | 424,696 | ||||||||
Net Assets Consist of: | ||||||||||||||||
Paid-in-capital | $ | 333,837 | $ | 73,517 | $ | — | $ | 407,354 |
2
RCM | ||||||||||||||||
Mid-Cap | ||||||||||||||||
Fund Pro | ||||||||||||||||
AGIC | RCM | Pro Forma | Forma | |||||||||||||
Target | Mid-Cap | Adjustments | Combined | |||||||||||||
Amounts in thousands, except per share amounts | Fund | Fund | (unaudited) | (unaudited) | ||||||||||||
Dividends in excess of net investment income | (50 | ) | (10 | ) | 22 | (38 | ) | |||||||||
Accumulated net realized loss | (68,892 | ) | (4,676 | ) | — | (73,568 | ) | |||||||||
Net unrealized appreciation of investments | 77,973 | 12,975 | — | 90,948 | ||||||||||||
Net Assets | $ | 342,868 | $ | 81,806 | $ | 22 | $ | 424,696 | ||||||||
Net Assets: | ||||||||||||||||
Class A | $ | 112,459 | $ | 11,498 | $ | 6 | $ | 123,963 | ||||||||
Class B | $ | 4,250 | $ | 2,344 | $ | — | $ | 6,594 | ||||||||
Class C | $ | 217,082 | $ | 5,942 | $ | 12 | $ | 223,036 | ||||||||
Class D | $ | 739 | $ | 1,807 | $ | — | $ | 2,546 | ||||||||
Class R | $ | — | $ | 1,832 | $ | — | $ | 1,832 | ||||||||
Class P | $ | 1,869 | $ | — | $ | — | $ | 1,869 | ||||||||
Institutional Class | $ | 6,403 | $ | 55,460 | $ | 4 | $ | 61,867 | ||||||||
Administrative Class | $ | 66 | $ | 2,923 | $ | — | $ | 2,989 | ||||||||
Shares Issued and Outstanding: | ||||||||||||||||
Class A | 5,638 | 3,509 | 28,647 | * | 37,794 | |||||||||||
Class B | 270 | 762 | 1,109 | * | 2,141 | |||||||||||
Class C | 13,778 | 1,939 | 57,170 | * | 72,887 | |||||||||||
Class D | 37 | 543 | 185 | * | 765 | |||||||||||
Class R | — | 557 | — | 557 | ||||||||||||
Class P | 93 | — | 443 | * | 536 | |||||||||||
Institutional Class | 305 | 15,903 | 1,519 | * | 17,727 | |||||||||||
Administrative Class | 3 | 867 | 17 | * | 887 | |||||||||||
Net Asset Value and Redemption Price | ||||||||||||||||
Per Share (Net Asset Per Share Outstanding) | ||||||||||||||||
Class A | $ | 19.95 | $ | 3.28 | $ | — | $ | 3.28 | ||||||||
Class B | $ | 15.76 | $ | 3.08 | $ | — | $ | 3.08 | ||||||||
Class C | $ | 15.76 | $ | 3.06 | $ | — | $ | 3.06 | ||||||||
Class D | $ | 19.95 | $ | 3.33 | $ | — | $ | 3.33 | ||||||||
Class R | $ | — | $ | 3.29 | $ | — | $ | 3.29 | ||||||||
Class P | $ | 20.10 | $ | — | $ | (16.61 | ) | $ | 3.49 | |||||||
Institutional Class | $ | 20.99 | $ | 3.49 | $ | — | $ | 3.49 | ||||||||
Administrative Class | $ | 20.51 | $ | 3.37 | — | $ | 3.37 | |||||||||
Cost of Investments | $ | 265,643 | $ | 69,133 | $ | — | $ | 334,776 |
3
* | Classes A, B, C, D, Institutional and Administrative shares of the AGIC Target Fund are exchanged for Classes A, B, C, D, Institutional and Administrative shares of the RCM Mid-Cap Fund, respectively. Initial per share values of each class are presumed to be equal to the respective share classes of the RCM Mid-Cap Fund. Class P shares, since new for the RCM Mid-Cap Fund, will replicate the Institutional Class shares NAV. |
4
For the twelve months ended June 30, 2011 |
PRO FORMA COMBINED STATEMENTS OF OPERATIONS |
RCM Mid- | ||||||||||||||||
AGIC | Pro Forma | Cap Fund | ||||||||||||||
Target | RCM Mid- | Adjustments | Combined | |||||||||||||
Amounts in thousands | Fund | Cap Fund | (unaudited) | (unaudited) | ||||||||||||
Investment Income: | ||||||||||||||||
Dividends | $ | 1,549 | $ | 481 | $ | — | $ | 2,030 | ||||||||
Interest | 1 | — | — | 1 | ||||||||||||
Total Income | 1,550 | 481 | — | 2,031 | ||||||||||||
Expenses: | ||||||||||||||||
Investment advisory fees | 1,836 | 332 | (266 | )(a) | 1,902 | |||||||||||
Administration fees | 1,329 | 231 | — | 1,560 | ||||||||||||
Distribution fees — Class B | 40 | 17 | — | 57 | ||||||||||||
Distribution fees — Class C | 1,575 | 34 | — | 1,609 | ||||||||||||
Distribution fees — Class R | — | 4 | — | 4 | ||||||||||||
Servicing fees — Class A | 275 | 23 | — | 298 | ||||||||||||
Servicing fees — Class B | 13 | 6 | — | 19 | ||||||||||||
Servicing fees — Class C | 525 | 12 | — | 537 | ||||||||||||
Servicing fees — Class D | 2 | 4 | — | 6 | ||||||||||||
Servicing fees — Class R | — | 4 | — | 4 | ||||||||||||
Distribution and/or servicing fees — Administrative Class | — | 5 | — | 5 | ||||||||||||
Trustees’ fees | 34 | 7 | — | 41 | ||||||||||||
Interest expense | 1 | — | — | 1 | ||||||||||||
Total Expenses | 5,630 | 679 | (266 | ) | 6,043 | |||||||||||
Net Investment Loss | (4,080 | ) | (198 | ) | 266 | (4,012 | ) | |||||||||
Realized and Change in Unrealized Gain (Loss): | ||||||||||||||||
Net realized gain (loss) on: | ||||||||||||||||
Investments | 58,322 | 12,224 | — | 70,546 |
5
RCM Mid- | ||||||||||||||||
AGIC | Pro Forma | Cap Fund | ||||||||||||||
Target | RCM Mid- | Adjustments | Combined | |||||||||||||
Amounts in thousands | Fund | Cap Fund | (unaudited) | (unaudited) | ||||||||||||
Payments from Affiliates | — | 2 | — | 2 | ||||||||||||
Net change in unrealized appreciation/depreciation of: | ||||||||||||||||
Investments | 54,273 | 9,517 | — | 63,790 | ||||||||||||
Net Realized and Change in Unrealized Gain | 112,595 | 21,743 | — | 134,338 | ||||||||||||
Net Increase in Net Assets | ||||||||||||||||
Resulting from Investment Operations | $ | 108,515 | $ | 21,545 | $ | 266 | $ | 130,326 | ||||||||
(a) | Decrease in Investment Advisory fees is due to lower fee rate for the RCM Mid-Cap Fund. |
6
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Aerospace & Defense | ||||||||||||||||||||||||||||
AerCap Holdings NV (a) | 211,800 | $ | 2,755 | 211,800 | $ | 2,755 | 0.6 | % | ||||||||||||||||||||
Goodrich Corp. | 12,555 | $ | 1,199 | 12,555 | 1,199 | 0.3 | % | |||||||||||||||||||||
Precision Castparts Corp. | 35,770 | 5,890 | 35,770 | 5,890 | 1.4 | % | ||||||||||||||||||||||
8,645 | 1,199 | 9,844 | 2.3 | % | ||||||||||||||||||||||||
Auto Components | ||||||||||||||||||||||||||||
BorgWarner, Inc. (a) | 18,175 | 1,468 | 18,175 | 1,468 | 0.3 | % | ||||||||||||||||||||||
Lear Corp. | 21,910 | 1,172 | 21,910 | 1,172 | 0.3 | % | ||||||||||||||||||||||
2,640 | 2,640 | 0.6 | % | |||||||||||||||||||||||||
Automobiles | ||||||||||||||||||||||||||||
Tesla Motors, Inc. (a) | 60,400 | 1,759 | 60,400 | 1,759 | 0.4 | % | ||||||||||||||||||||||
Beverages | ||||||||||||||||||||||||||||
Coca-Cola Enterprises, Inc. | 29,325 | 856 | 29,325 | 856 | 0.2 | % | ||||||||||||||||||||||
Biotechnology | ||||||||||||||||||||||||||||
BioMarin Pharmaceutical, Inc. (a) | 149,800 | 4,076 | 149,800 | 4,076 | 1.0 | % | ||||||||||||||||||||||
Dendreon Corp. | 24,695 | 974 | 24,695 | 974 | 0.2 | % | ||||||||||||||||||||||
Human Genome Sciences, Inc. (a) | 17,535 | 430 | 17,535 | 430 | 0.1 | % | ||||||||||||||||||||||
Pharmasset, Inc. (a) | 8,060 | 904 | 8,060 | 904 | 0.2 | % | ||||||||||||||||||||||
United Therapeutics Corp. (a) | 86,500 | 4,766 | 86,500 | 4,766 | 1.1 | % | ||||||||||||||||||||||
8,842 | 2,308 | 11,150 | 2.6 | % | ||||||||||||||||||||||||
Capital Markets | ||||||||||||||||||||||||||||
Affiliated Managers Group, Inc. (a) | 59,200 | 6,006 | 59,200 | 6,006 | 1.4 | % |
7
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Invesco Ltd. | 10,575 | 247 | 10,575 | 247 | 0.1 | % | ||||||||||||||||||||||
KKR & Co. L.P. | 362,400 | 5,914 | 362,400 | 5,914 | 1.4 | % | ||||||||||||||||||||||
Lazard Ltd., Class A | 28,995 | 1,076 | 28,995 | 1,076 | 0.3 | % | ||||||||||||||||||||||
T. Rowe Price Group, Inc. | 2,500 | 151 | 2,500 | 151 | 0.0 | % | ||||||||||||||||||||||
11,920 | 1,474 | 13,394 | 3.2 | % | ||||||||||||||||||||||||
Chemicals | ||||||||||||||||||||||||||||
Albemarle Corp. | 50,200 | 3,474 | 50,200 | 3,474 | 0.8 | % | ||||||||||||||||||||||
Ashland, Inc. | 94,100 | 6,081 | 94,100 | 6,081 | 1.4 | % | ||||||||||||||||||||||
Celanese Corp., Ser. A | 6,230 | 332 | 6,230 | 332 | 0.1 | % | ||||||||||||||||||||||
CF Industries Holdings, Inc. | 51,600 | 7,310 | 51,600 | 7,310 | 1.7 | % | ||||||||||||||||||||||
International Flavors & Fragrances, Inc. | 10,090 | 648 | 10,090 | 648 | 0.2 | % | ||||||||||||||||||||||
LyondellBasell Industries NV, Class A | 31,215 | 1,203 | 31,215 | 1,203 | 0.3 | % | ||||||||||||||||||||||
16,865 | 2,183 | 19,048 | 4.5 | % | ||||||||||||||||||||||||
Commercial Banks | ||||||||||||||||||||||||||||
Fifth Third Bancorp | 44,400 | 566 | 44,400 | 566 | 0.1 | % | ||||||||||||||||||||||
Zions Bancorporation | 50,085 | 1,203 | 50,085 | 1,203 | 0.3 | % | ||||||||||||||||||||||
1,769 | 1,769 | 0.4 | % | |||||||||||||||||||||||||
Commercial Services & Supplies | ||||||||||||||||||||||||||||
Republic Services, Inc. | 14,371 | 443 | 14,371 | 443 | 0.1 | % | ||||||||||||||||||||||
Communications Equipment | ||||||||||||||||||||||||||||
Acme Packet, Inc. (a) | 55,000 | 3,857 | 55,000 | 3,857 | 0.9 | % | ||||||||||||||||||||||
Aruba Networks, Inc. (a) | 122,700 | 3,626 | 122,700 | 3,626 | 0.9 | % | ||||||||||||||||||||||
Brocade Communications Systems, Inc. (a) | 220,295 | 1,423 | 220,295 | 1,423 | 0.3 | % | ||||||||||||||||||||||
F5 Networks, Inc. (a) | 38,400 | 4,234 | 7,600 | 838 | 46,000 | 5,072 | 1.2 | % | ||||||||||||||||||||
Finisar Corp. (a) | 35,380 | 638 | 35,380 | 638 | 0.2 | % | ||||||||||||||||||||||
Riverbed Technology, Inc. (a) | 7,100 | 281 | 7,100 | 281 | 0.1 | % | ||||||||||||||||||||||
11,717 | 3,180 | 14,897 | 3.6 | % | ||||||||||||||||||||||||
Computers & Peripherals | ||||||||||||||||||||||||||||
NetApp, Inc. (a) | 103,000 | 5,436 | 21,670 | 1,144 | 124,670 | 6,580 | 1.5 | % | ||||||||||||||||||||
Construction & Engineering | ||||||||||||||||||||||||||||
KBR, Inc. | 197,200 | 7,432 | 20,575 | 775 | 217,775 | 8,207 | 1.9 | % | ||||||||||||||||||||
Containers & Packaging | ||||||||||||||||||||||||||||
Crown Holdings, Inc. (a) | 87,200 | 3,385 | 87,200 | 3,385 | 0.8 | % |
8
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Owens-Illinois, Inc. (a) | 35,945 | 928 | 35,945 | 928 | 0.2 | % | ||||||||||||||||||||||
3,385 | 928 | 4,313 | 1.0 | % | ||||||||||||||||||||||||
Diversified Consumer Services | ||||||||||||||||||||||||||||
DeVry, Inc. | 7,700 | 455 | 7,700 | 455 | 0.1 | % | ||||||||||||||||||||||
Electrical Equipment | ||||||||||||||||||||||||||||
AMETEK, Inc. | 33,214 | 1,491 | 33,214 | 1,491 | 0.4 | % | ||||||||||||||||||||||
Cooper Industries PLC | 9,025 | 538 | 9,025 | 538 | 0.1 | % | ||||||||||||||||||||||
Polypore International, Inc. (a) | 68,000 | 4,613 | 68,000 | 4,613 | 1.1 | % | ||||||||||||||||||||||
Rockwell Automation, Inc. | 82,400 | 7,149 | 15,270 | 1,325 | 97,670 | 8,474 | 2.0 | % | ||||||||||||||||||||
Roper Industries, Inc. | 4,965 | 414 | 4,965 | 414 | 0.1 | % | ||||||||||||||||||||||
11,762 | 3,768 | 15,530 | 3.7 | % | ||||||||||||||||||||||||
Energy Equipment & Services | ||||||||||||||||||||||||||||
Cameron International Corp. (a) | 32,885 | 1,654 | 32,885 | 1,654 | 0.4 | % | ||||||||||||||||||||||
Rowan Cos., Inc. (a) | 31,600 | 1,226 | 31,600 | 1,226 | 0.3 | % | ||||||||||||||||||||||
Weatherford International Ltd. (a) | 315,000 | 5,906 | 41,955 | 787 | 356,955 | 6,693 | 1.6 | % | ||||||||||||||||||||
5,906 | 3,667 | 9,573 | 2.3 | % | ||||||||||||||||||||||||
Food & Staples Retailing | ||||||||||||||||||||||||||||
Fresh Market, Inc. (a) | 17,565 | 679 | 17,565 | 679 | 0.2 | % | ||||||||||||||||||||||
Whole Foods Market, Inc. | 8,655 | 549 | 8,655 | 549 | 0.1 | % | ||||||||||||||||||||||
1,228 | 1,228 | 0.3 | % | |||||||||||||||||||||||||
Food Products | ||||||||||||||||||||||||||||
Green Mountain Coffee Roasters, Inc. (a) | 49,200 | 4,392 | 49,200 | 4,392 | 1.0 | % | ||||||||||||||||||||||
Hershey Co. | 13,465 | 765 | 13,465 | 765 | 0.2 | % | ||||||||||||||||||||||
Mead Johnson Nutrition Co., Class A | 90,000 | 6,079 | 90,000 | 6,079 | 1.4 | % | ||||||||||||||||||||||
10,471 | 765 | 11,236 | 2.6 | % | ||||||||||||||||||||||||
Health Care Equipment & Supplies | ||||||||||||||||||||||||||||
Cooper Cos., Inc. | 17,515 | 1,388 | 17,515 | 1,388 | 0.3 | % | ||||||||||||||||||||||
Edwards Lifesciences Corp. (a) | 6,535 | 570 | 6,535 | 570 | 0.1 | % | ||||||||||||||||||||||
Intuitive Surgical, Inc. (a) | 18,226 | 6,782 | 965 | 359 | 19,191 | 7,141 | 1.7 | % | ||||||||||||||||||||
Kinetic Concepts, Inc. (a) | 90,900 | 5,239 | 90,900 | 5,239 | 1.2 | % | ||||||||||||||||||||||
NuVasive, Inc. (a) | 6,930 | 228 | 6,930 | 228 | 0.1 | % | ||||||||||||||||||||||
Sirona Dental Systems, Inc. (a) | 18,765 | 996 | 18,765 | 996 | 0.3 | % | ||||||||||||||||||||||
12,021 | 3,541 | 15,562 | 3.7 | % | ||||||||||||||||||||||||
9
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Health Care Providers & Services | ||||||||||||||||||||||||||||
AmerisourceBergen Corp. | 139,600 | 5,780 | 139,600 | 5,780 | 1.4 | % | ||||||||||||||||||||||
Centene Corp. (a) | 28,315 | 1,006 | 28,315 | 1,006 | 0.2 | % | ||||||||||||||||||||||
DaVita, Inc. (a) | 5,785 | 501 | 5,785 | 501 | 0.1 | % | ||||||||||||||||||||||
WellCare Health Plans, Inc. (a) | 140,600 | 7,228 | 140,600 | 7,228 | 1.7 | % | ||||||||||||||||||||||
13,008 | 1,507 | 14,515 | 3.4 | % | ||||||||||||||||||||||||
Health Care Technology | ||||||||||||||||||||||||||||
Cerner Corp. (a) | 12,840 | 785 | 12,840 | 785 | 0.2 | % | ||||||||||||||||||||||
SXC Health Solutions Corp. (a) | 5,300 | 312 | 5,300 | 312 | 0.1 | % | ||||||||||||||||||||||
1,097 | 1,097 | 0.3 | % | |||||||||||||||||||||||||
Hotels, Restaurants & Leisure | ||||||||||||||||||||||||||||
Chipotle Mexican Grill, Inc., Class A (a) | 3,765 | 1,160 | 3,765 | 1,160 | 0.3 | % | ||||||||||||||||||||||
Panera Bread Co., Class A (a) | 37,100 | 4,662 | 37,100 | 4,662 | 1.1 | % | ||||||||||||||||||||||
Starwood Hotels & Resorts Worldwide, Inc. | 21,765 | 1,220 | 21,765 | 1,220 | 0.3 | % | ||||||||||||||||||||||
4,662 | 2,380 | 7,042 | 1.7 | % | ||||||||||||||||||||||||
Household Products | ||||||||||||||||||||||||||||
Church & Dwight Co., Inc. | 143,400 | 5,813 | 143,400 | 5,813 | 1.4 | % | ||||||||||||||||||||||
Insurance | ||||||||||||||||||||||||||||
Arch Capital Group Ltd. | 13,275 | 424 | 13,275 | 424 | 0.1 | % | ||||||||||||||||||||||
XL Group PLC | 250,200 | 5,499 | 250,200 | 5,499 | 1.3 | % | ||||||||||||||||||||||
5,499 | 424 | 5,923 | 1.4 | % | ||||||||||||||||||||||||
Internet & Catalog Retail | ||||||||||||||||||||||||||||
NetFlix, Inc. (a) | 6,505 | 1,709 | 6,505 | 1,709 | 0.4 | % | ||||||||||||||||||||||
Priceline.com, Inc. (a) | 11,700 | 5,990 | 11,700 | 5,990 | 1.4 | % | ||||||||||||||||||||||
5,990 | 1,709 | 7,699 | 1.8 | % | ||||||||||||||||||||||||
Internet Software & Services | ||||||||||||||||||||||||||||
Akamai Technologies, Inc. (a) | 30,115 | 948 | 30,115 | 948 | 0.2 | % | ||||||||||||||||||||||
LinkedIn Corp. (a) | 6,430 | 579 | 6,430 | 579 | 0.2 | % | ||||||||||||||||||||||
MercadoLibre, Inc. | 42,700 | 3,388 | 42,700 | 3,388 | 0.8 | % | ||||||||||||||||||||||
3,388 | 1,527 | 4,915 | 1.2 | % | ||||||||||||||||||||||||
IT Services | ||||||||||||||||||||||||||||
Cognizant Technology Solutions Corp., Class A (a) | 113,400 | 8,317 | 113,400 | 8,317 | 2.0 | % | ||||||||||||||||||||||
VeriFone Systems, Inc. (a) | 81,200 | 3,601 | 81,200 | 3,601 | 0.8 | % | ||||||||||||||||||||||
11,918 | 11,918 | 2.8 | % | |||||||||||||||||||||||||
10
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Leisure Equipment & Products | ||||||||||||||||||||||||||||
Hasbro, Inc. | 27,290 | 1,199 | 27,290 | 1,199 | 0.3 | % | ||||||||||||||||||||||
Life Sciences Tools & Services | ||||||||||||||||||||||||||||
Agilent Technologies, Inc. (a) | 167,800 | 8,576 | 28,790 | 1,472 | 196,590 | 10,048 | 2.4 | % | ||||||||||||||||||||
Illumina, Inc. (a) | 4,315 | 324 | 4,315 | 324 | 0.1 | % | ||||||||||||||||||||||
8,576 | 1,796 | 10,372 | 2.5 | % | ||||||||||||||||||||||||
Machinery | ||||||||||||||||||||||||||||
Cummins, Inc. | 46,700 | 4,833 | 46,700 | 4,833 | 1.1 | % | ||||||||||||||||||||||
Flowserve Corp. | 5,920 | 651 | 5,920 | 651 | 0.2 | % | ||||||||||||||||||||||
Gardner Denver, Inc. | 12,925 | 1,086 | 12,925 | 1,086 | 0.3 | % | ||||||||||||||||||||||
Joy Global, Inc. | 50,000 | 4,762 | 11,910 | 1,134 | 61,910 | 5,896 | 1.4 | % | ||||||||||||||||||||
Kennametal, Inc. | 8,150 | 344 | 8,150 | 344 | 0.1 | % | ||||||||||||||||||||||
Manitowoc Co., Inc. | 22,465 | 378 | 22,465 | 378 | 0.1 | % | ||||||||||||||||||||||
Navistar International Corp. (a) | 17,155 | 969 | 17,155 | 969 | 0.2 | % | ||||||||||||||||||||||
9,595 | 4,562 | 14,157 | 3.4 | % | ||||||||||||||||||||||||
Media | ||||||||||||||||||||||||||||
CBS Corp., Class B | 56,820 | 1,619 | 56,820 | 1,619 | 0.4 | % | ||||||||||||||||||||||
Focus Media Holding Ltd. ADR (a) | 111,200 | 3,458 | 111,200 | 3,458 | 0.8 | % | ||||||||||||||||||||||
Interpublic Group of Cos., Inc. | 73,100 | 913 | 73,100 | 913 | 0.2 | % | ||||||||||||||||||||||
McGraw-Hill Cos., Inc. | 17,465 | 732 | 17,465 | 732 | 0.2 | % | ||||||||||||||||||||||
Scripps Networks Interactive, Inc., Class A | 103,500 | 5,059 | 6,665 | 326 | 110,165 | 5,385 | 1.3 | % | ||||||||||||||||||||
Viacom, Inc., Class B | 100,000 | 5,100 | 100,000 | 5,100 | 1.2 | % | ||||||||||||||||||||||
13,617 | 3,590 | 17,207 | 4.1 | % | ||||||||||||||||||||||||
Metals & Mining | ||||||||||||||||||||||||||||
Carpenter Technology Corp. | 18,095 | 1,044 | 18,095 | 1,044 | 0.2 | % | ||||||||||||||||||||||
Cliffs Natural Resources, Inc. | 14,000 | 1,294 | 14,000 | 1,294 | 0.3 | % | ||||||||||||||||||||||
2,338 | 2,338 | 0.5 | % | |||||||||||||||||||||||||
Multiline Retail | ||||||||||||||||||||||||||||
Dollar Tree, Inc. (a) | 21,159 | 1,410 | 21,159 | 1,410 | 0.3 | % | ||||||||||||||||||||||
Macy’s, Inc. | 165,800 | 4,848 | 165,800 | 4,848 | 1.1 | % | ||||||||||||||||||||||
4,848 | 1,410 | 6,258 | 1.4 | % | ||||||||||||||||||||||||
Oil, Gas & Consumable Fuels | ||||||||||||||||||||||||||||
Arch Coal, Inc. | 34,460 | 919 | 34,460 | 919 | 0.2 | % |
11
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
Brigham Exploration Co. (a) | 103,000 | 3,083 | 36,800 | 1,101 | 139,800 | 4,184 | 1.0 | % | ||||||||||||||||||||
Peabody Energy Corp. | 11,065 | 652 | 11,065 | 652 | 0.2 | % | ||||||||||||||||||||||
PetroHawk Energy Corp. (a) | 408,700 | 10,083 | 27,225 | 672 | 435,925 | 10,755 | 2.5 | % | ||||||||||||||||||||
Pioneer Natural Resources Co. | 58,600 | 5,249 | 8,790 | 787 | 67,390 | 6,036 | 1.4 | % | ||||||||||||||||||||
SandRidge Energy, Inc. (a) | 630,600 | 6,722 | 630,600 | 6,722 | 1.6 | % | ||||||||||||||||||||||
25,137 | 4,131 | 29,268 | 6.9 | % | ||||||||||||||||||||||||
Pharmaceuticals | ||||||||||||||||||||||||||||
Hospira, Inc. (a) | 119,500 | 6,771 | 16,320 | 925 | 135,820 | 7,696 | 1.8 | % | ||||||||||||||||||||
Mylan, Inc. (a) | 276,800 | 6,829 | 276,800 | 6,829 | 1.6 | % | ||||||||||||||||||||||
Shire PLC ADR | 8,650 | 815 | 8,650 | 815 | 0.2 | % | ||||||||||||||||||||||
Watson Pharmaceuticals, Inc. (a) | 19,680 | 1,352 | 19,680 | 1,352 | 0.3 | % | ||||||||||||||||||||||
13,600 | 3,092 | 16,692 | 3.9 | % | ||||||||||||||||||||||||
Professional Services | ||||||||||||||||||||||||||||
Robert Half International, Inc. | 127,000 | 3,433 | 127,000 | 3,433 | 0.8 | % | ||||||||||||||||||||||
Road & Rail | ||||||||||||||||||||||||||||
J.B. Hunt Transport Services, Inc. | 25,665 | 1,209 | 25,665 | 1,209 | 0.3 | % | ||||||||||||||||||||||
Kansas City Southern (a) | 101,000 | 5,992 | 101,000 | 5,992 | 1.4 | % | ||||||||||||||||||||||
5,992 | 1,209 | 7,201 | 1.7 | % | ||||||||||||||||||||||||
Semiconductors & Semiconductor Equipment | ||||||||||||||||||||||||||||
Altera Corp. | 118,700 | 5,502 | 118,700 | 5,502 | 1.3 | % | ||||||||||||||||||||||
Analog Devices, Inc. | 18,505 | 724 | 18,505 | 724 | 0.2 | % | ||||||||||||||||||||||
ARM Holdings PLC ADR | 186,500 | 5,302 | 186,500 | 5,302 | 1.2 | % | ||||||||||||||||||||||
Atmel Corp. (a) | 25,915 | 365 | 25,915 | 365 | 0.1 | % | ||||||||||||||||||||||
Avago Technologies Ltd. | 29,345 | 1,115 | 29,345 | 1,115 | 0.3 | % | ||||||||||||||||||||||
Cymer, Inc. (a) | 10,090 | 499 | 10,090 | 499 | 0.1 | % | ||||||||||||||||||||||
KLA-Tencor Corp. | 78,600 | 3,182 | 78,600 | 3,182 | 0.7 | % | ||||||||||||||||||||||
Marvell Technology Group Ltd. (a) | 68,580 | 1,013 | 68,580 | 1,013 | 0.2 | % | ||||||||||||||||||||||
Microchip Technology, Inc. | 12,310 | 467 | 12,310 | 467 | 0.1 | % | ||||||||||||||||||||||
NVIDIA Corp. (a) | 20,810 | 332 | 20,810 | 332 | 0.1 | % | ||||||||||||||||||||||
NXP Semiconductor NV (a) | 122,000 | 3,261 | 122,000 | 3,261 | 0.8 | % | ||||||||||||||||||||||
ON Semiconductor Corp. (a) | 96,165 | 1,007 | 96,165 | 1,007 | 0.2 | % | ||||||||||||||||||||||
Xilinx, Inc. | 16,735 | 610 | 16,735 | 610 | 0.1 | % | ||||||||||||||||||||||
17,247 | 6,132 | 23,379 | 5.4 | % | ||||||||||||||||||||||||
Software | ||||||||||||||||||||||||||||
BMC Software, Inc. (a) | 143,900 | 7,871 | 143,900 | 7,871 | 1.9 | % |
12
RCM Mid-Cap Fund Pro | % | |||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | Combined | |||||||||||||||||||||||||
Value | Value | Value | Value of Net | |||||||||||||||||||||||||
COMMON STOCK | Shares | (000s) | Shares | (000s) | Shares | (000s) | Assets | |||||||||||||||||||||
BroadSoft, Inc. (a) | 82,300 | 3,138 | 82,300 | 3,138 | 0.7 | % | ||||||||||||||||||||||
Citrix Systems, Inc. (a) | 103,900 | 8,312 | 103,900 | 8,312 | 2.0 | % | ||||||||||||||||||||||
Informatica Corp. (a) | 6,205 | 363 | 6,205 | 363 | 0.1 | % | ||||||||||||||||||||||
Red Hat, Inc. (a) | 24,610 | 1,130 | 24,610 | 1,130 | 0.3 | % | ||||||||||||||||||||||
Rovi Corp. (a) | 59,200 | 3,396 | 59,200 | 3,396 | 0.8 | % | ||||||||||||||||||||||
Salesforce.com, Inc. (a) | 9,010 | 1,342 | 9,010 | 1,342 | 0.3 | % | ||||||||||||||||||||||
Solera Holdings, Inc. | 13,950 | 825 | 13,950 | 825 | 0.1 | % | ||||||||||||||||||||||
TIBCO Software, Inc. (a) | 36,160 | 1,049 | 36,160 | 1,049 | 0.2 | % | ||||||||||||||||||||||
22,717 | 4,709 | 27,426 | 6.4 | % | ||||||||||||||||||||||||
Specialty Retail | ||||||||||||||||||||||||||||
Dick’s Sporting Goods, Inc. (a) | 137,500 | 5,287 | 36,680 | 1,410 | 174,180 | 6,697 | 1.6 | % | ||||||||||||||||||||
O’Reilly Automotive, Inc. (a) | 4,785 | 314 | 4,785 | 314 | 0.1 | % | ||||||||||||||||||||||
Tractor Supply Co. | 9,480 | 634 | 9,480 | 634 | 0.1 | % | ||||||||||||||||||||||
Ulta Salon Cosmetics & Fragrance, Inc. (a) | 83,400 | 5,386 | 83,400 | 5,386 | 1.3 | % | ||||||||||||||||||||||
10,673 | 2,358 | 13,031 | 3.1 | % | ||||||||||||||||||||||||
Textiles, Apparel & Luxury Goods | ||||||||||||||||||||||||||||
Coach, Inc. | 10,030 | 641 | 10,030 | 641 | 0.2 | % | ||||||||||||||||||||||
CROCS, Inc. (a) | 211,400 | 5,444 | 211,400 | 5,444 | 1.3 | % | ||||||||||||||||||||||
Deckers Outdoor Corp. (a) | 69,900 | 6,161 | 7,275 | 641 | 77,175 | 6,802 | 1.6 | % | ||||||||||||||||||||
Polo Ralph Lauren Corp. | 33,600 | 4,456 | 33,600 | 4,456 | 1.0 | % | ||||||||||||||||||||||
Vera Bradley, Inc. (a) | 114,700 | 4,381 | 22,680 | 867 | 137,380 | 5,248 | 1.2 | % | ||||||||||||||||||||
20,442 | 2,149 | 22,591 | 5.3 | % | ||||||||||||||||||||||||
Tobacco | ||||||||||||||||||||||||||||
Lorillard, Inc. | 33,100 | 3,604 | 33,100 | 3,604 | 0.8 | % | ||||||||||||||||||||||
Trading Companies & Distributors | ||||||||||||||||||||||||||||
United Rentals, Inc. (a) | 139,700 | 3,548 | 139,700 | 3,548 | 0.8 | % | ||||||||||||||||||||||
Wireless Telecommunication Services | ||||||||||||||||||||||||||||
NII Holdings, Inc. (a) | 141,832 | 6,011 | 141,832 | 6,011 | 1.4 | % | ||||||||||||||||||||||
Sprint Nextel Corp., Ser. 1 (a) | 51,190 | 276 | 51,190 | 276 | 0.1 | % | ||||||||||||||||||||||
6,011 | 276 | 6,287 | 1.5 | % | ||||||||||||||||||||||||
Total Common Stock (cost—$257,506, $66,943 and $324,449, respectively) | 335,479 | 79,918 | 415,397 | 97.8 | % | |||||||||||||||||||||||
13
RCM Mid-Cap Fund Pro | ||||||||||||||||||||||||||||
AGIC Target Fund | RCM Mid-Cap Fund | Forma Combined (unaudited) | % | |||||||||||||||||||||||||
Principal | Principal | Principal | Combined | |||||||||||||||||||||||||
Amount | Value | Amount | Value | Amount | Value | Value of Net | ||||||||||||||||||||||
COMMON STOCK | (000s) | (000s) | (000s) | (000s) | (000s) | (000s) | Assets | |||||||||||||||||||||
Repurchase Agreement | ||||||||||||||||||||||||||||
State Street Bank & Trust Co., dated 6/30/11, 0.01%, due 7/1/11, proceeds $8,137 and $2,190, respectively, collateralized by Federal Home Loan Bank, 0.25%, due 6/29/12, valued at $8,300 and $2,235, respectively, including accrued interest (cost—$8,137, $2,190 and $10,327, respectively) | $ | 8,137 | 8,137 | $ | 2,190 | 2,190 | $ | 10,327 | 10,327 | 2.4 | % | |||||||||||||||||
Total Investments (cost—$265,643, $69,133 and $334,776, respectively) | 343,616 | 82,108 | 425,724 | 100.2 | % | |||||||||||||||||||||||
Liabilities in excess of other assets | (748 | ) | (302 | ) | (1,050 | ) | -0.2 | % | ||||||||||||||||||||
Net Assets | $ | 342,868 | $ | 81,806 | $ | 424,674 | 100.0 | % | ||||||||||||||||||||
Allianz Funds: RCM Mid-Cap Fund
14
15
Shares of RCM | Additional | Total | ||||||||||
Mid-Cap Fund | Shares Assumed | Outstanding | ||||||||||
Pre- | Issued in | SharesPost- | ||||||||||
Class of Shares | Reorganization | Reorganization | Reorganization | |||||||||
Class A | 3,509 | 28,647 | 37,794 | |||||||||
Class B | 762 | 1,109 | 2,141 | |||||||||
Class C | 1,939 | 57,170 | 72,887 | |||||||||
Class D | 543 | 185 | 765 | |||||||||
Class P | — | 536 | 536 | |||||||||
Institutional Class | 15,903 | 1,519 | 17,727 | |||||||||
Administrative Class | 867 | 17 | 887 |
16
November 1, 2011
Allianz AGIC Emerging Markets Opportunities Fund | ||
Class A | AOTAX | |
Class C | AOTCX | |
Institutional Class | AOTIX | |
Class P | AEMPX | |
Class D | AOTDX | |
Allianz AGIC Global Fund | ||
Class A | NGBAX | |
Class B | NGBBX | |
Class C | NGBCX | |
Class R | NGBRX | |
Institutional Class | NGBIX | |
Class P | AGMPX | |
Administrative Class | NGAAX | |
Class D | NGBDX | |
Allianz AGIC Growth Fund | ||
Class A | PGWAX | |
Class B | PGFBX | |
Class C | PGWCX | |
Class R | PPGRX | |
Institutional Class | PGFIX | |
Class P | AOGPX | |
Administrative Class | PGFAX | |
Class D | PGRDX | |
Allianz AGIC Income & Growth Fund | ||
Class A | AZNAX | |
Class C | AZNCX | |
Class R | AIGRX | |
Institutional Class | AZNIX | |
Class P | AIGPX | |
Class D | AZNDX | |
Allianz AGIC International Fund | ||
Class A | PNIAX | |
Class C | PNICX | |
Class R | ANIRX | |
Institutional Class | NAISX | |
Class P | ANIPX | |
Administrative Class | ANCAX | |
Class D | PNIDX | |
Allianz AGIC Mid-Cap Growth Fund | ||
Class A | ANMAX | |
Class C | ANMGX | |
Institutional Class | ANMIX | |
Class P | AMGPX | |
Class D | ANGDX | |
Allianz AGIC Opportunity Fund | ||
Class A | POPAX | |
Class B | POOBX | |
Class C | POPCX | |
Class R | AOORX | |
Institutional Class | POFIX | |
Class P | AOCPX | |
Administrative Class | POADX | |
Class D | APPDX | |
Allianz AGIC Pacific Rim Fund | ||
Class A | PPRAX | |
Class B | PPRBX | |
Class C | PPRCX | |
Institutional Class | NAPRX | |
Class P | APRPX | |
Class D | PPRDX | |
Allianz AGIC Systematic Growth Fund | ||
Class A | NGWAX | |
Class B | NGWBX | |
Class C | NGWCX | |
Institutional Class | NGFIX | |
Class P | ANCPX | |
Administrative Class | NGFAX | |
Class D | NGWDX | |
Allianz AGIC Target Fund | ||
Class A | PTAAX | |
Class B | PTABX | |
Class C | PTACX | |
Institutional Class | PFTIX | |
Class P | AOTPX | |
Administrative Class | PTADX | |
Class D | PTRDX | |
Allianz NFJ All-Cap Value Fund | ||
Class A | PNFAX | |
Class B | PNFBX | |
Class C | PNFCX | |
Institutional Class | PNFIX | |
Class P | ANFPX | |
Administrative Class | PNCAX | |
Class D | PNFDX | |
Allianz NFJ Dividend Value Fund | ||
Class A | PNEAX | |
Class B | PNEBX | |
Class C | PNECX | |
Class R | PNERX | |
Institutional Class | NFJEX | |
Class P | ADJPX | |
Administrative Class | ANDAX | |
Allianz NFJ International Value Fund | ||
Class A | AFJAX | |
Class C | AFJCX | |
Class R | ANJRX | |
Institutional Class | ANJIX | |
Class P | AFVPX | |
Administrative Class | AIVAX | |
Class D | AFJDX | |
2
Allianz NFJ Large-Cap Value Fund | ||
Class A | PNBAX | |
Class B | PNBBX | |
Class C | PNBCX | |
Class R | ANLRX | |
Institutional Class | ANVIX | |
Class P | ALCPX | |
Administrative Class | ALNFX | |
Class D | PNBDX | |
Allianz NFJ Mid-Cap Value Fund | ||
Class A | ANVAX | |
Class C | ANVCX | |
Institutional Class | ANWX | |
Class P | AMVPX | |
Class D | ANVDX | |
Allianz NFJ Renaissance Fund | ||
Class A | PQNAX | |
Class B | PQNBX | |
Class C | PQNCX | |
Class R | PRNRX | |
Institutional Class | PRNIX | |
Class P | ANRPX | |
Administrative Class | PRAAX | |
Class D | PREDX | |
Allianz NFJ Small-Cap Value Fund | ||
Class A | PCVAX | |
Class B | PCVBX | |
Class C | PCVCX | |
Class R | PNVRX | |
Institutional Class | PSVIX | |
Class P | ASVPX | |
Administrative Class | PVADX | |
Class D | PNVDX | |
Allianz RCM Disciplined International Equity Fund | ||
Class A | RAIGX | |
Class B | RBIGX | |
Class C | RCIGX | |
Institutional Class | DRIEX | |
Administrative Class | RAIAX | |
Class D | DIENX | |
Allianz RCM Global Commodity Equity Fund | ||
Class A | ARMAX | |
Class C | ARMCX | |
Institutional Class | RGLIX | |
Class P | APGPX | |
Class D | ARMDX | |
Allianz RCM Global Small-Cap Fund | ||
Class A | RGSAX | |
Class B | RGSBX | |
Class C | RGSCX | |
Institutional Class | DGSCX | |
Class P | ARSPX | |
Class D | DGSNX | |
3
Allianz RCM Large-Cap Growth Fund | ||
Class A | RALGX | |
Class B | RBLGX | |
Class C | RCLGX | |
Class R | PLCRX | |
Institutional Class | DRLCX | |
Class P | ARLPX | |
Administrative Class | DLGAX | |
Class D | DLCNX | |
Allianz RCM Mid-Cap Fund | ||
Class A | RMDAX | |
Class B | RMDBX | |
Class C | RMDCX | |
Class R | PRMRX | |
Institutional Class | DRMCX | |
Administrative Class | DRMAX | |
Class D | DMCNX | |
Allianz RCM Strategic Growth Fund | ||
Class A | ARCAX | |
Class C | ARCCX | |
Institutional Class | ANRIX | |
Class P | AMSPX | |
Administrative Class | ANRAX | |
Class D | ARCDX | |
Allianz RCM Technology Fund | ||
Class A | RAGTX | |
Class B | RBGTX | |
Class C | RCGTX | |
Institutional Class | DRGTX | |
Class P | ARTPX | |
Administrative Class | DGTAX | |
Class D | DGTNX | |
Allianz RCM Wellness Fund | ||
Class A | RAGHX | |
Class��B | RBGHX | |
Class C | RCGHX | |
Class D | DGHCX | |
4
November 1, 2011
Allianz Global Investors Distributors LLC
1633 Broadway
New York, NY 10019
Telephone: Class A, B, C, D and R — 1-800-988-8380
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Number of | ||||||||||||
Portfolios | ||||||||||||
Term of | in | Other Directorships | ||||||||||
Office and | Fund | Held by | ||||||||||
Name, | Position(s) | Length of | Principal | Complex* | Trustee | |||||||
Address and | Held with | Time | Occupation(s) During | Overseen by | During the Past 5 | |||||||
Date of Birth | Trust | Served**** | Past 5 Years | Trustee | Years | |||||||
Udo Frank** 05/06/1959 | Trustee | 1/2006 to present | Managing Director and Global Chief Executive Officer, RCM Capital Management LLC; Executive Committee Member, Allianz Global Investors AG; Member — Management Board of Allianz Global Investors Fund Management LLC and Caywood-Scholl Capital Management LLC; Managing Director and Chief Executive Officer of RCM U.S. Holdings LLC. | 25 | None | |||||||
John C. Maney*** 08/03/1959 | Trustee | 12/2006 to present | Management Board, Managing Director and Chief Executive Officer of Allianz Global Investors Fund Management LLC; Management Board and Managing Director of Allianz Global Investors of America L.P. since January 2005 and also Chief Operating Officer of Allianz Global Investors of America L.P. since November 2006; Trustee of the funds in the Allianz/PIMCO Fund Complex since 2006. | 80 | None |
* | The term “Fund Complex” as used herein includes each Fund of the Trust and the following registered investment companies: each series of Allianz Funds Multi-Strategy Trust, each series of PIMCO Funds, each series of PIMCO Equity Series, each series of PIMCO Equity Series VIT, each series of PIMCO ETF Trust, PIMCO Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund, PIMCO California Municipal Income Fund II, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund, |
56
PIMCO New York Municipal Income Fund II, PIMCO New York Municipal Income Fund III, PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, AGIC Convertible & Income Fund, AGIC Convertible & Income Fund II, PIMCO Income Strategy Fund, PIMCO Income Strategy Fund II, NFJ Dividend, Interest and Premium Strategy Fund, AGIC International and Premium Strategy Fund, PIMCO Global StocksPLUS & Income Fund, AGIC Equity & Convertible Income Fund, AGIC Global Equity & Convertible Income Fund, PCM Fund Inc., PIMCO Income Opportunity Fund, PIMCO Strategic Global Government Fund, Inc., each series of Allianz Global Investors Managed Accounts Trust (f/k/a Fixed Income Shares), each series of USAllianz Variable Insurance Products Trust and registered investment companies advised by RCM Capital Management LLC. | ||
** | Mr. Frank is an “interested person” of the Trust (as defined in Section 2(a)(19) of the 1940 Act) as a result of his positions set forth in the table above. | |
*** | Mr. Maney is an “interested person” of the Trust due to his positions set forth in the table above, among others with the Trust’s Adviser and various affiliated entities. | |
**** | Each Trustee shall serve during the continued lifetime of the Trust until he or she dies, resigns or is removed, or, if sooner, until the next meeting of shareholders called for the purpose of electing Trustees and until the election and qualification of his or her successor. |
57
Number | ||||||||||||
of | Other | |||||||||||
Portfolios | Directorships | |||||||||||
Term of | in Fund | Held by | ||||||||||
Office** | Complex | Trustee | ||||||||||
Name, | Position(s) | and Length | Principal | Overseen | During the | |||||||
Address and | Held with | of Time | Occupation(s) | by | Past 5 | |||||||
Date of Birth | Trust | Served | During Past 5 Years | Trustee | Years | |||||||
Maryann Bruce 04/01/1960 | Trustee | 6/2010 to present | President, Turnberry Advisory Group (business consulting); formerly President, Aquila Distributors, Inc.; formerly, Senior Vice President of each of the equity and bond funds in the Aquila Group of Funds; formerly, Executive Managing Director, Evergreen Investments; and formerly, President, Evergreen Investments Services, Inc. (securities distribution). | 25 | None. | |||||||
Theodore J. Coburn 07/08/1953 | Trustee | 6/2002 to present | Partner, Coburn Greenberg Partners LLC (investment banking). Formerly, President, Coburn Capital Group (investment banking); Formerly Executive Vice President, Nations Academy (education management); formerly, Executive Vice President of the Edison Schools, Inc. (education management); formerly, Senior Vice President, NASDAQ Stock Market; and formerly, Partner, Brown, Coburn & Co. (investment banking). | 25 | Director, Ramtron International Corporation. | |||||||
F. Ford Drummond 10/22/1962 | Trustee | 1/2006 to present | Owner/Operator, Drummond Ranch. Formerly, General Counsel, BMI-Health Plans (benefits administration). | 25 | None. | |||||||
C. Kim Goodwin 05/15/1959 | Trustee | 6/2010 to present | Private investor and advisor. Formerly, Head of Equities (Global), Credit Suisse; and formerly, Chief Investment Officer-Equities, State Street Research & Management Company (investment management). | 25 | Director, Akamai Technologies, Inc.; Director, Popular, Inc. | |||||||
James S. MacLeod 11/21/1947 | Trustee | 1/2006 to present | Director and Executive Vice President, CoastalSouth Bancshares, Inc.; Director and President, CoastalStates Bank; and Sr. Managing Director and Chief Executive Officer, Homeowners Mortgage Enterprises Inc. Formerly, Executive Vice President, Mortgage Guaranty Insurance Corporation. | 25 | Director, Sykes Enterprises, Inc. |
58
Number | ||||||||||||
of | Other | |||||||||||
Portfolios | Directorships | |||||||||||
Term of | in Fund | Held by | ||||||||||
Office** | Complex | Trustee | ||||||||||
Name, | Position(s) | and Length | Principal | Overseen | During the | |||||||
Address and | Held with | of Time | Occupation(s) | by | Past 5 | |||||||
Date of Birth | Trust | Served | During Past 5 Years | Trustee | Years | |||||||
Davey S. Scoon 12/14/1946 | Trustee | 1/2006 to present | Adjunct Assistant Professor, Tufts University School of Medicine. Formerly, Chief Administrative and Financial Officer, Tom’s of Maine (personal care products manufacturing); and formerly, Chief Administrative and Financial Officer, SunLife Financial-U.S. (financial services). | 25 | Chairman, Tufts Health Plan; Director, AMAG Pharmaceuticals, Inc.; and Director, CardioKine Inc. and Orthofix International N.V. | |||||||
Edward E. Sheridan 09/19/1954 | Trustee | 1/2006 to present | Retired, formerly, Managing Director, Head of Global Institutional Sales-Debt and Equity, Merrill Lynch & Co. Inc. (financial services). | 25 | None. | |||||||
W. Bryant Stooks* 09/10/1940 | Trustee | 1/1997 to present | President, Bryant Investments, Ltd. (financial services). Formerly, President, Ocotillo At Price L.L.C. (real estate | 25 | None. | |||||||
investment); formerly, President, Director and Chief Executive Officer, Archirodon Group Inc. (international construction); and formerly, Partner Arthur Andersen & Co. (auditing). | ||||||||||||
Gerald M. Thorne* 05/12/1938 | Trustee | 1/1997 to present | Partner, Mount Calvary Associates, LLP (low income housing); and Partner, Evergreen Partners LLC (resort real estate). Formerly, Director, Kaytee Products, Inc. (birdseed company); formerly, President and Director, Firstar National Bank of Milwaukee; formerly, Chairman, President and Director, Firstar National Bank of Sheboygan; formerly, Director, Bando-McGlocklin Capital Corp. (small business investment company); formerly, Director, VPI Inc. (plastics company); and formerly, Director, American Orthodontics Corporation. | 25 | None. | |||||||
James W. Zug 07/22/1940 | Trustee | 1/2006 to present | Retired. Formerly, Partner, PricewaterhouseCoopers LLP (auditing). | 25 | Director, Brandywine Funds (3 portfolios); Director, Amkor Technology, Inc.; and Director, Teleflex Incorporated. |
* | Prior to their election as Trustees of the Trust, Messrs. Stooks and Thorne served as Trustees of PIMCO Advisors Funds (“PAF”). As discussed above, on January 17, 1997, the Trust and PAF were involved in a transaction in which certain series of PAF were reorganized into series of the Trust. | |
** | Each Trustee shall serve during the continued lifetime of the Trust until he or she dies, resigns or is removed, or, if sooner, until the next meeting of shareholders called for the purpose of electing Trustees and until the election and qualification of his or her successor. |
59
Term of | ||||||
Office | ||||||
and | ||||||
Name, Address | Position(s) | Length of | Principal | |||
and Date of | Held with | Time | Occupation(s) | |||
Birth | Trust | Served | During Past 5 Years | |||
Brian S. Shlissel 11/14/1964 | President | 6/2005 to present | Management Board, Managing Director and Head of Mutual Fund Services of Allianz Global Investors Fund Management LLC; President and Chief Executive Officer of 27 funds in the Fund Complex*; President of 53 funds in the Fund Complex; and Treasurer, Principal Financial and Accounting Officer of The Korea Fund, Inc. Formerly, Treasurer, Principal Financial and Accounting Officer of 50 funds in the Fund Complex. | |||
Lawrence G. Altadonna | Treasurer and | 6/2005 to present | Senior Vice President, Director of Fund | |||
03/10/1966 | Principal Financial and Accounting Officer | Administration of Allianz Global Investors Fund Management LLC; Treasurer, Principal Financial and Accounting Officer of 80 funds in the Fund Complex; and Assistant Treasurer of The Korea Fund, Inc. Formerly, Assistant Treasurer of 50 Funds in the Fund Complex. | ||||
Thomas J. Fuccillo 03/22/1968 | Vice President, Chief Legal Officer and Secretary | 12/2006 to present | Executive Vice President, Chief Legal Officer and Secretary of Allianz Global Investors Fund Management LLC; Executive Vice President of Allianz Global Investors of America L.P.; Vice President, Secretary and Chief Legal Officer of 80 funds in the Fund Complex; and Secretary and Chief Legal Officer of The Korea Fund, Inc. | |||
Youse Guia 09/03/1972 | Chief Compliance Officer | 9/2004 to present | Senior Vice President, Chief Compliance Officer, Allianz Global Investors of America L.P.; Chief Compliance Officer of 80 funds in the Fund Complex and of The Korea Fund, Inc. | |||
Richard J. Cochran 01/23/1961 | Assistant Treasurer | 5/2008 to present | Vice President, Allianz Global Investors Fund Management LLC; Assistant Treasurer of 80 funds in the Fund Complex and of The Korea Fund, Inc. Formerly, Tax Manager, Teachers Insurance Annuity Association/College Retirement Equity Fund (TIAA-CREF) (2002-2008). | |||
Scott Whisten 03/13/1971 | Assistant Treasurer | 3/2007 to present | Senior Vice President, Allianz Global Investors Fund Management LLC; and Assistant Treasurer of 80 funds in the Fund Complex | |||
Richard H. Kirk 04/06/1961 | Assistant Secretary | 12/2004 to present | Senior Vice President, Allianz Global Investors of America L.P.; Senior Vice President and Associate General Counsel, Allianz Global Investors Distributors LLC. Assistant Secretary of 53 funds in the Fund Complex. | |||
Lagan Srivastava 09/20/1977 | Assistant Secretary | 12/2006 to present | Vice President, Allianz Global Investors of America L.P.; Assistant Secretary of 80 funds in the Fund Complex and of The Korea Fund, Inc. | |||
Orhan Dzemaili 04/18/1974 | Assistant Secretary | 1/2011 to present | Vice President, Allianz Global Investors Fund Management LLC; and Assistant Treasurer of 80 funds in the Fund Complex. Formerly, Accounting Manager, Prudential Investments LLC (2004-2007). |
60
61
62
Aggregate Dollar | ||||||||
Range of Equity | ||||||||
Dollar Range of Equity | Securities in All | |||||||
Securities in | Registered Investment | |||||||
Each Fund or Series | Companies Overseen by | |||||||
Overseen | Trustee in Family of | |||||||
by the Trustee | Investment Companies* | |||||||
Name of Trustee | (as of 12/31/10) | (as of 12/31/10) | ||||||
Maryann Bruce | Over $100,000 | |||||||
NFJ Dividend Value Fund | $10,001-$50,000 | |||||||
NFJ International Value Fund | $10,001-$50,000 | |||||||
RCM Strategic Growth Fund | $10,001-$50,000 | |||||||
Theodore J. Coburn | Over $100,000 | |||||||
AGIC Global Fund | $10,001-$50,000 | |||||||
AGIC Pacific Rim Fund | $10,001-$50,000 | |||||||
AGIC Systematic Growth Fund | $10,001-$50,000 | |||||||
NFJ Dividend Value Fund | $10,001-$50,000 | |||||||
RCM Disciplined International Equity Fund | $10,001-$50,000 | |||||||
RCM Global Small-Cap Fund | $10,001-$50,000 | |||||||
C. Kim Goodwin | ||||||||
NFJ International Value Fund | $10,001-$50,000 | Over $100,000 | ||||||
RCM Mid-Cap Fund | $10,001-$50,000 | |||||||
RCM Wellness Fund | $10,001-$50,000 | |||||||
F. Ford Drummond | Over $100,000 | |||||||
AGIC Emerging Markets Opportunities Fund | $10,001-$50,000 | |||||||
AGIC Growth Fund | $50,001-$100,000 | |||||||
AGIC Opportunity Fund | $50,001-$100,000 | �� | ||||||
NFJ Dividend Value Fund | $50,001-$100,000 | |||||||
NFJ International Value Fund | $10,001-$50,000 | |||||||
NFJ Small-Cap Value Fund | $50,001-$100,000 | |||||||
RCM Disciplined International Equity Fund | $10,001-$50,000 | |||||||
RCM Technology Fund | $10,001-$50,000 | |||||||
Udo Frank | Over $100,000 | |||||||
RCM Global Small-Cap Fund | Over $100,000 | |||||||
RCM Large-Cap Growth Fund | Over $100,000 | |||||||
James S. MacLeod | Over $100,000 | |||||||
NFJ Dividend Value Fund | Over $100,000 | |||||||
NFJ Large-Cap Value Fund | Over $100,000 | |||||||
John C. Maney | Over $100,000 | |||||||
AGIC International Fund | $10,001-$50,000 | |||||||
NFJ Dividend Value Fund | $10,001-$50,000 | |||||||
NFJ International Value Fund | $50,001-$100,000 | |||||||
NFJ Small-Cap Value Fund | $10,001-$50,000 | |||||||
Davey S. Scoon | Over $100,000 | |||||||
AGIC Pacific Rim Fund | $10,001-$50,000 | |||||||
NFJ Large-Cap Value Fund | $10,001-$50,00 | |||||||
NFJ Small-Cap Value Fund | $50,001-$100,000 | |||||||
Edward E. Sheridan | Over $100,000 | |||||||
NFJ Small-Cap Value Fund | Over $100,000 | |||||||
W. Bryant Stooks | Over $100,000 | |||||||
AGIC Opportunity Fund | $10,001-$50,000 | |||||||
AGIC Target Fund | $1-$10,000 | |||||||
NFJ Dividend Value Fund | $10,001-$50,000 | |||||||
NFJ International Value Fund | $10,001-$50,000 | |||||||
NFJ Renaissance Fund | $10,001-$50,000 | |||||||
RCM Technology Fund | $10,001-$50,000 |
63
Aggregate Dollar | ||||||||
Range of Equity | ||||||||
Dollar Range of Equity | Securities in All | |||||||
Securities in | Registered Investment | |||||||
Each Fund or Series | Companies Overseen by | |||||||
Overseen | Trustee in Family of | |||||||
by the Trustee | Investment Companies* | |||||||
Name of Trustee | (as of 12/31/10) | (as of 12/31/10) | ||||||
Gerald M. Thorne | Over $100,000 | |||||||
AGIC Growth | $50,001-$100,000 | |||||||
NFJ Dividend Value Fund | Over $100,000 | |||||||
RCM Technology Fund | Over $100,000 | |||||||
James W. Zug | Over $100,000 | |||||||
NFJ Dividend Value Fund | $50,001-$100,000 | |||||||
NFJ International Value Fund | $10,001-$50,000 | |||||||
RCM Technology Fund | Over $100,000 |
* | The term “Family of Investment Companies” as used herein includes each Fund of the Trust and the following registered investment companies: each series of Allianz Funds Multi-Strategy Trust, PIMCO Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund, PIMCO California Municipal Income Fund II, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund, PIMCO New York Municipal Income Fund II, PIMCO New York Municipal Income Fund III, PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, PIMCO Income Opportunity Fund, AGIC Convertible & Income Fund, AGIC Convertible & Income Fund II, PIMCO Income Strategy Fund, PIMCO Income Strategy Fund II, NFJ Dividend, Interest and Premium Strategy Fund, AGIC International and Premium Strategy Fund, PIMCO Global StocksPLUS & Income Fund, AGIC Equity & Convertible Income Fund, AGIC Global Equity & Convertible Income Fund, PCM Fund Inc., PIMCO Strategic Global Government Fund, Inc. Series, each series of Allianz Global Investors Managed Accounts Trust (f/k/a Fixed Income Shares), each series of USAllianz Variable Insurance Products Trust and registered investment companies advised by RCM Capital Management LLC. |
64
Pension or | ||||||||||||||||
Retirement | ||||||||||||||||
Benefits | Total Compensation | |||||||||||||||
Aggregate | Accrued as Part | Estimated Annual | from Trust and | |||||||||||||
Compensation | of Trust | Benefits Upon | Fund Complex Paid | |||||||||||||
Name of Trustee | from Trust | Expenses | Retirement | to Trustees | ||||||||||||
Maryann Bruce | $ | 144,000 | N/A | N/A | $ | 144,000 | ||||||||||
Theodore J. Coburn | $ | 142,000 | N/A | N/A | $ | 142,000 | ||||||||||
F. Ford Drummond | $ | 142,000 | N/A | N/A | $ | 142,000 | ||||||||||
C. Kim Goodwin | $ | 144,500 | N/A | N/A | $ | 144,500 | ||||||||||
James S. MacLeod | $ | 146,000 | N/A | N/A | $ | 146,000 | ||||||||||
Davey S. Scoon | $ | 244,000 | N/A | N/A | $ | 244,000 | ||||||||||
Edward E. Sheridan | $ | 144,500 | N/A | N/A | $ | 144,500 | ||||||||||
W. Bryant Stooks | $ | 157,000 | N/A | N/A | $ | 157,000 | ||||||||||
Gerald M. Thorne | $ | 150,500 | N/A | N/A | $ | 150,500 | ||||||||||
James W. Zug | $ | 159,000 | N/A | N/A | $ | 159,000 |
65
66
Advisory | ||||
Fund | Fee Rate | |||
NFJ Dividend Value(1), NFJ Large-Cap Value and RCM Large-Cap Growth | 0.45 | % | ||
RCM Mid-Cap | 0.47 | % | ||
AGIC Systematic Growth, AGIC Growth and RCM Disciplined International Equity | 0.50 | % | ||
AGIC Target | 0.55 | % | ||
AGIC International(2), NFJ International Value, NFJ Mid-Cap Value, NFJ Renaissance and NFJ Small-Cap Value(3) | 0.60 | % | ||
AGIC Income & Growth, AGIC Mid-Cap Growth, NFJ All-Cap Value and AGIC Opportunity | 0.65 | % | ||
AGIC Global and RCM Global Commodity Equity | 0.70 | % | ||
RCM Wellness | 0.80 | % | ||
AGIC Emerging Markets Opportunities, AGIC Pacific Rim(4), RCM Global Small-Cap and RCM Technology | 0.90 | % | ||
RCM Strategic Growth(5) | 1.00 | % |
(1) | The investment advisory fees are subject to a voluntary fee waiver currently in effect for the Fund that would reduce the 0.45% contractual fee rate by 0.025% on assets in excess of $7.5 billion and by an additional 0.025% on assets in excess of $10 billion, each based on the Fund’s average daily net assets. | |
(2) | Effective November 1, 2010 the investment advisory fees became subject to a voluntary fee waiver that reduces the contractual fee rate by 0.05% to 0.55%. | |
(3) | The investment advisory fees are subject to a voluntary fee waiver currently in effect for the Fund that reduces the 0.60% contractual fee rate by 0.025% on assets in excess of $3 billion, by an additional 0.025% on assets in excess of $4 billion and by an additional 0.025% on assets in excess of $5 billion, each based on the Fund’s average daily net assets. | |
(4) | Effective November 1, 2010 the investment advisory fees became subject to a voluntary fee waiver that reduces the contractual fee rate by 0.05% to 0.85%. | |
(5) | Effective November 1, 2010 the investment advisory fees became subject to a voluntary fee waiver that reduces the contractual fee rate by 0.10% to 0.90%. | |
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | 1,356,524 | |||||||||
AGIC Emerging Markets Opportunities Fund | 1,178,935 | 836,462 | 793,678 | |||||||||
AGIC Global Fund | 300,383 | 213,803 | 219,654 | |||||||||
AGIC Growth Fund | 3,322,374 | 3,058,430 | 2,121,917 | |||||||||
AGIC Income & Growth Fund | 2,828,770 | 583,467 | 147,948 | |||||||||
AGIC International Fund | 557,435 | 799,623 | 1,206,204 | |||||||||
AGIC Mid-Cap Growth Fund | 45,916 | 37,192 | 53,954 | |||||||||
AGIC Opportunity Fund | 1,940,963 | 1,658,941 | 1,148,694 | |||||||||
AGIC Pacific Rim Fund | 1,193,421 | 1,509,645 | 1,825,546 | |||||||||
AGIC Systematic Growth Fund | 168,679 | 201,751 | 161,709 | |||||||||
AGIC Target Fund | 1,835,666 | 1,791,615 | 1,830,483 | |||||||||
NFJ All-Cap Value Fund | 141,670 | 130,293 | 130,880 | |||||||||
NFJ Dividend Value Fund(1) | 32,889,738 | 29,567,754 | 28,571,572 | |||||||||
NFJ International Value Fund | 11,020,160 | 8,369,714 | 6,430,052 | |||||||||
NFJ Large-Cap Value Fund(1) | 5,461,055 | 5,508,248 | 4,057,737 | |||||||||
NFJ Mid-Cap Value Fund | 73,350 | 58,466 | 52,587 | |||||||||
NFJ Renaissance Fund(1) | 4,988,659 | 4,771,393 | 4,711,577 | |||||||||
NFJ Small-Cap Value Fund | 40,953,667 | 35,123,335 | 25,166,820 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 131,140 | |||||||||
OCC International Equity Fund(1) | N/A | N/A | 5,308 |
67
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
OCC Small-Cap Value Fund(1) | N/A | N/A | 5,703 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 263,627 | |||||||||
RCM Disciplined International Equity Fund(1) | 213,249 | 226,039 | 242,660 | |||||||||
RCM Global Commodity Equity Fund | 347,430 | 277,626 | 226,088 | |||||||||
RCM Global Small-Cap Fund | 745,589 | 745,548 | 932,252 | |||||||||
RCM Large-Cap Growth Fund | 1,984,275 | 1,802,079 | 1,506,500 | |||||||||
RCM Mid-Cap Fund | 331,949 | 253,432 | 236,594 | |||||||||
RCM Small-Cap Growth Fund(1) | N/A | N/A | 37,234 | |||||||||
RCM Strategic Growth Fund | 103,342 | 92,244 | 46,580 | |||||||||
RCM Technology Fund | 10,563,645 | 9,491,359 | 7,752,061 | |||||||||
RCM Wellness Fund | 1,055,126 | 1,042,153 | 826,677 | |||||||||
TOTAL | $ | 124,245,446 | $ | 108,150,612 | $ | 92,199,960 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
• | Continually work to enhance the compliance programs of all Allianz Global Investors of America L.P. subsidiaries; | ||
• | Assess the existing local compliance plans in relation to current business practices from a risk-based perspective and work with local compliance to resolve major issues or gaps; and | ||
• | Provide for the documentation of policies and procedures, with emphasis on incorporating industry best practices. |
68
Position with Allianz | ||||
Global Fund | Recent Professional | |||
Name | Management | Experience | ||
Barbara R. Claussen | Management Board | Ms. Claussen has been a member of the Management Board since January 2008. Ms. Claussen is Chief Operating Officer at NFJ which is a registered investment adviser affiliated with Allianz Global Investors Fund Management LLC. Ms. Claussen has more than 30 years of experience in the investment business. She joined NFJ in 1989 and served as its head equity trader for approximately 17 years. In 2005, she was promoted to Chief Operating Officer at NFJ. Prior to joining NFJ in 1989, she worked for NationsBank where she spent 9 years in trading. She holds a B.S. from the University of Wisconsin-Stout. | ||
Brian J. Gaffney | Management Board | Mr. Gaffney is a Managing Director and Chief Executive Officer of Allianz Global Investors Distributors (AGID). Prior to joining AGID in July of 2008, Mr. Gaffney was a Managing Director and Head of Retail Distribution for Neuberger Berman, a position he held since 1999. Mr. Gaffney joined Neuberger Berman in 1993, having started as a regional vice president in the Institutional Mutual Funds division and subsequently as a senior vice president and National Sales Manager. Prior to joining Neuberger Berman, Mr. Gaffney was a regional vice president for Cigna Retirement Services from 1988 to 1993. He holds a BA in Sociology from Stonehill College. | ||
Gerard P. Marino | Management Board | Mr. Marino joined Allianz Global Investors in January 2010 as a Divisional Sales Manager for the South East Division. In April 2010 he also became a Supervisory Principal after passing the Series 24 examination. Mr. Marino also holds Series 7, 63 and 65 licenses. In January 2011, Mr. Marino became Managing Director and Head of Advisory Sales. Prior to joining Allianz, Mr. Marino was employed as a Director at Chartwell Investment Partners, an SEC-registered investment advisor, from 2005 to 2010. Mr. Marino was employed as a National Sales Manager at Turner Investment Partners from 2001 to 2005. From 1996-2001, Mr. Marino was employed by John Nuveen & Co., Incorporated and Rittenhouse Financial, where he served as Vice President of Portfolio Management and Marketing. Prior to joining Rittenhouse Financial, he served as the new England Sales Manager for Brine, Inc., a sporting goods manufacturer. Mr. Marino started his financial services career at Shearson Lehman Brothers where he worked from 1987 to 1990 as an Assistant Trader on the OTC Desk. Mr. Marino earned a Bachelor’s degree in Economics from the University of Virginia in 1986. He also holds his CIMA designation from the Investment Management Consultants Association. | ||
Scott T. Migliori | Management Board | Mr. Migliori joined RCM in 2003 as a Senior Portfolio Manager on the U.S. Large Cap Equity Portfolio Management Team. He is currently the CIO of the firm’s U.S. Large Cap Select Growth and Focused Growth strategies. In 2008, Scott was promoted to Deputy Chief Investment Officer of RCM San Francisco as part of a long term succession plan, and continues actively to drive the investment process for the Large Cap Select Growth and Focused Growth products. Prior to joining RCM, he was employed by Provident Investment Counsel, Inc. where he co-managed over $2 billion in large cap growth portfolios, and had also served as a Portfolio Manager and Analyst on mid and small cap growth funds. Prior to his investment career, Scott served as a business litigation attorney. He received his BS in Accounting from the University of Southern California, his JD from the Boalt Hall School of Law at the University of California, Berkeley, and his MBA from the Anderson School at the University of California, Los Angeles. Scott holds a CFA charter. |
69
Position with Allianz | ||||
Global Fund | Recent Professional | |||
Name | Management | Experience | ||
Stephen Sexauer | Management Board | Mr. Sexauer has been a member of the Management Board since February 2011. Mr. Sexauer is Chief Investment Officer of AGI Solutions since its inception on June 23, 2008. Mr. Sexauer has overall responsibility for AGI Solutions and is directly responsible for portfolio risk profiles, asset allocation and fund selection. Mr. Sexauer was a Managing Director of Allianz Global Investors of America LLC. Prior to Allianz, Mr. Sexauer was a portfolio manager at Morgan Stanley Asset Management from July 1989-March 2002. Mr Sexauer worked at Salomon Brothers from November 1986-June 1989, Economic Consulting at Merrill Lynch Economics from June 1982-April 1985 and Wharton Econometrics from June 1982-April 1985. Mr. Sexauer holds an M.B.A. from the University of Chicago with concentrations in economics and statistics and a B.S. from the University of Illinois in economics. | ||
Horacio A. Valeiras | Management Board | Mr. Valeiras has been Chief Investment Officer of AGIC since 2008 and is responsible for overseeing all investment and trading functions of AGI Capital. He is also the portfolio manager for the International Growth portfolios. Mr. Valeiras is Co- Director of the Allianz Center for Behavioral Finance. He joined the firm via a predecessor affiliate in 2002 after 15 years of prior investment industry experience with Morgan Stanley Investment Management, Miller Anderson & Sherrerd, and Credit Suisse First Boston. He holds an M.B.A. from the University of California, Berkeley, an S.M. from Massachusetts Institute of Technology and a B.S. from Virginia Tech. |
70
71
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | 1,055,074 | |||||||||
AGIC Emerging Markets Opportunities Fund(1) | 1,008,917 | 743,522 | 705,492 | |||||||||
AGIC Global Fund | 247,605 | 183,260 | 188,275 | |||||||||
AGIC Growth Fund | 2,643,259 | 2,446,744 | 1,700,986 | |||||||||
AGIC Income & Growth Fund | 2,332,165 | 493,703 | 125,187 | |||||||||
AGIC International Fund | 445,013 | 666,353 | 1,005,170 | |||||||||
AGIC Mid-Cap Growth Fund | 36,284 | 31,470 | 45,653 | |||||||||
AGIC Opportunity Fund | 1,578,636 | 1,403,719 | 983,189 | |||||||||
AGIC Pacific Rim Fund | 1,029,511 | 1,341,907 | 1,622,707 | |||||||||
AGIC Systematic Growth Fund | 131,634 | 161,400 | 129,368 | |||||||||
AGIC Target Fund | 1,498,873 | 1,465,867 | 1,509,331 | |||||||||
NFJ All-Cap Value Fund | 119,875 | 10,248 | 110,745 | |||||||||
NFJ Dividend Value Fund(1) | 25,580,908 | 22,997,142 | 22,305,795 | |||||||||
NFJ International Value Fund | 9,183,466 | 6,974,761 | 5,358,377 | |||||||||
NFJ Large-Cap Value Fund(1) | 4,247,487 | 4,284,193 | 3,156,017 | |||||||||
NFJ Mid-Cap Value Fund | 61,125 | 48,721 | 43,823 | |||||||||
NFJ Renaissance Fund(1) | 4,157,216 | 3,904,233 | 3,822,909 | |||||||||
NFJ Small-Cap Value Fund | 34,128,056 | 29,269,446 | 21,089,456 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 98,355 | |||||||||
OCC International Equity Fund(1) | N/A | N/A | 4,423 | |||||||||
OCC Small-Cap Value Fund(1) | N/A | N/A | 4,826 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 230,674 | |||||||||
RCM Disciplined International Equity Fund(1) | 170,599 | 180,832 | 197,228 | |||||||||
RCM Global Commodity Equity Fund | 297,797 | 237,965 | 196,793 | |||||||||
RCM Global Small-Cap Fund | 660,465 | 667,070 | 844,227 | |||||||||
RCM Large-Cap Growth Fund | 1,543,325 | 1,401,617 | 1,297,355 | |||||||||
RCM Mid-Cap Fund | 261,321 | 199,510 | 209,209 | |||||||||
RCM Small-Cap Growth Fund(1) | N/A | N/A | 35,643 | |||||||||
RCM Strategic Growth Fund | 92,223 | 83,020 | 43,096 | |||||||||
RCM Technology Fund | 9,389,907 | 8,436,763 | 7,039,799 | |||||||||
RCM Wellness Fund | 923,235 | 911,884 | 723,343 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
72
• | retain investment talent for the long-term, |
• | link pay to investment performance, |
• | build a common culture for the larger organization, and |
• | align incentives with our organizational values. |
• | Base Pay. Each portfolio manager is paid a fixed base salary that is set at a level determined by AGIC or NFJ, as applicable. In setting the base salary, the firm’s intentions are to be competitive in light of the portfolio manager’s experience and responsibilities. Firm management evaluates competitive market compensation by reviewing compensation survey results conducted by an independent third party of investment industry compensation consultants. |
• | Annual Cash Bonus. Each portfolio manager is eligible for an annual cash bonus, which is based generally on the relevant Fund’s pre-tax performance. Compensation linked to investment performance typically uses the relevant Fund’s benchmark (as specified in its Summary Prospectus) and/or peer group ranking through measurement periods that are trailing one, three and five years, but vary by investment team and fund. The differences in time periods are not arbitrary, but are linked to the nature of the investment processes, strategies and investment turnover. |
• | Firm Profit-Linked Incentives. |
• | Base Pay: | 25% to 35% of total compensation | ||
• | Annual Cash Bonus: | 35% to 55% of total compensation | ||
• | PIP/LTIP: | 10% to 30% of total compensation |
73
Other Pooled Investment | Other Registered | |||||||||||||||||||||||
Vehicles | Other Accounts | Investment Companies | ||||||||||||||||||||||
Portfolio Manager | # | AUM ($ million) | # | AUM ($ million) | # | AUM ($ million) | ||||||||||||||||||
Pedro Marcal | 0 | 0 | 3 | 695 | 1 | 116 | ||||||||||||||||||
Steven Tael, Ph.D., CFA | 7 | 845 | 23 | 422 | 1 | 134 | ||||||||||||||||||
Jane Edmondson | 7 | 845 | 23 | 422 | 1 | 134 | ||||||||||||||||||
Nelson Shing | 1 | 6.0 | 2 | 107.9 | 1 | 146.3 | ||||||||||||||||||
Kunal Ghosh | 7 | 845 | 23 | 422 | 1 | 134 | ||||||||||||||||||
Christopher A. Herrera | 1 | 6.0 | 2 | 107.9 | 1 | 146.3 | ||||||||||||||||||
Mark P. Roemer | 7 | 845 | 23 | 422 | 1 | 134 | ||||||||||||||||||
Michael E. Yee | 7 | 761.2 | 10 | 1,308.9 | 7 | 3,775.2 | ||||||||||||||||||
Justin Kass, CFA | 7 | 761.2 | 10 | 1,308.9 | 7 | 3,775.2 | ||||||||||||||||||
Douglas Forsyth | 7 | 761.2 | 10 | 1,308.9 | 7 | 3,775.2 | ||||||||||||||||||
Michael Corelli | 0 | 0 | 15 | 447.1 | 8 | 757 | ||||||||||||||||||
Jeff Parker | 0 | 0 | 1 | 5.9 | 0 | 0 | ||||||||||||||||||
Eric Sartorius | 0 | 0 | 15 | 447.1 | 8 | 757 | ||||||||||||||||||
William Sandow | 0 | 0 | 1 | 5.9 | 0 | 0 | ||||||||||||||||||
Lu Yu, CFA, CIPM | 7 | 845 | 23 | 422 | 1 | 134 | ||||||||||||||||||
Sherry Zhang | 7 | 845 | 23 | 422 | 1 | 134 |
Other Pooled Investment | Other Registered | |||||||||||||||||||||||
Vehicles | Other Accounts | Investment Companies | ||||||||||||||||||||||
Portfolio Manager | # | AUM ($ million) | # | AUM ($ million) | # | AUM ($ million) | ||||||||||||||||||
Pedro Marcal | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Steven Tael, Ph.D. CFA | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Jane Edmondson | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Nelson Shing | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Kunal Ghosh | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Christopher A. Herrera | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Mark P. Roemer | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Michael E. Yee | 2 | 359 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Justin Kass, CFA | 2 | 359 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Douglas Forsyth, CFA | 2 | 359 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Michael Corelli | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Jeff Parker | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Eric Sartorius | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
William Sandow | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Lu Yu, CFA, CIPM | 2 | 585 | 1 | 18 | 0 | 0 | ||||||||||||||||||
Sherry Zhang | 2 | 585 | 1 | 18 | 0 | 0 |
74
• | The most attractive investments could be allocated to higher-fee accounts or performance fee accounts. |
• | The trading of higher-fee accounts could be favored as to timing and/or execution price. For example, higher-fee accounts could be permitted to sell securities earlier than other accounts when a prompt sale is desirable or to buy securities at an earlier and more opportune time. |
• | The investment management team could focus their time and efforts primarily on higher-fee accounts due to a personal stake in compensation. |
75
Dollar Range of Equity Securities | ||||
AGIC Emerging Markets Opportunities | ||||
Kunal Ghosh | $ | 50,001 — $100,000 | ||
Lu, Yu, CFA, CIPM | $ | 100,001 — $500,000 | ||
AGIC Global | ||||
Christopher A. Herrera | $ | 100,001 — $500,000 | ||
Nelson Shing | $ | 1 — $10,000 | ||
AGIC Systematic Growth | ||||
Jane Edmondson | $ | 1 — $10,000 | ||
Kunal Ghosh | None | |||
AGIC Income & Growth | ||||
Douglas Forsyth, CFA | $ | 500,001 — $1,000,000 | ||
Michael E. Yee | $ | 500,001 — $1,000,000 | ||
Justin Kass, CFA | $ | 100,001 — $500,000 | ||
AGIC International | ||||
Kunal Ghosh | $ | 10,001 — $50,000 | ||
Steven Tael, Ph.D., CFA | $ | 50,001 — $100,000 | ||
Sherry Zhang | $ | 10,001 — $50,000 | ||
AGIC Mid-Cap Growth | ||||
Jane Edmondson | $ | 1 — $10,000 | ||
Mark P. Roemer | None | |||
AGIC Pacific Rim | ||||
Pedro Marcal | $ | 10,001 — $50,000 | ||
AGIC Growth | ||||
Jeff Parker | $ | 100,001 — $500,000 | ||
William Sandow | $ | 100,001 — $500,000 | ||
AGIC Opportunity | ||||
Michael Corelli | $ | 500,001 — $1,000,000 | ||
Eric Sartorius | $ | 500,001 — $1,000,000 | ||
AGIC Target | ||||
Jeff Parker | $ | 500,001 — $1,000,000 | ||
William Sandow | $ | 100,001 — $500,000 |
76
Other Pooled Investment | Other Registered | |||||||||||||||||||||||
Vehicles | Other Accounts | Investment Companies | ||||||||||||||||||||||
Portfolio Manager | # | AUM ($ million) | # | AUM ($ million) | # | AUM ($ million) | ||||||||||||||||||
Benno J. Fischer | 5 | 176 | 50 | 11,123 | 16 | 6,369 | ||||||||||||||||||
Paul A. Magnuson | 5 | 176 | 45 | 10,537 | 15 | 6,321 | ||||||||||||||||||
R. Burns McKinney | 2 | 83 | 40 | 9,809 | 11 | 5,270 | ||||||||||||||||||
Thomas W. Oliver | 2 | 83 | 43 | 10,155 | 12 | 5,318 | ||||||||||||||||||
Morley D. Campbell | 3 | 93 | 6 | 936 | 4 | 1,051 | ||||||||||||||||||
L. Baxter Hines | 2 | 83 | 37 | 9,531 | 7 | 5,154 | ||||||||||||||||||
Jeff N. Reed | 1 | 6 | 35 | 7,286 | 9 | 3,462 |
77
• | The most attractive investments could be allocated to higher-fee accounts or performance fee accounts. |
• | The trading of higher-fee accounts could be favored as to timing and/or execution price. For example, higher fee accounts could be permitted to sell securities earlier than other accounts when a prompt sale is desirable or to buy securities at an earlier and more opportune time. |
• | The investment management team could focus their time and efforts primarily on higher-fee accounts due to a personal stake in compensation. |
78
NFJ All-Cap Value | ||||
Benno J. Fischer | $ | 10,001 - $50,000 | ||
Thomas W. Oliver | $ | 50,001 - $100,000 | ||
Jeff N. Reed | None | |||
NFJ Dividend Value | ||||
Benno J. Fischer | $ | 500,001 - $1,000,000 | ||
L. Baxter Hines | $ | 10,001 - $50,000 | ||
Paul A. Magnuson | $ | 100,001 - $500,000 | ||
R. Burns McKinney | $ | 100,001 - $500,000 | ||
Thomas W. Oliver | $ | 100,001 - $500,000 | ||
Jeff N. Reed | $ | 10,001 - $50,000 | ||
NFJ International Value | ||||
Benno J. Fischer | $ | 100,001 - $500,000 | ||
L. Baxter Hines | $ | 10,001 - $50,000 | ||
Paul A. Magnuson | $ | 100,001 - $500,000 | ||
R. Burns McKinney | $ | 100,001 - $500,000 | ||
Thomas W. Oliver | $ | 100,001 - $500,000 | ||
NFJ Large-Cap Value | ||||
Thomas W. Oliver | $ | 100,001 - $500,000 | ||
Paul A. Magnuson | None | |||
Benno J. Fischer | $ | 10,001 - $50,000 | ||
Jeff N. Reed | $ | 10,001 - $50,000 | ||
R. Burns McKinney | $ | 50,001 - $100,000 | ||
NFJ Mid-Cap Value | ||||
Benno J. Fischer | $ | 10,001 - $50,000 | ||
Thomas W. Oliver | $ | 100,001 - $500,000 | ||
Jeff N. Reed | None | |||
NFJ Renaissance | ||||
Paul A. Magnuson | $ | 100,001 - $500,000 | ||
Benno J. Fischer* | $ | 10,001 - $50,000 | ||
Morley D. Campbell | $ | 100,001 - $500,000 | ||
Jeff N. Reed | $ | 1 - $10,000 | ||
NFJ Small-Cap Value | ||||
Paul A. Magnuson | $ | 100,001 - $500,000 | ||
Morley D. Campbell | $ | 10,001 - $50,000 | ||
Benno J. Fischer | $ | 100,001 - $500,000 |
79
80
Other Pooled Investment | Other Registered | |||||||||||||||||||||||
Vehicles | Other Accounts | Investment Companies | ||||||||||||||||||||||
Portfolio Manager | # | AUM ($ million) | # | AUM ($ million) | # | AUM ($ million) | ||||||||||||||||||
Raphael L. Edelman | 0 | 0 | 32 | 1,453 | 0 | 0 | ||||||||||||||||||
Peter A. Goetz | 0 | 0 | 22 | 624 | 1 | 120 | ||||||||||||||||||
Louise M. Laufersweiler | 1 | 6 | 13 | 338 | 1 | 99 | ||||||||||||||||||
Timothy McCarthy | 1 | 6 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Andrew Neville | 1 | 85 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Dennis Lai | 3 | 716 | 2 | 83 | 0 | 0 | ||||||||||||||||||
Koji Nakatsuka | 1 | 344 | 1 | 4 | 0 | 0 | ||||||||||||||||||
Steven Klopukh | 0 | 0 | 9 | 336 | 1 | 99 | ||||||||||||||||||
Steven Berexa | 4 | 762 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Huachen Chen | 4 | 411 | 17 | 891 | 5 | 1,460 | ||||||||||||||||||
Walter C. Price | 6 | 422 | 11 | 884 | 5 | 1,460 | ||||||||||||||||||
Michael Dauchot | 2 | 105 | 6 | 1.5 | 0 | 0 | ||||||||||||||||||
Ken Tsuboi | 1 | 55 | 7 | 2.5 | 0 | 0 | ||||||||||||||||||
Paul A. Wagner | 2 | 105 | 2 | .25 | 0 | 0 | ||||||||||||||||||
Paul D. Strand | 2 | 105 | 5 | 1.3 | 0 | 0 | ||||||||||||||||||
Alec Patterson | 0 | 0 | 6 | 2.5 | 0 | 0 | ||||||||||||||||||
Todd G. Hawthorne | 0 | 0 | 7 | 107 | 0 | 0 | ||||||||||||||||||
Scott T. Migliori | 1 | 107 | 41 | 5,706 | 0 | 0 | ||||||||||||||||||
Dan Hunt | 2 | 105 | 3 | .25 | 0 | 0 | ||||||||||||||||||
Joanne L. Howard | 1 | 79 | 34 | 255 | 0 | 0 | ||||||||||||||||||
Edward S. Painvin | 1 | 64.5 | 17 | 618 | 0 | 0 |
81
Other Pooled Investment | Other Registered | |||||||||||||||||||||||
Vehicles | Other Accounts | Investment Companies | ||||||||||||||||||||||
Portfolio Manager | # | AUM ($ million) | # | AUM ($ million) | # | AUM ($ million) | ||||||||||||||||||
Raphael L. Edelman | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Peter A. Goetz | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Louise M. Laufersweiler | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Timothy McCarthy | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Andrew Neville | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Dennis Lai | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Koji Nakatsuka | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Steven Klopukh | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Steven Berexa | 1 | 61 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Huachen Chen | 1 | 102 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Walter C. Price | 3 | 110 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Michael Dauchot | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Ken Tsuboi | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Paul A. Wagner | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Paul D. Strand | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Alec Patterson | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Todd G. Hawthorne | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Scott T. Migliori | 0 | 0 | 2 | 99.6 | 0 | 0 | ||||||||||||||||||
Dan Hunt | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Joanne L. Howard | 0 | 0 | 0 | 0 | 0 | 0 | ||||||||||||||||||
Edward S. Painvin | 0 | 0 | 0 | 0 | 0 | 0 |
• | The most attractive investments could be allocated to higher-fee accounts or performance fee accounts. |
• | The trading of higher-fee accounts could be favored as to timing and/or execution price. For example, higher fee accounts could be permitted to sell securities earlier than other accounts when a prompt sale is desirable or to buy securities at an earlier and more opportune time. |
• | The investment management team could focus their time and efforts primarily on higher-fee accounts due to a personal stake in compensation. |
82
83
Dollar Range of Equity Securities | ||||
RCM Disciplined International Equity | ||||
Steven Berexa | None | |||
RCM Global Commodity Equity | ||||
Paul D. Strand | $ | 50,001 - $100,000 | ||
Alec Patterson | None | |||
RCM Global Small-Cap | ||||
Louise M. Laufersweiler | $ | 50,001 - $100,000 | ||
Timothy McCarthy | None | |||
Andrew Neville | None | |||
Dennis Lai | None | |||
Koji Nakatsuka | None | |||
RCM Large-Cap Growth | ||||
Raphael L. Edelman | $ | 100,001 - $500,000 | ||
Peter A. Goetz | $ | 10,001 - $50,000 | ||
Scott T. Migliori | $ | 100,001 - $500,000 | ||
Joanne L. Howard | $ | 100,001 - $500,000 | ||
Edward S. Painvin | $ | 10,001 - $50,000 | ||
RCM Mid-Cap | ||||
Louise M. Laufersweiler | $ | 100,001 - $500,000 | ||
Steven Klopukh | $ | 100,001 - $500,000 | ||
RCM Strategic Growth | ||||
Raphael L. Edelman | None | |||
Todd G. Hawthorne | None | |||
RCM Technology | ||||
Walter C. Price | Over $1 million | |||
Huachen Chen | $ | 500,001 - $1,000,000 | ||
RCM Wellness | ||||
Ken Tsuboi | $ | 100,001 - $500,000 | ||
Michael Dauchot | $ | 10,001 - $50,000 | ||
Dan Hunt | $ | 10,001 - $50,000 | ||
Paul A. Wagner | $ | 10,001 - $50,000 |
84
Institutional and | Class A, Class B, Class C, | |||||||||||
Fund | Administrative Classes(1) | Class D, and Class R(1) | Class P(1) | |||||||||
AGIC Emerging Markets Opportunities | 0.40 | %(2) | 0.50 | % | 0.50 | % | ||||||
AGIC Global | 0.35 | % | 0.45 | % | 0.45 | % | ||||||
AGIC Systematic Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
AGIC Income & Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
AGIC International | 0.40 | % | 0.50 | % | 0.50 | % | ||||||
AGIC Mid-Cap Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
AGIC Pacific Rim | 0.40 | % | 0.50 | % | 0.50 | % | ||||||
NFJ All-Cap Value | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
NFJ Dividend Value | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
NFJ International Value(3) | 0.40 | % | 0.50 | % | 0.50 | % | ||||||
NFJ Large-Cap Value | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
NFJ Mid-Cap Value | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
NFJ Renaissance | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
NFJ Small-Cap Value | 0.30 | %(4) | 0.40 | % | 0.40 | % | ||||||
AGIC Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
AGIC Opportunity | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
AGIC Target | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
RCM Disciplined International Equity | 0.40 | % | 0.50 | % | N/A | |||||||
RCM Global Commodity Equity | 0.35 | % | 0.45 | % | 0.45 | % | ||||||
RCM Global Small-Cap | 0.35 | % | 0.45 | % | 0.45 | % | ||||||
RCM Large-Cap Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
RCM Mid-Cap | 0.30 | % | 0.40 | % | N/A | |||||||
RCM Strategic Growth | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
RCM Technology | 0.30 | % | 0.40 | % | 0.40 | % | ||||||
RCM Wellness | N/A | 0.40 | % | N/A |
(1) | The total Administrative Fee rate for each class of shares of the Allianz AGIC Emerging Markets Opportunities, Allianz AGIC International, Allianz AGIC Pacific Rim, Allianz NFJ International Value and Allianz RCM Disciplined International Equity Funds shall be reduced according to the following schedule, each based on such Fund’s aggregate average daily net assets: by 0.025% per annum on assets in excess of $250 million, by an additional 0.025% per annum on assets in excess of $500 million, by an additional 0.025% per annum on assets in excess of $1 billion, by an additional 0.025% per annum on assets in excess of $2.5 billion, by an additional 0.025% per annum on assets in excess of $5 billion and by an additional 0.025% per annum on assets in excess of $7.5 billion. To the extent any such reduction in the fee rate applies, the dollar amount of the fee reduction with respect to each share class is calculated and applied on a pro rata basis by reference to the percentage of the Fund’s average |
85
daily net assets attributable to that class. The total Administrative Fee rate for each class of shares of the Allianz AGIC Global, Allianz RCM Global Commodity Equity and Allianz RCM Global Small-Cap Funds shall be reduced according to the following schedule, each based on such Fund’s aggregate average daily net assets: by 0.025% per annum on assets in excess of $500 million, by an additional 0.025% per annum on assets in excess of $1 billion, by an additional 0.025% per annum on assets in excess of $2.5 billion, by an additional 0.025% per annum on assets in excess of $5 billion and by an additional 0.025% per annum on assets in excess of $7.5 billion. To the extent any such reduction in the fee rate applies, the dollar amount of the fee reduction with respect to each share class is calculated and applied on a pro rata basis by reference to the percentage of the Fund’s average daily net assets attributable to that class. The total Administrative Fee rate for each class of shares of all other Allianz Funds shall be reduced according to the following schedule, each based on such Fund’s aggregate average daily net assets: by 0.025% per annum on assets in excess of $1 billion, by an additional 0.025% per annum on assets in excess of $2.5 billion, by an additional 0.025% per annum on assets in excess of $5 billion and by an additional 0.025% per annum on assets in excess of $7.5 billion. To the extent any such reduction in the fee rate applies, the dollar amount of the fee reduction with respect to each share class is calculated and applied on a pro rata basis by reference to the percentage of the Fund’s average daily net assets attributable to that class. | ||
(2) | The Adviser agreed to observe, through March 31, 2011, a contractual waiver of a portion of its Administration Fees paid by Institutional Class shares such that total annual fund operating expenses (excluding extraordinary expenses) do not exceed 1.29% of the Fund’s average daily net assets attributable to the Institutional Class shares. Effective April 1, 2011, the Adviser agreed to observe, through June 30, 2012, a contractual waiver of a portion of its Administration Fees paid by Institutional Class shares such that total annual fund operating expenses (excluding extraordinary expenses) do not exceed 1.35% of the Fund’s average daily net assets attributable to the Institutional Class shares. | |
(3) | The Administrator has agreed to observe, through October 31, 2012, a voluntary 0.075% waiver of its Administration Fees paid by all share classes based on the Fund’s average daily net assets. | |
(4) | For the Allianz NFJ Small-Cap Value Fund, the Administrator has voluntarily agreed to observe, through October 31, 2012, an irrevocable waiver of a portion of its administrative fees paid by Institutional and Administrative Class shares which reduces the 0.30% contractual fee rate by 0.05% of the Fund’s average daily net assets attributable to the particular share class. | |
86
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value(1) | N/A | N/A | 1,161,752 | |||||||||
AGIC Emerging Markets Opportunities Fund | 616,436 | 374,083 | 491,073 | |||||||||
AGIC Global Fund | 171,552 | 136,258 | 156,778 | |||||||||
AGIC Systematic Growth Fund | 114,302 | 132,062 | 103,450 | |||||||||
AGIC Income & Growth Fund | 1,697,584 | 322,661 | 63,150 | |||||||||
AGIC International Fund | 447,407 | 646,165 | 1,095,162 | |||||||||
AGIC Mid-Cap Growth Fund | 24,009 | 17,775 | 21,023 | |||||||||
AGIC Pacific Rim Fund | 647,293 | 846,070 | 1,159,988 | |||||||||
NFJ All-Cap Value Fund | 86,859 | 76,755 | 73,899 | |||||||||
NFJ Dividend Value Fund(1) | 22,594,094 | 19,736,912 | 18,389,412 | |||||||||
NFJ International Value Fund | 5,855,547 | 6,357,130 | 5,961,750 | |||||||||
NFJ Large-Cap Value Fund(1) | 4,604,302 | 4,484,438 | 3,092,626 | |||||||||
NFJ Mid-Cap Value Fund | 48,707 | 38,489 | 33,319 | |||||||||
NFJ Renaissance Fund(1) | 3,297,966 | 3,148,200 | 3,382,162 | |||||||||
NFJ Small-Cap Value Fund | 19,599,207 | 17,273,505 | 12,925,649 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 85,637 | |||||||||
AGIC Growth Fund | 2,609,723 | 2,371,056 | 1,647,594 | |||||||||
OCC International Equity Fund(1) | N/A | N/A | 3,983 | |||||||||
AGIC Opportunity Fund | 1,056,462 | 908,140 | 618,843 | |||||||||
OCC Small-Cap Value Fund(1) | N/A | N/A | 2,283 | |||||||||
AGIC Target Fund | 1,329,109 | 1,297,111 | 1,329,504 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 131,814 | |||||||||
RCM Disciplined International Equity Fund(1) | 207,141 | 234,690 | 282,352 | |||||||||
RCM Global Commodity Equity Fund | 204,826 | 173,035 | 152,299 | |||||||||
RCM Global Small-Cap Fund | 368,641 | 351,727 | 455,570 | |||||||||
RCM Large-Cap Growth Fund | 1,437,330 | 1,253,006 | 951,729 | |||||||||
RCM Mid-Cap Fund | 231,200 | 166,727 | 134,319 | |||||||||
RCM Small-Cap Growth Fund(1) | N/A | N/A | 10,959 | |||||||||
RCM Strategic Growth Fund | 40,748 | 33,323 | 14,908 | |||||||||
RCM Technology Fund | 4,194,917 | 3,840,454 | 3,409,674 | |||||||||
RCM Wellness Fund | 527,563 | 542,034 | 474,135 | |||||||||
TOTAL | $ | 72,012,925 | $ | 64,761,806 | $ | 57,816,796 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
87
88
Year Ended | Year Ended | Year Ended | ||||||||||
Class | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Class A | $ | 122,533 | $ | 198,642 | $ | 255,648 | ||||||
Class B | 343,359 | 632,742 | 1,520,406 | |||||||||
Class C | 199,059 | 256,661 | 700,919 |
89
Servicing Fee | Distribution Fee | |||||||
Class B and Class C | 0.25 | % | 0.75 | % | ||||
Class R | 0.25 | % | 0.25 | % |
90
All Funds(1) | Servicing Fee | Distribution Fee | ||||||
Class A | 0.25 | % | N/A | |||||
Class B (2) | 0.25 | % | None | |||||
Class C (3) | 0.25 | % | 0.75 | % | ||||
Class R | 0.25 | % | 0.25 | % |
(1) | Applies, in part, to Class A, Class B and Class C shares of the Trust issued to former shareholders of PIMCO Advisors Funds in connection with the reorganizations/mergers of series of PIMCO Advisors Funds as/with Funds of the Trust in transactions which took place on January 17, 1997. | |
(2) | Payable only with respect to shares outstanding for one year or more. | |
(3) | Payable only with respect to shares outstanding for one year or more (or a shorter period if the Distributor has an agreement with the broker to that effect) so long as such shares remain outstanding. |
91
Ameriprise Financial Services, Inc.
Associated Securities Corp.
AXA Advisors, LLC
Banc of America Investment Services, Inc.
Banc One Securities Investment
CCO Investment Services
Chase Investment Services, Corp.
Citigroup Global Markets Inc.
Comerica Securities
Commonwealth Financial Network
Cuna Brokerage Services
E*TRADE Clearing LLC
First Allied Securities, Inc.
FSC Securities Corp.
ING Companies:
Financial Network Investment Corp.
92
PrimeVest Financial Services, Inc.
Lincoln Financial Securities
Linsco/Private Ledger Corporation
McDonald Investments
Merrill Lynch, Pierce, Fenner & Smith Inc.
ML Stern & Co., LLC
Morgan Stanley Smith Barney LLC/Citigroup Global Markets Inc.
Mutual Service Corporation
NatCity Investments
National Planning Holdings, Inc.
Investment Centers of America
National Planning Corp.
SII Investments Inc.
Oppenheimer & Co., Inc.
Piper Jaffray1
Questar Capital
Raymond James & Associates Inc.
Raymond James Financial Services, Inc.
RBC Capital Markets Corp.
Robert W. Baird
Royal Alliance Associates Inc.
SagePoint Financial, Inc. (f/k/a/ AIG Financial Advisors, Inc.)
Securities America, Inc.
Sterne Agee
Summit Brokerage Services Inc.
SunTrust Investment Services
UBS Financial Services, Inc.
United Planners’ Financial Services of America
US Bancorp Investments, Inc.
Waterstone Financial Group
Wells Fargo2
WM Financial Services Inc.
1 | Subsequently acquired by UBS. | |
2 | Includes arrangements with Wachovia Capital Markets, LLC (f/k/a Wachovia Securities, LLC), which was acquired by Wells Fargo. |
93
94
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | 261,409 | |||||||||
AGIC Emerging Markets Opportunities Fund(1) | $ | 47,869 | $ | 84,558 | 73,787 | |||||||
AGIC Global Fund | 12,674 | 22,251 | 26,109 | |||||||||
AGIC Systematic Growth Fund | 9,538 | 17,454 | 15,893 | |||||||||
AGIC Income & Growth Fund | 335,407 | 88,519 | 6,193 | |||||||||
AGIC International Fund | 32,752 | 87,212 | 166,153 | |||||||||
AGIC Mid-Cap Growth Fund | 2,833 | 1,893 | 268 | |||||||||
AGIC Pacific Rim Fund | 34,701 | 86,374 | 139,588 | |||||||||
NFJ All-Cap Value Fund | 16,487 | 18,766 | 16,480 | |||||||||
NFJ Dividend Value Fund(1) | 2,226,664 | 4,545,152 | 5,707,057 | |||||||||
NFJ International Value Fund | 1,036,634 | 1,644,900 | 1,440,516 | |||||||||
NFJ Large-Cap Value Fund(1) | 276,430 | 671,619 | 702,587 | |||||||||
NFJ Mid-Cap Value Fund | 10,968 | 14,928 | 11,633 | |||||||||
NFJ Renaissance Fund(1) | 588,302 | 955,178 | 913,941 | |||||||||
NFJ Small-Cap Value Fund | 3,162,159 | 5,187,649 | 4,055,435 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 24,669 | |||||||||
AGIC Growth Fund | 461,595 | 735,924 | 433,080 | |||||||||
AGIC Opportunity Fund | 97,524 | 189,202 | 129,642 | |||||||||
OCC Small-Cap Value Fund(1) | N/A. | N/A | 34 | |||||||||
AGIC Target Fund | 143,910 | 268,041 | 267,937 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 7,843 | |||||||||
RCM Global Commodity Equity Fund | 20,216 | 36,542 | 31,059 | |||||||||
RCM Global Small-Cap Fund | 39,732 | 62,566 | 78,207 | |||||||||
RCM Disciplined International Equity Fund(1) | 16,249 | 31,534 | 34,576 | |||||||||
RCM Large-Cap Growth Fund | 78,232 | 123,760 | 97,606 | |||||||||
RCM Mid-Cap Fund | 14,124 | 14,039 | 5,754 | |||||||||
RCM Strategic Growth Fund | 6,357 | 9,047 | 4,258 | |||||||||
RCM Technology Fund | 469,825 | 739,212 | 742,082 | |||||||||
RCM Wellness Fund | 21,599 | 35,013 | 29,004 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
95
Sales Material and | ||||||||||||
Fund | Compensation | Other Expenses | Total | |||||||||
AGIC Emerging Markets Opportunities Fund(1) | $ | 40,688 | $ | 7,181 | $ | 47,869 | ||||||
AGIC Global Fund | $ | 10,773 | $ | 1,901 | $ | 12,674 | ||||||
AGIC Systematic Growth Fund | $ | 8,107 | $ | 1,431 | $ | 9,538 | ||||||
AGIC Income & Growth Fund | $ | 285,096 | $ | 50,311 | $ | 335,407 | ||||||
AGIC International Fund | $ | 27,839 | $ | 4,913 | $ | 32,752 | ||||||
AGIC Mid-Cap Growth Fund | $ | 2,408 | $ | 425 | $ | 2,833 | ||||||
AGIC Pacific Rim Fund | $ | 29,496 | $ | 5,205 | $ | 34,701 | ||||||
NFJ All-Cap Value Fund | $ | 14,014 | $ | 2,473 | $ | 16,487 | ||||||
NFJ Dividend Value Fund(1) | $ | 1,892,665 | $ | 333,999 | $ | 2,226,664 | ||||||
NFJ International Value Fund | $ | 881,139 | $ | 155,495 | $ | 1,036,634 | ||||||
NFJ Large-Cap Value Fund(1) | $ | 234,966 | $ | 41,464 | $ | 276,430 | ||||||
NFJ Mid-Cap Value Fund | $ | 9,323 | $ | 1,645 | $ | 10,968 | ||||||
NFJ Renaissance Fund(1) | $ | 500,057 | $ | 88,245 | $ | 588,302 | ||||||
NFJ Small-Cap Value Fund | $ | 2,687,835 | $ | 474,324 | $ | 3,162,159 | ||||||
AGIC Growth Fund | $ | 392,355 | $ | 69,240 | $ | 461,595 | ||||||
AGIC Opportunity Fund | $ | 82,895 | $ | 14,629 | $ | 97,524 | ||||||
AGIC Target Fund | $ | 122,324 | $ | 21,586 | $ | 143,910 | ||||||
RCM Disciplined International Equity Fund(1) | $ | 13,811 | $ | 2,438 | $ | 16,249 | ||||||
RCM Global Commodity Equity Fund | $ | 17,184 | $ | 3,032 | $ | 20,216 | ||||||
RCM Global Small-Cap Fund | $ | 33,773 | $ | 5,959 | $ | 39,732 | ||||||
RCM Large-Cap Growth Fund | $ | 66,497 | $ | 11,735 | $ | 78,232 | ||||||
RCM Mid-Cap Fund | $ | 12,006 | $ | 2,118 | $ | 14,124 | ||||||
RCM Strategic Growth Fund | $ | 5,403 | $ | 954 | $ | 6,357 | ||||||
RCM Technology Fund | $ | 399,351 | $ | 70,474 | $ | 469,825 | ||||||
RCM Wellness Fund | $ | 18,359 | $ | 3,240 | $ | 21,599 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | 633,179 | |||||||||
AGIC Global Fund | $ | 19,625 | $ | 78,907 | 112,030 | |||||||
AGIC Systematic Growth Fund | 9,168 | 35,325 | 43,261 | |||||||||
AGIC Pacific Rim Fund | 43,820 | 142,346 | 200,212 | |||||||||
NFJ All-Cap Value Fund(1) | 6,862 | 18,126 | 21,268 | |||||||||
NFJ Dividend Value Fund(1) | 338,965 | 1,124,543 | 1,848,017 | |||||||||
NFJ Large-Cap Value Fund(1) | 174,069 | 760,167 | 483,274 | |||||||||
NFJ Renaissance Fund(1) | 302,056 | 1,317,653 | 1,836,121 | |||||||||
NFJ Small-Cap Value Fund | 251,900 | 1,060,259 | 1,333,237 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 43,298 | |||||||||
AGIC Growth Fund | 40,701 | 170,596 | 160,761 | |||||||||
AGIC Opportunity Fund | 19,801 | 60,255 | 51,567 | |||||||||
AGIC Target Fund | 24,411 | 84,294 | 114,805 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 11,584 |
96
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
RCM Wellness Fund | 18,635 | 54,789 | 53,656 | |||||||||
RCM Disciplined International Equity Fund(1) | 12,378 | 52,070 | 71,428 | |||||||||
RCM Global Small-Cap Fund | 41,785 | 114,478 | 153,025 | |||||||||
RCM Technology Fund | 66,480 | 176,598 | 190,040 | |||||||||
RCM Large-Cap Growth Fund | 18,526 | 55,241 | 51,564 | |||||||||
RCM Mid-Cap Fund | 12,468 | 19,288 | 11,604 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Sales Material and | ||||||||||||
Fund | Compensation | Other Expenses | Total | |||||||||
AGIC Global Fund | $ | 16,681 | $ | 2,944 | $ | 19,625 | ||||||
AGIC Systematic Growth Fund | $ | 7,792 | $ | 1,376 | $ | 9,168 | ||||||
AGIC Pacific Rim Fund | $ | 37,247 | $ | 6,573 | $ | 43,820 | ||||||
NFJ All-Cap Value Fund(1) | $ | 5,833 | $ | 1,029 | $ | 6,862 | ||||||
NFJ Dividend Value Fund(1) | $ | 288,120 | $ | 50,845 | $ | 338,965 | ||||||
NFJ Large-Cap Value Fund(1) | $ | 147,958 | $ | 26,111 | $ | 174,069 | ||||||
NFJ Renaissance Fund(1) | $ | 256,748 | $ | 45,308 | $ | 302,056 | ||||||
NFJ Small-Cap Value Fund | $ | 214,115 | $ | 37,785 | $ | 251,900 | ||||||
AGIC Growth Fund | $ | 34,595 | $ | 6,106 | $ | 40,701 | ||||||
AGIC Opportunity Fund | $ | 16,831 | $ | 2,970 | $ | 19,801 | ||||||
AGIC Target Fund | $ | 20,749 | $ | 3,662 | $ | 24,411 | ||||||
RCM Disciplined International Equity Fund(1) | $ | 10,521 | $ | 1,857 | $ | 12,378 | ||||||
RCM Global Small-Cap Fund | $ | 35,517 | $ | 6,268 | $ | 41,785 | ||||||
RCM Technology Fund | $ | 56,508 | $ | 9,972 | $ | 66,480 | ||||||
RCM Large-Cap Growth Fund | $ | 15,747 | $ | 2,779 | $ | 18,526 | ||||||
RCM Mid-Cap Fund | $ | 10,598 | $ | 1,870 | $ | 12,468 | ||||||
RCM Wellness Fund | $ | 15,839 | $ | 2,796 | $ | 18,635 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | 791,341 | |||||||||
AGIC Emerging Markets Opportunities Fund | $ | 113,260 | $ | 169,071 | 135,987 | |||||||
AGIC Global Fund | 24,608 | 56,359 | 72,282 | |||||||||
AGIC Systematic Growth Fund | 17,375 | 35,588 | 38,080 | |||||||||
AGIC Income & Growth Fund | 1,052,906 | 177,022 | 16,242 | |||||||||
AGIC International Fund | 114,097 | 324,851 | 531,946 | |||||||||
AGIC Mid-Cap Growth Fund(1) | 5,536 | 2,998 | 586 | |||||||||
AGIC Pacific Rim Fund | 111,759 | 309,743 | 445,355 | |||||||||
NFJ All-Cap Value Fund(1) | 32,270 | 50,475 | 46,353 | |||||||||
NFJ Dividend Value Fund(1) | 2,485,964 | 5,503,162 | 7,858,680 | |||||||||
NFJ International Value Fund | 1,194,109 | 2,040,549 | 1,959,180 |
97
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
NFJ Large-Cap Value Fund(1) | 635,908 | 1,460,424 | 1,182,977 | |||||||||
NFJ Mid-Cap Value Fund | 16,059 | 28,156 | 27,532 | |||||||||
NFJ Renaissance Fund(1) | 1,183,936 | 2,295,428 | 2,474,236 | |||||||||
NFJ Small-Cap Value Fund | 2,114,848 | 4,095,035 | 3,850,683 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 62,667 | |||||||||
AGIC Growth Fund | 1,018,018 | 2,015,567 | 1,942,747 | |||||||||
AGIC Opportunity Fund | 403,261 | 715,690 | 570,958 | |||||||||
OCC Small-Cap Value Fund(1) | N/A | N/A | 83 | |||||||||
AGIC Target Fund | 1,100,181 | 2,029,966 | 2,093,338 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | 23,355 | |||||||||
RCM Disciplined International Equity Fund(1) | 96,736 | 206,101 | 207,589 | |||||||||
RCM Global Commodity Equity Fund | 56,104 | 93,958 | 91,304 | |||||||||
RCM Global Small-Cap Fund | 75,137 | 126,264 | 166,299 | |||||||||
RCM Technology Fund | 710,902 | 1,124,029 | 1,021,519 | |||||||||
RCM Large-Cap Growth Fund | 50,410 | 82,676 | 61,574 | |||||||||
RCM Mid-Cap Fund | 28,280 | 28,334 | 15,565 | |||||||||
RCM Strategic Growth Fund | 9,135 | 15,845 | 3,828 | |||||||||
RCM Wellness Fund | 38,635 | 80,604 | 74,691 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Sales Material | ||||||||||||
Fund | Compensation | and Other Expenses | Total | |||||||||
AGIC Emerging Markets Opportunities Fund(1) | $ | 96,271 | $ | 16,989 | $ | 113,260 | ||||||
AGIC Global Fund | $ | 20,917 | $ | 3,691 | $ | 24,608 | ||||||
AGIC Systematic Growth Fund | $ | 14,769 | $ | 2,606 | $ | 17,375 | ||||||
AGIC Income & Growth Fund | $ | 894,970 | $ | 157,936 | $ | 1,052,906 | ||||||
AGIC International Fund | $ | 96,982 | $ | 17,115 | $ | 114,097 | ||||||
AGIC Mid-Cap Growth Fund | $ | 4,706 | $ | 830 | $ | 5,536 | ||||||
AGIC Pacific Rim Fund | $ | 94,995 | $ | 16,764 | $ | 111,759 | ||||||
NFJ All-Cap Value Fund(1) | $ | 27,429 | $ | 4,841 | $ | 32,270 | ||||||
NFJ Dividend Value Fund(1) | $ | 2,113,069 | $ | 372,895 | $ | 2,485,964 | ||||||
NFJ International Value Fund | $ | 1,014,993 | $ | 179,116 | $ | 1,194,109 | ||||||
NFJ Large-Cap Value Fund(1) | $ | 540,522 | $ | 95,386 | $ | 635,908 | ||||||
NFJ Mid-Cap Value Fund | $ | 13,650 | $ | 2,409 | $ | 16,059 | ||||||
NFJ Renaissance Fund(1) | $ | 1,006,346 | $ | 177,590 | $ | 1,183,936 | ||||||
NFJ Small-Cap Value Fund | $ | 1,797,621 | $ | 317,227 | $ | 2,114,848 | ||||||
AGIC Growth Fund | $ | 865,315 | $ | 152,703 | $ | 1,018,018 | ||||||
AGIC Opportunity Fund | $ | 342,772 | $ | 60,489 | $ | 403,261 | ||||||
AGIC Target Fund | $ | 935,154 | $ | 165,027 | $ | 1,100,181 | ||||||
RCM Disciplined International Equity Fund(1) | $ | 82,226 | $ | 14,510 | $ | 96,736 | ||||||
RCM Global Commodity Equity Fund | $ | 47,688 | $ | 8,416 | $ | 56,104 | ||||||
RCM Global Small-Cap Fund | $ | 63,866 | $ | 11,271 | $ | 75,137 | ||||||
RCM Technology Fund | $ | 604,266 | $ | 106,636 | $ | 710,902 | ||||||
RCM Large-Cap Growth Fund | $ | 42,849 | $ | 7,561 | $ | 50,410 | ||||||
RCM Mid-Cap Fund | $ | 24,038 | $ | 4,242 | $ | 28,280 | ||||||
RCM Strategic Growth Fund | $ | 7,764 | $ | 1,371 | $ | 9,135 | ||||||
RCM Wellness Fund | $ | 32,840 | $ | 5,795 | $ | 38,635 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
98
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | $ | N/A | N/A | $ | 26,677 | |||||||
AGIC Global Fund | $ | 1,140 | $ | 3,035 | 2,255 | |||||||
AGIC Income & Growth Fund | $ | 0 | N/A | N/A | ||||||||
AGIC International Fund | $ | 200 | 271 | 179 | ||||||||
NFJ Dividend Value Fund(1) | $ | 585,457 | 1,066,243 | 931,464 | ||||||||
NFJ International Value Fund | $ | 2,663 | 252 | N/A | ||||||||
NFJ Large-Cap Value | $ | 28,658 | 62,324 | 59,194 | ||||||||
NFJ Renaissance Fund | $ | 39,066 | 75,435 | 82,861 | ||||||||
NFJ Small-Cap Value Fund | $ | 432,439 | 640,189 | 313,111 | ||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 351 | |||||||||
AGIC Growth Fund | $ | 48,232 | 69,073 | 8,964 | ||||||||
AGIC Opportunity | $ | 455 | 47 | N/A | ||||||||
RCM Large-Cap Growth Fund | $ | 2,326 | 22,601 | 18,184 | ||||||||
RCM Mid-Cap Fund | $ | 4,656 | 912 | 172 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Sales Material | ||||||||||||
Fund | Compensation | and Other Expenses | Total | |||||||||
AGIC Global Fund | $ | 969 | $ | 171 | $ | 1,140 | ||||||
AGIC Income & Growth Fund | $ | 0 | $ | 0 | $ | 0 | ||||||
AGIC International Fund | $ | 170 | $ | 30 | $ | 200 | ||||||
NFJ Dividend Value Fund(1) | $ | 497,638 | $ | 87,819 | $ | 585,457 | ||||||
NFJ International Value Fund | $ | 2,263 | $ | 400 | $ | 2,663 | ||||||
NFJ Large-Cap Value Fund | $ | 24,359 | $ | 4,299 | $ | 28,658 | ||||||
NFJ Renaissance Fund(1) | $ | 33,206 | $ | 5,860 | $ | 39,066 | ||||||
NFJ Small-Cap Value Fund | $ | 367,573 | $ | 64,866 | $ | 432,439 | ||||||
AGIC Growth Fund | $ | 40,997 | $ | 7,235 | $ | 48,232 | ||||||
AGIC Opportunity Fund | $ | 387 | $ | 68 | $ | 455 | ||||||
RCM Large-Cap Growth Fund | $ | 1,977 | $ | 349 | $ | 2,326 | ||||||
RCM Mid-Cap Fund | $ | 3,957 | $ | 699 | $ | 4,656 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about the Fund. |
99
Fund | Class A | Class B | Class C | Class R | ||||||||||||
AGIC Emerging Markets Opportunities Fund(1) | 3,000 | N/A | 28,000 | N/A | ||||||||||||
AGIC Global Fund | 1,000 | 15,000 | 1,000 | 0 | ||||||||||||
AGIC Systematic Growth Fund | 0 | 7,000 | 4,000 | N/A | ||||||||||||
AGIC Income & Growth Fund | 26,000 | N/A | 765,000 | 0 | ||||||||||||
AGIC International Fund | 0 | N/A | 4,000 | 0 | ||||||||||||
AGIC Mid-Cap Growth Fund(1) | 0 | N/A | 3,000 | N/A | ||||||||||||
AGIC Pacific Rim Fund | 1,000 | 33,000 | 5,000 | N/A | ||||||||||||
NFJ All-Cap Value Fund | 2,000 | 5,000 | 9,000 | N/A | ||||||||||||
NFJ Dividend Value Fund(1) | (94,000 | ) | 255,000 | 481,000 | 103,000 | |||||||||||
NFJ International Value Fund | 31,000 | N/A | 243,000 | 0 | ||||||||||||
NFJ Large-Cap Value Fund(1) | 13,000 | 132,000 | 87,000 | 2,000 | ||||||||||||
NFJ Mid-Cap Value Fund | 1,000 | N/A | 2,000 | N/A | ||||||||||||
NFJ Renaissance Fund(1) | (15,000 | ) | 228,000 | 141,000 | 1,000 | |||||||||||
NFJ Small-Cap Value Fund | 7,000 | 190,000 | 231,000 | 16,000 | ||||||||||||
AGIC Growth Fund(1) | 127,000 | 31,000 | 144,000 | (23,000 | ) | |||||||||||
AGIC Opportunity Fund(1) | (2,000 | ) | 15,000 | 73,000 | 0 | |||||||||||
AGIC Target Fund(1) | 4,000 | 18,000 | 151,000 | N/A | ||||||||||||
RCM Disciplined International Equity Fund(1) | 1,000 | 9,000 | 5,000 | N/A | ||||||||||||
RCM Global Commodity Equity Fund | 1,000 | N/A | 12,000 | N/A | ||||||||||||
RCM Wellness Fund | 2,000 | 14,000 | 3,000 | N/A | ||||||||||||
RCM Global Small-Cap Fund | 4,000 | 31,000 | 8,000 | N/A | ||||||||||||
RCM Technology Fund | (5,000 | ) | 51,000 | 78,000 | N/A | |||||||||||
RCM Large-Cap Growth Fund | 5,000 | 14,000 | 11,000 | 0 | ||||||||||||
RCM Mid-Cap Fund | 2,000 | 9,000 | 9,000 | 0 | ||||||||||||
RCM Strategic Growth Fund | 1,000 | N/A | 4,000 | N/A |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
Fund | Class A | Class B | Class C | Class R | ||||||||||||
AGIC Emerging Markets Opportunities Fund(1) | 0.01 | % | 0.00 | % | 0.13 | % | 0.00 | % | ||||||||
AGIC Global Fund | 0.01 | % | 0.43 | % | 0.02 | % | 0.00 | % | ||||||||
AGIC Systematic Growth Fund | 0.00 | % | 0.42 | % | 0.12 | % | 0.00 | % | ||||||||
AGIC Income & Growth Fund | 0.01 | % | 0.00 | % | 0.29 | % | 0.00 | % | ||||||||
AGIC International Fund | 0.00 | % | 0.00 | % | 0.02 | % | 0.00 | % | ||||||||
AGIC Mid-Cap Growth Fund(1) | 0.00 | % | 0.00 | % | 0.26 | % | 0.00 | % | ||||||||
AGIC Pacific Rim Fund | 0.00 | % | 0.44 | % | 0.02 | % | 0.00 | % | ||||||||
NFJ All-Cap Value Fund(1) | 0.02 | % | 0.40 | % | 0.14 | % | 0.00 | % | ||||||||
NFJ Dividend Value Fund(1) | -0.01 | % | 0.42 | % | 0.10 | % | 0.04 | % | ||||||||
NFJ International Value Fund | 0.00 | % | 0.00 | % | 0.10 | % | 0.00 | % | ||||||||
NFJ Large-Cap Value Fund(1) | 0.01 | % | 0.43 | % | 0.07 | % | 0.02 | % | ||||||||
NFJ Mid-Cap Value Fund | 0.01 | % | 0.00 | % | 0.06 | % | 0.00 | % | ||||||||
NFJ Renaissance Fund(1) | 0.00 | % | 0.43 | % | 0.06 | % | 0.01 | % | ||||||||
NFJ Small-Cap Value Fund | 0.00 | % | 0.49 | % | 0.06 | % | 0.01 | % | ||||||||
AGIC Growth Fund(1) | 0.03 | % | 0.45 | % | 0.07 | % | -0.12 | % | ||||||||
AGIC Opportunity Fund(1) | 0.00 | % | 0.45 | % | 0.09 | % | 0.00 | % | ||||||||
AGIC Target Fund(1) | 0.00 | % | 0.42 | % | 0.07 | % | 0.00 | % | ||||||||
RCM Disciplined International Equity Fund(1) | 0.01 | % | 0.45 | % | 0.03 | % | 0.00 | % | ||||||||
RCM Global Commodity Equity Fund | 0.01 | % | 0.00 | % | 0.11 | % | 0.00 | % | ||||||||
RCM Global Small-Cap Fund | 0.01 | % | 0.39 | % | 0.05 | % | 0.00 | % | ||||||||
RCM Technology Fund | 0.00 | % | 0.44 | % | 0.06 | % | 0.01 | % | ||||||||
RCM Large-Cap Growth Fund | 0.01 | % | 0.45 | % | 0.11 | % | 0.00 | % | ||||||||
RCM Mid-Cap Fund | 0.02 | % | 0.38 | % | 0.15 | % | 0.00 | % | ||||||||
RCM Strategic Growth Fund | 0.02 | % | 0.00 | % | 0.24 | % | 0.00 | % | ||||||||
RCM Wellness Fund | 0.01 | % | 0.41 | % | 0.04 | % | 0.00 | % |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
100
101
102
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | $ | N/A | $ | 0 | 0 | |||||||
AGIC Global Fund | 54 | 46 | 41 | |||||||||
AGIC Systematic Growth Fund | 39 | 35 | 31 | |||||||||
AGIC International Fund | 24 | 21 | 19 | |||||||||
NFJ All-Cap Value Fund(1) | 46 | 38 | 33 | |||||||||
NFJ Dividend Value Fund(1) | 2,688,717 | 2,519,172 | 1,745,837 | |||||||||
NFJ International Value Fund | 28 | 3 | N/A | |||||||||
NFJ Large-Cap Value Fund(1) | 39,345 | 53,798 | 49,663 | |||||||||
NFJ Renaissance Fund(1) | 21,150 | 24,532 | 42,574 | |||||||||
NFJ Small-Cap Value Fund | 3,478,601 | 2,574,944 | 1,582,913 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | 0 | 0 | |||||||||
AGIC Growth Fund | 25,369 | 26,029 | 8,347 | |||||||||
AGIC Opportunity Fund | 6,334 | 3,276 | 340 | |||||||||
AGIC Target Fund | 134 | 139 | 261 | |||||||||
RCM Disciplined International Equity Fund(1) | 284 | 287 | 295 | |||||||||
RCM Large-Cap Growth Fund | 101,917 | 58,869 | 38,481 | |||||||||
RCM Mid-Cap Fund | 4,858 | 94 | 609 | |||||||||
RCM Strategic Growth Fund | 688 | 358 | 20 | |||||||||
RCM Technology Fund | 148,638 | 97,845 | 64,265 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
103
Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | 0 | 49,337 | |||||||||
AGIC Emerging Markets Opportunities Fund(1) | 20,836 | 20,085 | 49,214 | |||||||||
AGIC Global Fund | 4,067 | 4,555 | 4,873 | |||||||||
AGIC Systematic Growth Fund | 1,522 | 1,509 | 1,417 | |||||||||
AGIC Income & Growth Fund | 45,156 | 6,255 | 143 | |||||||||
AGIC International Fund | 7,100 | 13,444 | 18,069 | |||||||||
AGIC Mid-Cap Growth Fund(1) | 476 | 630 | 26 | |||||||||
AGIC Pacific Rim Fund | 75,985 | 97,147 | 110,451 | |||||||||
NFJ All-Cap Value Fund(1) | 5,370 | 5,139 | 5,834 | |||||||||
NFJ Dividend Value Fund(1) | 1,707,356 | 1,677,256 | 1,327,293 | |||||||||
NFJ International Value Fund | 221,440 | 237,513 | 253,726 | |||||||||
NFJ Large-Cap Value Fund(1) | 1,518,532 | 1,141,188 | 405,709 | |||||||||
NFJ Mid-Cap Value Fund | 777 | 538 | 476 | |||||||||
NFJ Renaissance Fund(1) | 47,514 | 22,708 | 29,278 | |||||||||
NFJ Small-Cap Value Fund | 365,933 | 448,009 | 248,862 | |||||||||
AGIC Opportunity Fund | 3,710 | 3,026 | 573 | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | 0 | 313 | |||||||||
AGIC Growth Fund | 24,374 | 35,716 | 13,623 | |||||||||
OCC Small-Cap Value Fund(1) | N/A | 0 | 20 | |||||||||
AGIC Target Fund | 1,597 | 1,766 | 1,747 | |||||||||
RCM Biotechnology Fund(1) | N/A | 0 | 65,822 | |||||||||
RCM Disciplined International Equity Fund(1) | 2,897 | 2,492 | 2,266 | |||||||||
RCM Global Commodity Equity Fund | 14,821 | 12,745 | 11,508 | |||||||||
RCM Global Small-Cap Fund | 49,537 | 40,269 | 47,842 | |||||||||
RCM Large-Cap Growth Fund | 89,967 | 74,224 | 55,551 | |||||||||
RCM Mid-Cap Fund | 4,494 | 3,112 | 1,487 | |||||||||
RCM Strategic Growth Fund | 1,833 | 1,991 | 209 | |||||||||
RCM Technology Fund | 474,637 | 396,957 | 351,339 | |||||||||
RCM Wellness Fund | 261,660 | 256,812 | 202,318 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
104
105
106
Allianz Family of Funds
P.O. Box 8050
Boston, MA 02266-8050
Allianz Family of Funds
c/o Boston Financial Data Services, Inc.
30 Dan Road
Canton, MA 02021-2809
P.O. Box 219968
Kansas City, MO 64121-9968
107
108
109
Allianz Family of Funds
P.O. Box 8050
Boston, MA 02266-8050
Allianz Family of Funds
P.O. Box 219968
Kansas City, MO 64121-9968
Allianz Family of Funds
c/o Boston Financial Data Services, Inc.
30 Dan Road
Canton, MA 02021-2809
110
Initial Minimum | Subsequent Minimum | |||||||||
Type of Account | Investment | Investment | Minimum Account Size | |||||||
Regular/General | ||||||||||
Retail Accounts | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
IRA | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
Roth IRA | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
UTMA | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
UGMA | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
Auto-Invest | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
Auto-Exchange | $1,000 per Fund | $50 per Fund | $ | 1,000 | ||||||
SEP IRA established on or before March 31, 2004 | per Fund/per $50 participant | $ | 0 | $ | 50 | |||||
SEP IRA established after March 31, 2004 | per Fund/per $1,000 participant | $ | 0 | $ | 1,000 | |||||
SIMPLE IRA* | per Fund/per $50 participant | $ | 0 | $ | 50 | |||||
SAR-SEP IRA* | per Fund/per $50 participant | $ | 0 | $ | 50 | |||||
403(b)(7) custodial account plan established on or before March 31, 2004 | per Fund/per $50 participant | $ | 0 | $ | 50 | |||||
403(b)(7) custodial account plan established after March 31, 2004 | per Fund/per $1,000 participant | $ | 0 | $ | 1,000 | |||||
Plan Investors held through omnibus accounts- | ||||||||||
Plan Level | $0 | $ | 0 | $ | 0 | |||||
Participant | ||||||||||
Level | $0 | $ | 0 | $ | 0 | |||||
Plan Investors held through non-omnibus accounts (individual participant accounts) established on or before March 31, 2004 | $50 per Fund | $ | 0 | $ | 50 | |||||
Plan Investors held through non-omnibus accounts (individual participant accounts) established after March 31, 2004 | $1,000 per Fund | $ | 0 | $ | 1,000 |
* | The minimums apply to existing accounts only. No new SIMPLE-IRA or SAR-SEP IRA accounts are being accepted. |
111
112
113
• | A redemption by a holder of Class A or Class C shares where the participating broker or dealer involved in the purchase of such shares waived all payments it normally would receive from the Distributor at the time of purchase (e.g., commissions and/or reallowances of initial sales charges and advancements of service and distribution fees). |
• | A redemption by a holder of Class A or Class C shares where, by agreement with the Distributor, the participating broker or dealer involved in the purchase of such shares waived a portion of any payment it normally would receive from the Distributor at the time of purchase (or otherwise agreed to a variation from the normal payment schedule) in connection with such purchase. |
• | Transactions described under clause (A) of Note 4 to the tables in the subsection “Initial Sales Charge Alternative-Class A Shares.” |
114
Discount or | ||||||||||||
Commission to | ||||||||||||
Sales Charge | Sales Charge | dealers as a % of | ||||||||||
as % of Net | as % of Public | Public Offering | ||||||||||
Amount of Purchase | Amount Invested | Offering Price | Price* | |||||||||
$0-$49,999 | 5.82 | % | 5.50 | % | 4.75 | % | ||||||
$50,000-$99,999 | 4.71 | % | 4.50 | % | 4.00 | % | ||||||
$100,000-$249,999 | 3.63 | % | 3.50 | % | 3.00 | % | ||||||
$250,000-$499,999 | 2.56 | % | 2.50 | % | 2.00 | % | ||||||
$500,000-$999,999 | 2.04 | % | 2.00 | % | 1.75 | % | ||||||
$1,000,000 + | 0.00 | % | 0.00 | % | 0.00 | %(1) |
* | From time to time, these discounts and commissions may be increased pursuant to special arrangements between the Distributor and certain participating brokers. |
(1) | The Distributor will pay a commission to dealers that sell amounts of $1,000,000 or more of Class A shares according to the following schedule: 1.00% of the first $2,000,000, 0.75% of amounts from $2,000,001 to $5,000,000, and 0.50% of amounts over $5,000,000. The Distributor will then also pay to such dealers a Rule 12b-1 trail fee of 0.25% beginning in the thirteenth month after purchase. These payments are not made in connection with sales to employer-sponsored plans. |
(i) | an individual, such individual’s spouse, such individual’s children under the age of 21 years, or such individual’s siblings (each a “family member”) (including family trust* accounts established by such a family member) |
(ii) | a trustee or other fiduciary for a single trust (except family trusts* noted above), estate or fiduciary account although more than one beneficiary may be involved |
(iii) | an employee benefit plan of a single employer. |
* | For the purpose of determining whether a purchase would qualify for a reduced sales charge under the Combined Purchase Privilege or Right of Accumulation, a “family trust” is one in which a family member(s) described in section (i) above is/are a beneficiary/ies and such person(s) and/or another family member is the trustee. |
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116
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Annual | Annual | |||||||||||
Fund | Service Fee* | Distribution Fee* | Total | |||||||||
AGIC Global, AGIC Pacific Rim, RCM Global Commodity Equity, RCM Global Small-Cap, RCM Disciplined International Equity, RCM Technology and RCM Wellness Funds | 0.25 | % | 0.75 | % | 1.00 | % | ||||||
All other Funds | 0.25 | % | 0.65 | % | 0.90 | % |
* | Paid with respect to shares outstanding for one year or more (or a shorter period if the Distributor has an agreement with the broker to that effect) so long as such shares remain outstanding, and calculated as a percentage of the net asset value of such shares. |
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(1) | a written request for redemption signed by all registered owners exactly as the account is registered on the Transfer Agent’s records, including fiduciary titles, if any, and specifying the account number and the dollar amount or number of shares to be redeemed; |
(2) | for certain redemptions described below, a guarantee of all signatures on the written request or on the share certificate or accompanying stock power, if required, as described under “How to Buy Shares-Signature Validation”; | |
(3) | any share certificates issued for any of the shares to be redeemed (see “Certificated Shares” below); and |
(4) | any additional documents that may be required by the Transfer Agent for redemption by corporations, partnerships or other organizations, executors, administrators, trustees, custodians or guardians, or if the redemption is requested by anyone other than the shareholder(s) of record. |
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Name of Vendor | Type of Service | Frequency | Lag Time | |||
Bingham McCutchen LLP | Legal counsel | varied | n/a | |||
Bloomberg | Trading system and compliance monitoring | daily | n/a | |||
BYN Mellon | Back-office outsourcing service provider | daily | n/a | |||
Ernst & Young LLP | Independent registered public accounting firm | varied | n/a | |||
FactSet | Analytics and portfolio attribution | daily | n/a | |||
Glass, Lewis & Co. | Proxy voting | daily | n/a | |||
IDS GmbH | Analysis and reporting services | daily | n/a | |||
ITG Solutions Network (Plexus) | Trade execution analysis | daily | n/a | |||
Latent Zero Consulting | Sentinel: software used to track client investment restrictions | daily | n/a | |||
PricewaterhouseCoopers LLP | registered public accounting firm | varied | n/a | |||
Risk Metrics Group | Proxy voting services | daily | n/a | |||
Ropes & Gray LLP | Legal counsel | varied | n/a | |||
SS&C Technologies | Portfolio accounting services | daily | n/a | |||
State Street Bank and Trust Co. | Custodial and accounting services | daily | n/a |
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Year Ended | Year Ended | Year Ended | ||||||||||
Fund | 6/30/11 | 6/30/10 | 6/30/09 | |||||||||
Allianz Global Investors Value Fund(1) | N/A | N/A | $ | 1,011,195 | ||||||||
AGIC Emerging Markets Opportunities Fund | $ | 549,352 | $ | 408,049 | 399,627 | |||||||
AGIC Global Fund | 64,901 | 89,375 | 124,413 | |||||||||
AGIC Systematic Growth Fund | 66,017 | 91,470 | 68,360 | |||||||||
AGIC Income & Growth | 703,131 | 165,793 | 37,195 | |||||||||
AGIC International Fund | 396,916 | 552,793 | 816,503 | |||||||||
AGIC Mid-Cap Growth Fund | 12,204 | 11,739 | 15,854 | |||||||||
AGIC Pacific Rim Fund | 540,288 | 603,108 | 463,764 | |||||||||
NFJ All-Cap Value Fund | 17,705 | 8,926 | 37,692 | |||||||||
NFJ Dividend Value Fund(1) | 4,437,208 | 4,164,870 | 7,637,654 | |||||||||
NFJ International Value Fund | 2,378,477 | 1,665,422 | 2,118,568 | |||||||||
NFJ Large-Cap Value Fund(1) | 433,529 | 627,507 | 972,761 | |||||||||
NFJ Mid-Cap Value Fund | 9,936 | 10,090 | 14,720 | |||||||||
NFJ Renaissance Fund(1) | 840,827 | 433,713 | 4,160,697 | |||||||||
NFJ Small-Cap Value Fund | 4,108,678 | 3,068,749 | 6,723,659 | |||||||||
OCC International Equity Fund(1) | N/A | N/A | N/A | |||||||||
OCC Equity Premium Strategy Fund(1) | N/A | N/A | 41,775 | |||||||||
AGIC Growth Fund | 1,044,618 | 1,269,218 | 1,578,274 | |||||||||
AGIC Opportunity Fund (1) | 1,077,474 | 1,056,346 | 1,316,357 | |||||||||
OCC Small-Cap Value Fund (1) | N/A | N/A | 0 | |||||||||
AGIC Target Fund(1) | 682,150 | 1,007,671 | 1,449,148 | |||||||||
RCM Biotechnology Fund(1) | N/A | N/A | N/A | |||||||||
RCM Disciplined International Equity Fund(1) | 33,456 | 63,053 | 55,321 | |||||||||
RCM Global Commodity Equity Fund | 94,021 | 108,866 | 87,380 | |||||||||
RCM Global Small-Cap Fund | 240,332 | 337,232 | 457,011 | |||||||||
RCM Large-Cap Growth Fund | 432,967 | 455,843 | 670,808 | |||||||||
RCM Mid-Cap Fund | 149,855 | 113,118 | 155,248 | |||||||||
RCM Small-Cap Growth Fund(1) | N/A | N/A | N/A | |||||||||
RCM Strategic Growth Fund | 29,266 | 44,070 | 36,686 | |||||||||
RCM Technology Fund | 11,260,342 | 10,073,053 | 11,938,471 | |||||||||
RCM Wellness Fund | 300,251 | 433,388 | 863,487 | |||||||||
TOTAL | $ | 29,903,901 | $ | 26,863,462 | $ | 43,252,628 |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. Any materially significant difference between the amount of brokerage commissions paid by a Fund during the most recent fiscal year and the amount of brokerage commissions paid by that same Fund for either of the two previous fiscal years is due, in part, to a significant decrease (or increase) in the size of the Fund, levels of portfolio turnover and the volatility of the relevant market for the Fund. |
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128
% of Fund’s | % of Fund’s | |||||||
Amount of | Aggregate | Aggregate Dollar | ||||||
Brokerage | Brokerage | Amount of | ||||||
Fund | Affiliated Broker | Commission | Commission | Transactions | ||||
None | None | $0 | 0% | 0% |
129
% of Fund’s | % of Fund’s | |||||||
Amount of | Aggregate | Aggregate Dollar | ||||||
Brokerage | Brokerage | Amount of | ||||||
Fund | Affiliated Broker | Commission | Commission | Transactions | ||||
None | None | $0 | 0% | 0% |
% of Fund’s | % of Fund’s | |||||||
Amount of | Aggregate | Aggregate Dollar | ||||||
Brokerage | Brokerage | Amount of | ||||||
Fund | Affiliated Broker | Commission | Commission | Transactions | ||||
None | None | $0 | 0% | 0% |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about this Fund. |
Aggregate Value of | ||||||
Securities of Regular | ||||||
Broker-Dealer Held by | ||||||
Fund | Regular Broker-Dealer | Fund | ||||
AGIC Emerging Markets Opportunities Fund | State Street Bank & Trust Co. | $ | 855,000 | |||
AGIC Global Fund | State Street Bank & Trust Co. | $ | 929,000 | |||
JP Morgan Chase & Co. | $ | 647,000 | ||||
AGIC Systematic Growth Fund | Wells Fargo Investments LLC | $ | 300,000 | |||
JP Morgan Chase & Co. | $ | 270,000 | ||||
AGIC Income & Growth Fund | State Street Bank & Trust Co. | $ | 24,515,000 | |||
Citigroup, Inc. | $ | 3,184,000 | ||||
AGIC International Fund | State Street Bank & Trust Co. | $ | 1,612,000 | |||
Deutsche Bank AG | $ | 584,000 | ||||
AGIC Mid-Cap Growth Fund | State Street Bank & Trust Co. | $ | 135,000 | |||
AGIC Pacific Rim Fund | State Street Bank & Trust Co. | $ | 1,618,000 | |||
NFJ All-Cap Value Fund | JP Morgan Chase & Co. | $ | 536,000 | |||
State Street Bank & Trust Co. | $ | 267,000 | ||||
Bank of America Corp. | $ | 167,000 | ||||
NFJ Dividend Value Fund | State Street Bank & Trust Co. | $ | 349,767,000 | |||
Wells Fargo Investments LLC | $ | 172,493,000 | ||||
JP Morgan Chase & Co. | $ | 170,941,000 | ||||
NFJ International Value Fund | Credit Suisse Group | $ | 36,240,000 | |||
State Street Bank & Trust Co. | $ | 25,274,000 | ||||
Barclays Capital, Inc. | $ | 19,599,000 | ||||
NFJ Large-Cap Value Fund | State Street Bank & Trust Co. | $ | 28,725,000 | |||
JP Morgan Chase & Co. | $ | 23,033,000 | ||||
Wells Fargo Investments LLC | $ | 22,437,000 | ||||
The Goldman Sachs Group, Inc. | $ | 20,350,000 | ||||
Morgan Stanley | $ | 8,732,000 | ||||
Bank of America Corp. | $ | 7,964,000 | ||||
NFJ Mid-Cap Value Fund | State Street Bank & Trust Co. | $ | 121,000 | |||
NFJ Renaissance Fund(1) | State Street Bank & Trust Co. | $ | 21,418,000 | |||
NFJ Small-Cap Value Fund | State Street Bank & Trust Co. | $ | 414,807,000 | |||
AGIC Growth Fund | JP Morgan Chase & Co. | $ | 14,203,000 | |||
State Street Bank & Trust Co. | $ | 9,938,000 |
130
Aggregate Value of | ||||||
Securities of Regular | ||||||
Broker-Dealer Held by | ||||||
Fund | Regular Broker-Dealer | Fund | ||||
AGIC Opportunity Fund | State Street Bank & Trust Co. | $ | 268,000 | |||
AGIC Target Fund | State Street Bank & Trust Co. | $ | 8,137,000 | |||
RCM Global Commodity Equity Fund | State Street Bank & Trust Co. | $ | 379,000 | |||
RCM Global Small-Cap Fund | State Street Bank & Trust Co. | $ | 691,000 | |||
RCM Disciplined International Equity Fund(1) | State Street Bank & Trust Co. | $ | 386,000 | |||
RCM Large-Cap Growth Fund | State Street Bank & Trust Co. | $ | 5,410,000 | |||
Wells Fargo Investments LLC | $ | 4,471,000 | ||||
JP Morgan Chase & Co. | $ | 4,413,000 | ||||
RCM Mid-Cap Fund | State Street Bank & Trust Co. | $ | 2,190,000 | |||
RCM Strategic Growth Fund | State Street Bank & Trust Co. | $ | 295,000 | |||
Bank of America Corp. | $ | 72,000 | ||||
Citigroup, Inc. | $ | 3,000 | ||||
RCM Technology Fund | State Street Bank & Trust Co. | $ | 87,427,000 | |||
RCM Wellness Fund(1) | State Street Bank & Trust Co. | $ | 6,602,000 |
* | “Regular Broker-Dealers” are defined by the SEC as: (a) one of the 10 brokers or dealers that received the greatest dollar amount of brokerage commissions by virtue of direct or indirect participation in the company’s portfolio transactions during the company’s most recent fiscal year; (b) one of the 10 brokers or dealers that engaged as principal in the largest dollar amount of portfolio transactions of the investment company during the company’s most recent fiscal year; or (c) one of the 10 brokers or dealers that sold the largest dollar amount of securities of the investment company during the company’s most recent fiscal year. | |
(1) | Please see the section captioned “The Trust” in this Statement of Additional Information for information about these Funds. |
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136
137
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142
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144
145
146
Since Inception | Inception | Inception | ||||||||||||
Fund | Class** | 1 Year | 5 Years | 10 Years | of Fund (Annualized) | Date of Fund | Date of Class | |||||||
NFJ All-Cap Value | Institutional | 36.74% | 0.56% | N/A | 8.61% | 7/19/2002 | 7/19/2002 | |||||||
Administrative | 36.32% | 0.30% | N/A | 8.33% | 7/19/2002 | |||||||||
Class A | 28.77% | -0.96% | N/A | 7.49% | 7/19/2002 | |||||||||
Class B | 30.34% | -0.82% | N/A | 7.45% | 7/19/2002 | |||||||||
Class C | 34.18% | -0.60% | N/A | 7.34% | 7/19/2002 | |||||||||
Class D | 36.35% | 0.18% | N/A | 8.17% | 7/19/2002 | |||||||||
Class P | 36.63% | 0.45% | N/A | 8.49% | 7/7/2008 | |||||||||
NFJ Large-Cap Value | Institutional | 29.18% | -0.74% | 4.94% | 6.12% | 5/8/2000 | 5/8/2000 | |||||||
Administrative | 28.88% | -1.01% | 4.67% | 5.86% | 9/15/2006 | |||||||||
Class A | 21.61% | -2.23% | 3.90% | 5.13% | 7/19/2002 | |||||||||
Class B | 22.81% | -2.22% | 3.86% | 5.10% | 7/19/2002 | |||||||||
Class C | 26.74% | -1.86% | 3.71% | 4.88% | 7/19/2002 | |||||||||
Class D | 28.72% | -1.11% | 4.49% | 5.66% | 7/19/2002 | |||||||||
Class R | �� | 28.41% | -1.36% | 4.28% | 5.45% | 1/10/2006 | ||||||||
Class P | 29.03% | -0.81% | 4.84% | 6.03% | 7/7/2008 | |||||||||
NFJ Dividend Value | Institutional | 31.89% | 1.10% | 5.88% | 7.46% | 5/8/2000 | 5/8/2000 | |||||||
Administrative | 31.67% | 0.86% | 5.61% | 7.19% | 5/8/2000 | |||||||||
Class A | 24.32% | -0.39% | 4.85% | 6.47% | 10/31/2001 | |||||||||
Class B | 25.55% | -0.35% | 4.89% | 6.51% | 10/31/2001 | |||||||||
Class C | 29.43% | -0.02% | 4.65% | 6.21% | 10/31/2001 | |||||||||
Class D | 31.53% | 0.74% | 5.44% | 7.00% | 10/31/2001 | |||||||||
Class R | 31.09% | 0.48% | 5.18% | 6.74% | 12/31/2002 | |||||||||
Class P | 31.81% | 1.00% | 5.78% | 7.36% | 7/7/2008 | |||||||||
NFJ Small-Cap Value | Institutional | 32.88% | 7.59% | 11.56% | 12.75% | 10/1/1991 | 10/1/1991 | |||||||
Administrative | 32.54% | 7.33% | 11.16% | 12.41% | 11/1/1995 | |||||||||
Class A | 25.05% | 5.96% | 10.47% | 11.97% | 1/20/1997 | |||||||||
Class B | 26.36% | 6.05% | 10.51% | 11.99% | 1/20/1997 | |||||||||
Class C | 30.36% | 6.36% | 10.27% | 11.46% | 1/20/1997 | |||||||||
Class D | 32.33% | 7.16% | 11.10% | 12.30% | 6/28/2002 | |||||||||
Class R | 32.05% | 6.90% | 10.81% | 11.95% | 12/31/2002 | |||||||||
Class P | 32.64% | 7.46% | 11.44% | 12.63% | 7/7/2008 | |||||||||
NFJ International Value | Institutional | 27.88% | 6.43% | N/A | 16.36% | 1/31/2003 | 1/31/2003 | |||||||
Administrative | 27.61% | 6.16% | N/A | 16.06% | 5/12/2010 | |||||||||
Class A | 20.46% | 4.84% | N/A | 15.18% | 3/31/2005 | |||||||||
Class C | 25.53% | 5.24% | N/A | 15.11% | 3/31/2005 | |||||||||
Class D | 27.52% | 6.05% | N/A | 15.97% | 3/31/2005 | |||||||||
Class R | 27.20% | 5.80% | N/A | 15.67% | 11/2/2009 | |||||||||
Class P | 27.81% | 6.33% | N/A | 16.25% | 7/7/2008 | |||||||||
NFJ Mid-Cap Value | Institutional | 29.16% | N/A | N/A | 2.35% | 8/21/2006 | 8/21/2006 | |||||||
Class A | 21.64% | N/A | N/A | 0.80% | 8/21/2006 | |||||||||
Class C | 26.56% | N/A | N/A | 1.19% | 8/21/2006 | |||||||||
Class D | 28.67% | N/A | N/A | 1.99% | 8/21/2006 | |||||||||
Class P | 28.99% | N/A | N/A | 2.25% | 7/7/2008 |
147
* | Average annual total return presentations for a particular class of shares assume payment of the current maximum sales charge (if any) applicable to that class at the time of purchase and assume that the maximum CDSC (if any) for Class A, Class B and Class C shares was deducted at the times, in the amounts, and under the terms discussed in the Retail Prospectus. | |
** | For all Funds listed above, Class A, Class B, Class C, Class D, Class P, Class R and Administrative Class total return presentations for periods prior to the Inception Date of a particular class reflect the prior performance of Institutional Class shares of the Fund (the oldest class) adjusted to reflect the actual sales charges (none in the case of Class D, Class R, Class P and the Administrative Class) of the newer class. The adjusted performance also reflects the higher Fund operating expenses applicable to Class A, Class B, Class C, Class D, Class P, Class R and Administrative Class shares. These include (i) 12b-1 distribution and servicing fees, which are not paid by the Institutional Class or Class P and are paid by Class B and Class C (at a maximum rate of 1.00% per annum), Class A and the Administrative Class (at a maximum rate of 0.25% per annum), Class R (at a maximum rate of 0.50% per annum) and may be paid by Class D (at a maximum rate of 0.25% per annum) and (ii) administrative fee charges, which generally |
differ from class to class. (Administrative fee charges are the same for Class A, B and C shares). Please see “Management of the Trust — Fund Administrator” for information about the administrative fee charges for the different classes of the Funds and the Fund Summaries in the Prospectuses for more detailed information about each Fund’s fees and expenses. |
Since Inception | Inception | Inception | ||||||||||||
Fund | Class*** | 1 Year | 5 Years | 10 Years | of Fund (Annualized) | Date of Fund | Date of Class | |||||||
NFJ Renaissance* | Class A | 25.83% | 2.90% | 5.57% | 11.12% | 4/18/1988 | 2/1/1991 | |||||||
Class B | 27.19% | 3.01% | 5.62% | 11.14% | 5/22/1995 | |||||||||
Class C | 31.19% | 3.29% | 5.38% | 10.56% | 4/18/1988 | |||||||||
Class D | 33.15% | 4.08% | 6.17% | 11.40% | 4/8/1998 | |||||||||
Class R | 32.82% | 3.82% | 5.87% | 11.03% | 12/31/2002 | |||||||||
Class P | 33.43% | 4.36% | 6.47% | 11.68% | 2/28/2011 | |||||||||
Institutional | 33.61% | 4.47% | 6.58% | 11.79% | 12/30/1997 | |||||||||
Administrative | 33.28% | 4.20% | 6.36% | 11.55% | 8/31/1998 | |||||||||
AGIC Growth | Class A | 24.51% | 5.02% | 1.72% | 10.39% | 2/24/1984 | 10/26/1990 | |||||||
Class B | 25.84% | 5.11% | 1.76% | 10.41% | 5/23/1995 | |||||||||
Class C | 29.72% | 5.43% | 1.53% | 9.79% | 2/24/1984 | |||||||||
Class D | 31.75% | 6.23% | 2.30% | 10.61% | 1/31/2000 | |||||||||
Class R | 31.40% | 5.95% | 2.01% | 10.26% | 12/31/2002 | |||||||||
Class P | 32.06% | 6.53% | 2.59% | 10.93% | 7/7/2008 | |||||||||
Institutional | 32.19% | 6.63% | 2.69% | 11.04% | 3/31/1999 | |||||||||
Administrative | 31.90% | 6.37% | 2.43% | 10.75% | 3/31/1999 | |||||||||
AGIC Opportunity | Class A | 26.50% | 4.67% | 5.32% | 12.04% | 2/24/1984 | 12/17/1990 | |||||||
Class B | 27.78% | 4.73% | 5.36% | 12.06% | 3/31/1999 | |||||||||
Class C | 31.87% | 5.07% | 5.13% | 11.45% | 2/24/1984 | |||||||||
Class D | 33.89% | 5.87% | 5.93% | 12.30% | 1/12/2007 | |||||||||
Class R | 33.44% | 5.62% | 5.69% | 12.01% | 11/2/2009 | |||||||||
Class P | 34.09% | 6.15% | 6.22% | 12.57% | 7/7/2008 | |||||||||
Institutional | 34.25% | 6.26% | 6.33% | 12.68% | 3/31/1999 | |||||||||
Administrative | 33.97% | 6.00% | 6.07% | 12.42% | 3/31/1999 | |||||||||
AGIC Target | Class A | 33.24% | 4.40% | 2.38% | 9.71% | 12/17/1992 | 12/17/1992 | |||||||
Class B | 34.84% | 4.49% | 2.43% | 9.74% | 5/22/1995 | |||||||||
Class C | 38.96% | 4.80% | 2.20% | 9.26% | 12/17/1992 | |||||||||
Class D | 40.89% | 5.59% | 2.97% | 10.05% | 6/9/2000 | |||||||||
Class P | 41.25% | 5.87% | 3.26% | 10.36% | 7/7/2008 | |||||||||
Institutional | 41.44% | 5.99% | 3.37% | 10.47% | 3/31/1999 | |||||||||
Administrative | 41.06% | 5.72% | 3.12% | 10.26% | 3/31/1999 |
148
* | Formerly known as the OCC Renaissance Fund. | |
** | Average annual total return presentations for a particular class of shares assume payment of the current maximum sales charge (if any) applicable to that class at the time of purchase and assume that the maximum CDSC (if any) for Class A, B and C shares was deducted at the times, in the amounts, and under the terms discussed in the Retail Prospectus. | |
*** | Class A, Class B, Class D, Class R, Class P, Institutional Class and Administrative Class total return presentations for the NFJ Renaissance, AGIC Growth and AGIC Opportunity Funds reflect the prior performance of Class C shares of the Fund, adjusted to reflect the actual sales charges (or no sales charges in the case of Class D, Class P, Class R, Institutional Class and Administrative Class shares) of the newer class. The adjusted performance also reflects any different operating expenses |
associated with the newer class. These include (i) 12b-1 distribution and servicing fees, which are paid by Class C and Class B (at a maximum rate of 1.00% per annum), Class A and the Administrative Class (at a maximum rate of 0.25% per annum), Class R (at a maximum rate of 0.50% per annum) and may be paid by Class D (at a maximum rate of 0.25% per annum), and are not paid by Class P or the Institutional Class and (ii) administrative fee charges, which differ from class to class. (Administrative fee charges are the same for Class A, B and C shares). Please see “Management of the Trust — Fund Administrator” for information about the administrative fee charges for the different classes of the Funds and the Fund Summaries in the Prospectuses for more detailed information about each Fund’s fees and expenses. Performance presentations for periods prior to the Inception Date of Class B, Class D, Class P, Institutional Class and Administrative Class shares of the AGIC Target Fund are based on the historical performance of Class A shares (which were also offered since inception of the Fund), adjusted in the manner described above. |
149
(with no adjustment for operating expenses of the noted
classes for periods prior to their inception dates)
Since Inception | ||||||||||
Fund | Class | 1 Year | 5 Years | 10 Years | of Fund (Annualized) | |||||
NFJ Renaissance | Class A | 11.02% | ||||||||
Class D | 11.04% | |||||||||
Class P | 32.54% | 3.35% | 5.41% | 10.57% | ||||||
Class R | 5.81% | 10.75% | ||||||||
Institutional | 11.26% | |||||||||
Administrative | 11.10% | |||||||||
AGIC Growth | Class A | 10.19% | ||||||||
Class D | 10.13% | |||||||||
Class R | 1.95% | 9.95% | ||||||||
Class P | 6.08% | 1.84% | 9.91% | |||||||
Institutional | 10.35% | |||||||||
Administrative | 10.21% | |||||||||
AGIC Opportunity | Class A | 11.83% | ||||||||
Class D | 5.78% | 5.48% | 11.58% | |||||||
Class P | 5.71% | 5.45% | 11.57% | |||||||
Class R | 5.22% | 5.21% | 11.48% | |||||||
Institutional | 11.97% | |||||||||
Administrative | 11.87% | |||||||||
AGIC Target | Institutional | 10.32% | ||||||||
Administrative | 10.20% | |||||||||
Class P | 5.74% | 3.04% | 10.09% |
Since Inception | Inception | Inception | ||||||||||||
Fund | Class** | 1 Year | 5 Years | 10 Years | of Fund (Annualized) | Date of Fund | Date of Class | |||||||
RCM Wellness | Class A | 27.79% | 6.32% | 3.28% | 10.75% | 12/31/1996 | 2/5/2002 | |||||||
Class B | 29.25% | 6.41% | 3.23% | 10.72% | 2/5/2002 | |||||||||
Class C | 33.23% | 6.72% | 3.08% | 10.35% | 2/5/2002 | |||||||||
Class D | 35.22% | 7.53% | 3.87% | 11.22% | 12/31/1996 | |||||||||
RCM Global Commodity Equity | Institutional | 45.40% | 4.99% | N/A | 14.22% | 6/30/2004 | 6/30/2004 | |||||||
Class A | 36.83% | 3.41% | N/A | 12.86% | 3/31/2006 | |||||||||
Class C | 42.76% | 3.83% | N/A | 12.95% | 3/31/2006 | |||||||||
Class D | 44.83% | 4.59% | N/A | 13.78% | 3/31/2006 | |||||||||
Class P | 45.19% | 4.88% | N/A | 14.10% | 7/7/2008 | |||||||||
RCM Global Small-Cap | Class A | 45.73% | 1.55% | 6.37% | 10.38% | 12/31/1996 | 2/5/2002 | |||||||
Class B | 48.08% | 1.57% | 6.38% | 10.39% | 2/5/2002 | |||||||||
Class C | 52.05% | 1.94% | 6.21% | 10.01% | 2/5/2002 | |||||||||
Class D | 54.21% | 2.71% | 7.04% | 10.93% | 3/10/1999 | |||||||||
Class P | 54.55% | 3.02% | 7.33% | 11.15% | 7/7/2008 | |||||||||
Institutional | 54.69% | 3.10% | 7.42% | 11.25% | 12/31/1996 |
150
Since Inception | Inception | Inception | ||||||||||||
Fund | Class** | 1 Year | 5 Years | 10 Years | of Fund (Annualized) | Date of Fund | Date of Class | |||||||
RCM Technology | Class A | 37.22% | 9.20% | 5.53% | 13.13% | 12/27/1995 | 2/5/2002 | |||||||
Class B | 39.09% | 9.33% | 5.57% | 13.16% | 2/5/2002 | |||||||||
Class C | 43.11% | 9.61% | 5.33% | 12.69% | 2/5/2002 | |||||||||
Class D | 45.19% | 10.44% | 6.14% | 13.69% | 1/20/1999 | |||||||||
Class P | 45.50% | 10.75% | 6.44% | 13.96% | 7/7/2008 | |||||||||
Institutional | 45.71% | 10.87% | 6.55% | 14.07% | 12/27/1995 | |||||||||
Administrative | 45.33% | 10.59% | 6.29% | 13.79% | 3/31/2005 | |||||||||
RCM Disciplined International Equity | Class A | 19.65% | 0.26% | 2.20% | 4.66% | 5/22/1995 | 2/5/2002 | |||||||
Class B | 20.74% | 0.25% | 2.24% | 4.68% | 2/5/2002 | |||||||||
Class C | 24.66% | 0.62% | 2.00% | 4.23% | 2/5/2002 | |||||||||
Class D | 26.75% | 1.43% | 2.85% | 5.15% | 3/10/1999 | |||||||||
Institutional | 27.07% | 1.80% | 3.28% | 5.52% | 5/22/1995 | |||||||||
Administrative | 26.77% | 1.54% | 2.94% | 5.21% | 2/5/2002 | |||||||||
RCM Large- Cap Growth | Class A | 21.70% | 2.62% | 0.99% | 5.89% | 12/31/1996 | 2/5/2002 | |||||||
Class B | 22.79% | 2.67% | 0.96% | 5.87% | 2/5/2002 | |||||||||
Class C | 26.84% | 3.02% | 0.81% | 5.52% | 2/5/2002 | |||||||||
Class D | 28.76% | 3.79% | 1.61% | 6.40% | 3/2/1999 | |||||||||
Class R | 28.37% | 3.53% | 1.31% | 6.04% | 12/31/2002 | |||||||||
Class P | 29.06% | 4.11% | 1.89% | 6.65% | 7/7/2008 | |||||||||
Institutional | 29.30% | 4.20% | 1.99% | 6.76% | 12/31/1996 | |||||||||
Administrative | 28.92% | 3.95% | 1.75% | 6.50% | 2/5/2002 | |||||||||
RCM Mid-Cap | Class A | 31.51% | 5.95% | 3.30% | 13.29% | 11/6/1979 | 2/5/2002 | |||||||
Class B | 33.12% | 6.06% | 3.42% | 13.29% | 2/5/2002 | |||||||||
Class C | 36.84% | 6.33% | 3.19% | 12.71% | 2/5/2002 | |||||||||
Class D | 39.38% | 7.21% | 4.09% | 13.74% | 12/29/2000 | |||||||||
Class R | 38.98% | 6.97% | 3.82% | 13.31% | 12/31/2002 | |||||||||
Institutional | 39.90% | 7.61% | 4.50% | 14.09% | 11/6/1979 | |||||||||
Administrative | 39.11% | 7.32% | 4.16% | 13.78% | 2/5/2002 | |||||||||
RCM Strategic Growth | Class A | 24.66% | 4.86% | N/A | 2.65% | 3/31/2006 | 3/31/2006 | |||||||
Class C | 29.87% | 5.27% | N/A | 2.98% | 3/31/2006 | |||||||||
Class D | 31.87% | 6.05% | N/A | 3.74% | 3/31/2006 | |||||||||
Class P | 32.21% | 6.34% | N/A | 4.03% | 7/7/2008 | |||||||||
Institutional | 32.43% | 6.46% | N/A | 4.15% | 3/31/2006 | |||||||||
Administrative | 32.02% | 6.20% | N/A | 3.89% | 3/31/2006 |
* | For the Funds listed above, the performance information for periods prior to February 1, 2002 reflects the Fee arrangement of the Fund’s predecessors, reflected, as noted above, to reflect the current fee structure of the applicable class. | |
** | For the Funds listed above offering Class A, Class B, Class C, Class D, Class P, Class R and Administrative Class shares, total return presentations for periods prior to the Inception Date of such a class reflect the prior performance of Institutional Class shares of the Fund, the oldest class (with the exception of the RCM Wellness Fund, whose Class A, Class B and Class C performance information is based upon the Class D shares, the oldest class), adjusted to reflect the actual sales charges (or no sales charges in the case of the Class D, Class P, Institutional Class and Administrative Class shares) of the newer class. The adjusted performance also reflects any different operating expenses associated with the newer class. These include (i) 12b-1 distribution and servicing fees, which are paid by Class C and Class B (at a maximum rate of 1.00% per annum), Class A and the Administrative Class (at a maximum rate of 0.25% per annum), Class R (at a maximum rate of 0.50% per annum ) and may be paid by Class D (at a maximum rate of 0.25% per annum), and are not paid by Class P or the Institutional Class and (ii) administrative fee charges, which differ from class to class. (Administrative fee charges are the same for Class A, B and C shares). Please see “Management of the Trust — Fund Administrator” for information about the administrative fee charges for the different classes of the Funds and the Fund Summaries in the Prospectuses for more detailed information about each Fund’s fees and expenses. Performance presentations for periods prior to the Inception Date of Class A, Class B, Class C and Institutional Class shares for the RCM Wellness Fund are based on the historical performance of Class D shares (which were offered since the inception of the Fund), adjusted in the manner described above. |
151
Since Inception | ||||||||||||||
of Fund | Inception | Inception | ||||||||||||
Fund | Class** | 1 Year | 5 Years | 10 Years | (Annualized) | Date of Fund | Date of Class | |||||||
AGIC Emerging Markets Opportunities** | Class A | 29.67% | 9.09% | N/A | 16.93% | 5/27/2004 | 8/21/2006 | |||||||
Class C | 35.17% | 9.49% | N/A | 16.98% | 8/21/2006 | |||||||||
Class D | 37.20% | 10.34% | N/A | 17.87% | 8/21/2006 | |||||||||
Class P | 37.57% | 10.65% | N/A | 18.21% | 7/7/2008 | |||||||||
Institutional | 37.24% | 10.79% | N/A | 18.36% | 5/27/2004 | |||||||||
AGIC Global | Class A | 28.66% | 1.30% | N/A | 9.07% | 7/19/2002 | 7/19/2002 | |||||||
Class B | 30.16% | 1.34% | N/A | 9.04% | 7/19/2002 | |||||||||
Class C | 34.16% | 1.69% | N/A | 8.95% | 7/19/2002 | |||||||||
Class D | 36.20% | 2.46% | N/A | 9.77% | 7/19/2002 | |||||||||
Class R | 35.92% | 2.23% | N/A | 9.50% | 12/31/2002 | |||||||||
Class P | 36.51% | 2.74% | N/A | 10.09% | 7/7/2008 | |||||||||
Institutional | 36.69% | 2.85% | N/A | 10.21% | 7/19/2002 | |||||||||
Administrative | 36.35% | 2.61% | N/A | 9.94% | 7/19/2002 | |||||||||
AGIC Systematic Growth | Class A | 23.11% | 2.12% | N/A | 5.39% | 7/19/2002 | 7/19/2002 | |||||||
Class B | 24.37% | 2.15% | N/A | 5.34% | 7/19/2002 | |||||||||
Class C | 28.34% | 2.53% | N/A | 5.27% | 7/19/2002 | |||||||||
Class D | 30.31% | 3.28% | N/A | 6.05% | 7/19/2002 | |||||||||
Class P | 30.62% | 3.58% | N/A | 6.37% | 7/7/2008 | |||||||||
Institutional | 30.86% | 3.69% | N/A | 6.48% | 7/19/2002 | |||||||||
Administrative | 30.55% | 3.44% | N/A | 6.22% | 7/19/2002 | |||||||||
AGIC Income & Growth | Class A | 17.80% | N/A | N/A | 4.90% | 2/28/2007 | 2/28/2007 | |||||||
Class C | 22.77% | N/A | N/A | 5.48% | 2/28/2007 | |||||||||
Class D | 24.59% | N/A | N/A | 6.26% | 2/28/2007 | |||||||||
Class R | 24.40% | N/A | N/A | 6.04% | 2/28/2011 | |||||||||
Class P | 25.06% | N/A | N/A | 6.58% | 7/7/2008 | |||||||||
Institutional | 25.15% | N/A | N/A | 6.68% | 2/28/2007 |
152
Since Inception | ||||||||||||||
of Fund | Inception | Inception | ||||||||||||
Fund | Class** | 1 Year | 5 Years | 10 Years | (Annualized) | Date of Fund | Date of Class | |||||||
AGIC International | Class A | 27.04% | -3.26% | 5.93% | 5.34% | 5/7/2001 | 10/29/2004 | |||||||
Class C | 32.37% | -2.90% | 5.74% | 5.14% | 10/29/2004 | |||||||||
Class D | 34.46% | -2.16% | 6.53% | 5.93% | 10/29/2004 | |||||||||
Class P | 34.92% | -1.85% | 6.74% | 6.13% | 7/7/2008 | |||||||||
Class R | 34.05% | -2.40% | 6.15% | 5.55% | 1/10/2006 | |||||||||
Institutional | 34.99% | -1.77% | 6.84% | 6.23% | 5/7/2001 | |||||||||
Administrative | 34.57% | -2.02% | 6.57% | 5.96% | 1/10/2006 | |||||||||
AGIC Mid-Cap Growth*** | Class A | 25.71% | 3.85% | N/A | 6.06% | 2/27/2004 | 7/30/2007 | |||||||
Class C | 31.04% | 4.30% | N/A | 6.12% | 7/31/2007 | |||||||||
Class D | 32.83% | 5.02% | N/A | 6.87% | 7/30/2007 | |||||||||
Class P | 33.30% | 5.31% | N/A | 7.17% | 7/7/2008 | |||||||||
Institutional | 33.43% | 5.40% | N/A | 7.27% | 2/27/2004 | |||||||||
AGIC Pacific Rim | Class A | 16.57% | 0.61% | 7.52% | 9.06% | 12/31/1997 | 7/31/2002 | |||||||
Class B | 17.32% | 0.66% | 7.53% | 9.06% | 7/31/2002 | |||||||||
Class C | 21.38% | 0.99% | 7.31% | 8.69% | 7/31/2002 | |||||||||
Class D | 23.29% | 1.75% | 8.13% | 9.51% | 7/31/2002 | |||||||||
Class P | 23.69% | 2.04% | 8.47% | 9.87% | 7/7/2008 | |||||||||
Institutional | 23.79% | 2.15% | 8.58% | 9.98% | 12/31/1997 |
* | Average annual total return presentations for a particular class of shares assume payment of the current maximum sales charge (if any) applicable to that class at the time of purchase and assume that the maximum CDSC (if any) for Class A, B and C shares was deducted at the times, in the amounts, and under the terms discussed in the Retail Prospectus. | |
** | The Nicholas-Applegate Emerging Markets Opportunities Fund was a series of Nicholas-Applegate Institutional Funds prior to its reorganization into the Allianz AGIC Emerging Markets Opportunities Fund on August 18, 2006. The Prospectuses of the Allianz AGIC Emerging Markets Opportunities Fund disclose performance information for Class I shares of the predecessor fund, adjusted to reflect the actual administrative fees and other expenses of the Fund’s Institutional Class shares. The actual performance of Class I shares of the predecessor fund, without adjustment for the Allianz AGIC Emerging Markets Opportunities Fund‘s current expenses but taking into account any applicable expenses subsidies, waivers and offsets during the applicable periods, is provided below. |
Since Inception of | ||||||||||||||||
Fund | Class | 1 Year | Fund (Annualized) | Inception Date of Fund | ||||||||||||
Nicholas-Applegate Emerging Markets Opportunities Fund | Class I | 41.85 | % | 44.51 | % | 5/27/04 |
*** | The Nicholas-Applegate U.S Systematic Mid Cap Growth Fund was a series of Nicholas-Applegate Institutional Funds prior to its reorganization into the Allianz AGIC Mid-Cap Growth Fund on July 27, 2007. The Prospectuses of the Allianz AGIC Mid-Cap Growth Fund disclose performance information for Class I shares of the predecessor fund, adjusted to reflect the actual administrative fees and other expenses of the Fund’s Institutional Class shares. The actual performance of Class I shares of the predecessor fund, without adjustment for the Allianz AGIC Mid-Cap Growth Fund‘s current expenses but taking into account any applicable expenses subsidies, waivers and offsets during the applicable periods, is provided below. |
Since Inception of | ||||||||||||||||
Fund | Class | 1 Year | Fund (Annualized) | Inception Date of Fund | ||||||||||||
Nicholas-Applegate U.S. Systematic Mid Cap Growth Fund | Class I | 22.11 | % | 14.31 | % | 2/27/04 |
153
154
155
156
157
158
159
160
161
• | Failure of an obligor to make timely payment of principal and/or interest under the contractual terms of any financial obligation; | ||
• | The bankruptcy filings, administration, receivership, liquidation or other winding-up or cessation of business of an obligor; | ||
• | The distressed or other coercive exchange of an obligation, where creditors were offered securities with diminished structural or economic terms compared with the existing obligation. |
162
163
164
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
ALLIANZ AGIC EMERGING MARKET OPPORTUNITIES FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 147,993.106 | 14.30% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES 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 | 82,300.469 | 7.95% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES A | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 69,382.045 | 6.71% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 55,307.488 | 5.35% | ||||
Class C | ||||||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES 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 | 116,710.199 | 17.88% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 73,583.408 | 11.28% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 35,121.910 | 5.38% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 145,162.457 | 59.45% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 56,055.294 | 22.96% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 13,694.378 | 5.61% | ||||
Class P | ||||||||
a, b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES 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 | 23,072.688 | 36.78% | ||||
a, b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 22,632.816 | 36.08% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 12,674.720 | 20.21% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES INSTL | MAC & CO A/C ND1F2001012 ATTN MUTUAL FUND OPS PO BOX 3198 PITTSBURGH PA 15230-3198 | 827,308.813 | 29.74% | ||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 663,761.115 | 23.86% | ||||
ALLIANZ AGIC EMRG MRKT OPPORTUNITIES INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 332,921.927 | 11.97% | |||||
b | ALLIANZ AGIC EMRG MRKT OPPORTUNITIES INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 232,053.563 | 8.34% | ||||
ALLIANZ AGIC EMRG MRKT OPPORTUNITIES INSTL | M J MURDOCK CHARITABLE TRUST PO BOX 1618 VANCOUVER WA 98668-1618 | 151,773.400 | 5.46% | |||||
ALLIANZ AGIC GLOBAL FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC GLOBAL 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 | 109,147.946 | 18.42% | ||||
b | ALLIANZ AGIC GLOBAL A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 39,096.332 | 6.60% | ||||
Class B | ||||||||
b | ALLIANZ AGIC GLOBAL B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 16,638.503 | 9.04% | ||||
b | ALLIANZ AGIC GLOBAL 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 | 11,904.165 | 6.47% | ||||
Class C | ||||||||
b | ALLIANZ AGIC GLOBAL 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 | 57,705.419 | 21.28% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC GLOBAL D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 36,566.807 | 45.07% | ||||
a, b | ALLIANZ AGIC GLOBAL D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 20,361.994 | 25.10% | ||||
b | ALLIANZ AGIC GLOBAL D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 7,423.040 | 9.15% | ||||
Class R | ||||||||
a | ALLIANZ AGIC GLOBAL R | JAMES BUCHANAN FBO ZONE LABS INC 401(K) PROFIT SHARING PLAN & TRUST 21 TIOGA WAY STE 202 MARBLEHEAD MA 01945-1577 | 6,602.895 | 25.71% | ||||
ALLIANZ AGIC GLOBAL R | FRONTIER TR CO FBO FEHR BROS INDUSTRIES INC 401K PS 196688 PO BOX 10758 FARGO ND 58106-0758 | 5,536.439 | 21.55% | |||||
ALLIANZ AGIC GLOBAL R | MG TR CO CUST FBO PRINCETON WINDROWS CONDO ASSOC 700 17TH STREET SUITE 300 DENVER CO 80202-3531 | 3,873.030 | 15.08% | |||||
ALLIANZ AGIC GLOBAL R | CHARLIE PRISENDORF FBO EVER READY OIL CO INC 401(K) PROFIT SHARING PLAN & TRUST 295 HUDSON ST HACKENSACK NJ 07601-6732 | 2,918.761 | 11.36% | |||||
b | ALLIANZ AGIC GLOBAL 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 | 2,549.815 | 9.93% | ||||
ALLIANZ AGIC GLOBAL R | DR MICHAEL DISTEFANO FBO MICHAEL C DISTEFANO MD PA 401 K PROFIT SHARING PLAN & TRUST 140 ROUTE 17 NORTH SUITE 255 PARAMUS NJ 07652 | 2,543.924 | 9.90% | |||||
ALLIANZ AGIC GLOBAL R | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 1,302.411 | 5.07% | |||||
Administrative Class | ||||||||
a | ALLIANZ AGIC GLOBAL ADMIN | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 1,355.793 | 100.00% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC GLOBAL INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 329,857.876 | 52.87% | ||||
b | ALLIANZ AGIC GLOBAL INSTL | WELLS FARGO BANK NA FBO OMNIBUS ACCT REINV/REINV PO BOX 1533 MINNEAPOLIS MN 55479-1533 | 42,168.860 | 6.76% | ||||
Class P | ||||||||
a, b | ALLIANZ AGIC GLOBAL P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 5,323.244 | 73.36% | ||||
b | ALLIANZ AGIC GLOBAL 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 | 1,374.421 | 18.94% | ||||
ALLIANZ AGIC GLOBAL P | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 558.778 | 7.70% | |||||
ALLIANZ AGIC GROWTH FUND | ||||||||
Class A | ||||||||
a, b | ALLIANZ AGIC GROWTH A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 5,015,768.798 | 41.97% |
165
Percentage of | ||||||||
Amount and Nature | of Oustanding Shares | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
b | ALLIANZ AGIC 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 | 672,062.355 | 5.62% | ||||
Class B | ||||||||
b | ALLIANZ AGIC 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 | 52,351.186 | 22.82% | ||||
b | ALLIANZ AGIC GROWTH B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 21,043.656 | 9.17% | ||||
b | ALLIANZ AGIC GROWTH B | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 12,615.216 | 5.50% | ||||
Class C | ||||||||
b | ALLIANZ AGIC 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 | 1,131,700.500 | 14.66% | ||||
b | ALLIANZ AGIC GROWTH C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 635,845.599 | 8.24% | ||||
b | ALLIANZ AGIC GROWTH C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 405,259.118 | 5.25% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC GROWTH D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 143,233.100 | 46.08% | ||||
a, b | ALLIANZ AGIC GROWTH D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 96,560.914 | 31.07% | ||||
Class R | ||||||||
a, b | ALLIANZ AGIC GROWTH R | MERCER TRUST COMPANY TTEE FBO CULLIGAN RETIREMENT SAVINGSPLAN ATTN: DC PLAN ADMIN MS N-1-G 1 INVESTORS WAY NORWOOD MA 02062-1599 | 289,754.558 | 38.26% | ||||
a, b | ALLIANZ AGIC GROWTH R | STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 | 200,859.449 | 26.52% | ||||
b | ALLIANZ AGIC 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 | 63,767.026 | 8.42% | ||||
Administrative Class | ||||||||
a, b | ALLIANZ AGIC GROWTH ADMIN | CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 237,429.515 | 76.09% | ||||
ALLIANZ AGIC GROWTH ADMIN | FRONTIER TRUST COMPANY FBO CONFLUENCE 401K PLAN 208970 PO BOX 10758 FARGO ND 58106-0758 | 38,686.826 | 12.40% | |||||
ALLIANZ AGIC GROWTH ADMIN | COUNSEL TRUST CO DBA MID ATLANTIC TRUST FBO MASSARO CORP PSP 1251 WATERFRONT PLACE PITTSBURGH PA 15222-4228 | 29,778.249 | 9.54% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC GROWTH INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 651,778.863 | 68.31% | ||||
ALLIANZ AGIC GROWTH INSTL | NEW BEDFORD FISHERMENS PENSION TRUST ATTN ANA C SALVADOR 114 MACARTHUR DR NEW BEDFORD MA 02740-7279 | 100,494.586 | 10.53% | |||||
b | ALLIANZ AGIC GROWTH INSTL | SEI PRIVATE TRUST COMPANY C/O CITIZENS RHODE ISLAND ID 329 FBO 5061027 ONE FREEDOM VALLEY DR OAKS PA 19456-9989 | 95,727.439 | 10.03% | ||||
Class P | ||||||||
a, b | ALLIANZ AGIC GROWTH P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 120,512.074 | 35.21% | ||||
a, b | ALLIANZ AGIC 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 | 108,849.054 | 31.81% | ||||
a, b | ALLIANZ AGIC GROWTH P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 104,590.115 | 30.56% | ||||
ALLIANZ AGIC INCOME & GROWTH FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC INCOME AND 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 | 3,122,770.895 | 12.12% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 2,612,016.985 | 10.14% | ||||
b | ALLIANZ AGIC INCOME AND 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 | 2,554,883.558 | 9.92% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH A | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 2,305,878.329 | 8.95% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH A | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 2,118,980.239 | 8.23% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 1,881,728.784 | 7.31% | ||||
Class C | ||||||||
b | ALLIANZ AGIC INCOME AND 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 | 4,909,218.673 | 21.22% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 2,166,775.935 | 9.37% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 2,063,434.431 | 8.92% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,902,414.483 | 8.22% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 1,483,164.211 | 6.41% | ||||
b | ALLIANZ AGIC INCOME AND 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 | 1,388,006.614 | 6.00% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC INCOME AND GROWTH D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 1,749,253.718 | 62.74% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 600,334.252 | 21.53% | ||||
Class R | ||||||||
a | ALLIANZ AGIC INCOME AND GROWTH R | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 793.031 | 100.00% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC INCOME AND GROWTH INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 2,040,932.981 | 34.04% | ||||
ALLIANZ AGIC INCOME AND GROWTH INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 662,533.114 | 11.05% | |||||
b | ALLIANZ AGIC INCOME AND GROWTH INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 662,139.265 | 11.04% | ||||
ALLIANZ AGIC INCOME AND GROWTH INSTL | 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 | 558,602.654 | 9.32% | |||||
b | ALLIANZ AGIC INCOME AND GROWTH INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: MUTUAL FUNDS DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 420,236.452 | 7.01% | ||||
ALLIANZ AGIC INCOME AND GROWTH INSTL | 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 | 358,345.293 | 5.98% |
166
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
Class P | ||||||||
a, b | ALLIANZ AGIC INCOME AND 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 | 2,930,522.499 | 40.08% | ||||
a, b | ALLIANZ AGIC INCOME AND GROWTH P | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES FBO MUTUAL FUND CLIENTS 100 MULBERRY ST 3 GATEWAY CENTER FL 11 MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 1,869,327.636 | 25.57% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 1,519,890.274 | 20.79% | ||||
b | ALLIANZ AGIC INCOME AND GROWTH P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 546,673.433 | 7.48% | ||||
ALLIANZ AGIC INTERNATIONAL FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC INTERNATIONAL 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 | 249,878.946 | 16.13% | ||||
b | ALLIANZ AGIC INTERNATIONAL A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 205,164.877 | 13.25% | ||||
b | ALLIANZ AGIC INTERNATIONAL A | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 79,245.018 | 5.12% | ||||
Class C | ||||||||
b | ALLIANZ AGIC INTERNATIONAL 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 | 160,565.277 | 11.81% | ||||
b | ALLIANZ AGIC INTERNATIONAL C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 127,861.451 | 9.40% | ||||
b | ALLIANZ AGIC INTERNATIONAL 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 | 109,412.710 | 8.05% | ||||
b | ALLIANZ AGIC INTERNATIONAL C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 76,864.635 | 5.65% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC INTERNATIONAL D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 39,616.367 | 41.92% | ||||
b | ALLIANZ AGIC INTERNATIONAL D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 17,542.173 | 18.56% | ||||
b | ALLIANZ AGIC INTERNATIONAL D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 11,902.047 | 12.59% | ||||
b | ALLIANZ AGIC INTERNATIONAL D | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 7,699.390 | 8.15% | ||||
Class R | ||||||||
a | ALLIANZ AGIC INTERNATIONAL R | MG TRUST COMPANY CUSTODIAN FBO DALTON CARPET ONE 700 17TH STREET SUITE 300 DENVER CO 80202-3531 | 2,188.632 | 36.01% | ||||
a | ALLIANZ AGIC INTERNATIONAL R | MG TRUST COMPANY CUST FBO BLAST CLEANING SERVICES INC 401(K) 700 17TH STREET SUITE 300 DENVER CO 80202-3531 | 1,716.290 | 28.24% | ||||
ALLIANZ AGIC INTERNATIONAL R | FRONTIER TR CO FBO AMERICAN STAR RET PLAN 2091 PO BOX 10758 FARGO ND 58106-0758 | 815.412 | 13.42% | |||||
ALLIANZ AGIC INTERNATIONAL R | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 660.350 | 10.87% | |||||
b | ALLIANZ AGIC INTERNATIONAL R | MORGAN STANLEY &CO HARBORSIDE FINANCIAL CENTER PLAZA II 3RD FL JERSEY CITY NJ 07311 | 391.403 | 6.44% | ||||
Administrative Class | ||||||||
a | ALLIANZ AGIC INTERNATIONAL ADMIN | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 639.261 | 90.56% | ||||
b | ALLIANZ AGIC INTERNATIONAL ADMIN | AMERITRADE INC FOR THE EXCLUSIVE BENEFIT OF OUR CLIENTS P O BOX 2226 OMAHA NE 68103-2226 | 66.659 | 9.44% | ||||
Institutional Class | ||||||||
a | ALLIANZ AGIC INTERNATIONAL INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 725,789.878 | 28.84% | ||||
b | ALLIANZ AGIC INTERNATIONAL INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 365,382.693 | 14.52% | ||||
b | ALLIANZ AGIC INTERNATIONAL INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 332,554.464 | 13.22% | ||||
ALLIANZ AGIC INTERNATIONAL INSTL | STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307 | 215,264.199 | 8.55% | |||||
ALLIANZ AGIC INTERNATIONAL INSTL | 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 | 209,554.496 | 8.33% | |||||
ALLIANZ AGIC INTERNATIONAL INSTL | 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 | 151,934.184 | 6.04% | |||||
Class P | ||||||||
a, b | ALLIANZ AGIC INTERNATIONAL 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 | 58,880.179 | 68.21% | ||||
b | ALLIANZ AGIC INTERNATIONAL P | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 11,291.812 | 13.08% | ||||
b | ALLIANZ AGIC INTERNATIONAL P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 7,916.328 | 9.17% | ||||
b | ALLIANZ AGIC INTERNATIONAL P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 7,144.174 | 8.28% | ||||
ALLIANZ AGIC MID-CAP GROWTH FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC MID-CAP GROWTH A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 19,238.497 | 12.90% | ||||
b | ALLIANZ AGIC MID-CAP GROWTH A | P & H INVESTMENTS L P 717 WEST RIDGE RD JOLIET IL 60431-4885 | 13,513.239 | 9.06% | ||||
b | ALLIANZ AGIC MID-CAP GROWTH A | PERSHING LLC P O BOX 2052 JERSEY CITY NJ 07303-2052 | 8,142.117 | 5.46% | ||||
Class C | ||||||||
b | ALLIANZ AGIC MID-CAP GROWTH C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 4,130.145 | 7.10% | ||||
b | ALLIANZ AGIC MID-CAP GROWTH C | FIRST CLEARING LLC A/C 2118-6608 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 4,128.819 | 7.09% | ||||
ALLIANZ AGIC MID-CAP GROWTH C | SSB&T CUST SIMPLE IRA MANNCORP INC FBO IVAN S LEVENSON 908 CLOVER PL WARMINSTER PA 18974-3802 | 3,749.499 | 6.44% | |||||
ALLIANZ AGIC MID-CAP GROWTH C | FIRST CLEARING LLC A/C 1228-5566 CHRIS R ROMANS SIMPLE IRA FCC AS CUSTODIAN 1123 ADRIAN BLVD FORT ATKINSON WI 53538-2465 | 3,070.544 | 5.28% | |||||
b | ALLIANZ AGIC MID-CAP GROWTH C | FIRST CLEARING LLC A/C 1251-3862 2801 MARKET ST SAINT LOUIS MO 63103-2523 | 2,944.064 | 5.06% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC MID-CAP GROWTH D | TD AMERITRADE PO BOX 2226 OMAHA NE 68103-2226 | 4,739.894 | 43.77% | ||||
b | ALLIANZ AGIC MID-CAP GROWTH D | PERSHING LLC P O BOX 2052 JERSEY CITY NJ 07303-2052 | 2,503.600 | 23.12% | ||||
b | ALLIANZ AGIC MID-CAP GROWTH D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 2,238.114 | 20.67% | ||||
ALLIANZ AGIC MID-CAP GROWTH D | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 816.578 | 7.54% |
167
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
Institutional Class | ||||||||
a | ALLIANZ AGIC MID-CAP GROWTH INSTL | BENEFIT TRUST COMPANY AS TTEE FOR THE CITY OF ALPHARETTA DEFINED BENEFIT PENSION PLAN PO BOX 12765 OVERLAND PARK KS 66282-2765 | 226,150.186 | 71.93% | ||||
ALLIANZ AGIC MID-CAP GROWTH INSTL | CAROL A RASKIN 200 CENTRAL PARK S APT 31B NEW YORK NY 10019-1448 | 18,302.298 | 5.82% | |||||
Class P | ||||||||
a | ALLIANZ AGIC MID-CAP GROWTH P | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 891.178 | 100.00% | ||||
ALLIANZ AGIC OPPORTUNITY FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC OPPORTUNITY A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 256,678.874 | 10.32% | ||||
b | ALLIANZ AGIC OPPORTUNITY 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 | 222,718.624 | 8.95% | ||||
Class B | ||||||||
b | ALLIANZ AGIC OPPORTUNITY B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 12,124.029 | 9.89% | ||||
b | ALLIANZ AGIC OPPORTUNITY B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 10,594.195 | 8.64% | ||||
Class C | ||||||||
b | ALLIANZ AGIC 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 | 604,396.940 | 17.04% | ||||
b | ALLIANZ AGIC OPPORTUNITY C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 229,696.406 | 6.47% | ||||
b | ALLIANZ AGIC OPPORTUNITY C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 204,441.328 | 5.76% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC OPPORTUNITY D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 52,465.500 | 61.42% | ||||
a, b | ALLIANZ AGIC OPPORTUNITY D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 22,528.234 | 26.37% | ||||
b | ALLIANZ AGIC OPPORTUNITY D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 6,340.775 | 7.42% | ||||
Class R | ||||||||
a, b | ALLIANZ AGIC OPPORTUNITY R | STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 | 8,406.242 | 92.24% | ||||
ALLIANZ AGIC OPPORTUNITY R | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 675.676 | 7.41% | |||||
Administrative Class | ||||||||
a, b | ALLIANZ AGIC OPPORTUNITY ADMIN | NEW YORK LIFE INVESTMENT MANAGEMENT LLC XXXXXX 690 CANTON ST WESTWOOD MA 02090-2344 | 82,140.408 | 71.97% | ||||
b | ALLIANZ AGIC OPPORTUNITY ADMIN | T ROWE PRICE TRUST CO TTEE FBO RETIREMENT PLAN CLIENTS ATTN ASSET RECONCILIATION PO BOX 17215 BALTIMORE MD 21297-1215 | 15,322.786 | 13.43% | ||||
b | ALLIANZ AGIC OPPORTUNITY ADMIN | HARTFORD SECURITIES DISTRIBUTION COMPANY INC/PRG PO BOX 2999 HARTFORD CT 06104-2999 | 10,305.053 | 9.03% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC OPPORTUNITY INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 1,825,214.053 | 33.84% | ||||
ALLIANZ AGIC OPPORTUNITY INSTL | MGI REDSTONE BALANCED FUND 1 INVESTORS WAY NORWOOD MA 02062-1599 | 936,607.948 | 17.37% | |||||
b | ALLIANZ AGIC OPPORTUNITY INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 438,290.665 | 8.13% | ||||
ALLIANZ AGIC OPPORTUNITY INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 392,277.591 | 7.27% | |||||
Class P | ||||||||
a, b | ALLIANZ AGIC 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 | 57,582.104 | 56.64% | ||||
a, b | ALLIANZ AGIC OPPORTUNITY P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 31,488.398 | 30.97% | ||||
ALLIANZ AGIC PACIFIC RIM FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC PACIFIC RIM 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 | 226,310.371 | 11.47% | ||||
b | ALLIANZ AGIC PACIFIC RIM 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 | 167,048.478 | 8.47% | ||||
b | ALLIANZ AGIC PACIFIC RIM A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 151,598.223 | 7.68% | ||||
Class B | ||||||||
b | ALLIANZ AGIC PACIFIC RIM 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 | 63,576.151 | 11.75% | ||||
b | ALLIANZ AGIC PACIFIC RIM B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 52,499.792 | 9.70% | ||||
b | ALLIANZ AGIC PACIFIC RIM B | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 48,214.935 | 8.91% | ||||
b | ALLIANZ AGIC PACIFIC RIM B | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 32,116.261 | 5.93% | ||||
Class C | ||||||||
a, b | ALLIANZ AGIC PACIFIC RIM 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 | 645,026.898 | 38.71% | ||||
b | ALLIANZ AGIC PACIFIC RIM C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 118,947.415 | 7.14% | ||||
b | ALLIANZ AGIC PACIFIC RIM 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 | 109,254.393 | 6.56% | ||||
b | ALLIANZ AGIC PACIFIC RIM C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 102,807.633 | 6.17% | ||||
b | ALLIANZ AGIC PACIFIC RIM C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 91,009.197 | 5.46% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC PACIFIC RIM D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,177,784.399 | 62.45% | ||||
b | ALLIANZ AGIC PACIFIC RIM D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 355,139.466 | 18.83% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ AGIC PACIFIC RIM INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 2,948,525.959 | 95.11% |
168
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
Class P | ||||||||
a, b | ALLIANZ AGIC PACIFIC RIM 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 | 157,092.029 | 69.18% | ||||
a, b | ALLIANZ AGIC PACIFIC RIM P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 60,283.524 | 26.55% | ||||
ALLIANZ AGIC SYSTEMATIC GROWTH FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC SYSTEMATIC 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 | 63,860.485 | 14.42% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH A | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 28,778.580 | 6.50% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 24,122.040 | 5.45% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 23,866.392 | 5.39% | ||||
Class B | ||||||||
b | ALLIANZ AGIC SYSTEMATIC 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 | 12,934.412 | 13.48% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 9,564.188 | 9.97% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH B | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 5,031.275 | 5.25% | ||||
Class C | ||||||||
a, b | ALLIANZ AGIC SYSTEMATIC 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 | 72,352.068 | 29.95% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH C | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 52,509.773 | 21.73% | ||||
Class D | ||||||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 19,377.203 | 47.48% | ||||
b | ALLIANZ AGIC SYSTEMATIC GROWTH D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 9,926.132 | 24.32% | ||||
Administrative Class | ||||||||
a | ALLIANZ AGIC SYSTEMATIC GROWTH ADMIN | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 1,184.504 | 100.00% | ||||
Institutional Class | ||||||||
a | ALLIANZ AGIC SYSTEMATIC GROWTH INSTL | STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307 | 164,904.933 | 27.77% | ||||
a | ALLIANZ AGIC SYSTEMATIC GROWTH INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 162,834.472 | 27.43% | ||||
ALLIANZ AGIC SYSTEMATIC GROWTH INSTL | 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 | 106,862.307 | 18.00% | |||||
ALLIANZ AGIC SYSTEMATIC GROWTH INSTL | 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 | 61,758.200 | 10.40% | |||||
Class P | ||||||||
a, b | ALLIANZ AGIC SYSTEMATIC GROWTH P | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 2,241.749 | 45.29% | ||||
a, b | ALLIANZ AGIC SYSTEMATIC GROWTH P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 1,346.051 | 27.19% | ||||
ALLIANZ AGIC SYSTEMATIC GROWTH P | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 717.633 | 14.50% | |||||
b | ALLIANZ AGIC SYSTEMATIC 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 | 644.784 | 13.03% | ||||
ALLIANZ AGIC TARGET FUND | ||||||||
Class A | ||||||||
b | ALLIANZ AGIC TARGET 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 | 659,663.835 | 12.29% | ||||
ALLIANZ AGIC TARGET A | HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 | 581,541.762 | 10.83% | |||||
b | ALLIANZ AGIC TARGET A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 309,448.728 | 5.76% | ||||
b | ALLIANZ AGIC TARGET 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 | 294,374.641 | 5.48% | ||||
b | ALLIANZ AGIC TARGET A | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 272,592.669 | 5.08% | ||||
Class B | ||||||||
b | ALLIANZ AGIC TARGET B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 17,639.824 | 7.93% | ||||
b | ALLIANZ AGIC TARGET B | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 13,287.421 | 5.97% | ||||
Class C | ||||||||
b | ALLIANZ AGIC TARGET 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 | 2,477,063.962 | 18.63% | ||||
b | ALLIANZ AGIC TARGET C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 1,029,917.672 | 7.75% | ||||
b | ALLIANZ AGIC TARGET C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 931,153.623 | 7.00% | ||||
Class D | ||||||||
a, b | ALLIANZ AGIC TARGET D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 13,774.243 | 38.48% | ||||
b | ALLIANZ AGIC TARGET D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 7,733.074 | 21.60% | ||||
ALLIANZ AGIC TARGET D | MG TRUST COMPANY CUST FBO STILLWATER ISD 834 403(B) PLAN 700 17TH STREET SUITE 300 DENVER CO 80202-3531 | 7,431.580 | 20.76% | |||||
ALLIANZ AGIC TARGET D | STRAFE & CO FBO EDWIN & WILMA PARKER FAM FOUNDA W01718001 PO BOX 6924 NEWARK DE 19714-6924 | 3,705.728 | 10.35% | |||||
Administrative Class | ||||||||
a | ALLIANZ AGIC TARGET ADMIN | MCB TRUST SERVICES CUSTODIAN FBO CRAIG J LUBITSKI CONSULTING 401K 700 17TH ST STE 100 DENVER CO 80202-3507 | 1,392.999 | 45.58% | ||||
ALLIANZ AGIC TARGET ADMIN | STATE STREET BANK & TRUST CO CUST HARRY S BAUCOM IRA 432 SW DOLORES AVE PORT ST LUCIE FL 34983-1939 | 513.471 | 16.80% | |||||
ALLIANZ AGIC TARGET ADMIN | STATE STREET BANK & TRUST CO CUST AGNES O’KELLY IRA R/O PO BOX 3671 PAWLEYS ISL SC 29585-3671 | 336.664 | 11.02% | |||||
ALLIANZ AGIC TARGET ADMIN | THOMAS MICHAEL GOMEZ ONNALEE ANNE HENNEBERRY JT WROS 2332 MASSEY LN DECATUR GA 30033-1221 | 238.798 | 7.81% | |||||
ALLIANZ AGIC TARGET ADMIN | STATE STREET BANK & TRUST CO CUST LINDA R HESS IRA R/O 17 DEVONSHIRE DR SE ROME GA 30161-4062 | 208.280 | 6.82% | |||||
ALLIANZ AGIC TARGET ADMIN | STATE STREET BANK & TRUST CO CUST IRA A/C NANCY M MORRIS 535 SAINT PHILIP ST NEW ORLEANS LA 70116-3322 | 163.048 | 5.34% | |||||
Institutional Class |
169
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
a, b | ALLIANZ AGIC TARGET INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 262,191.120 | 78.79% | ||||
b | ALLIANZ AGIC TARGET INSTL | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES FBO MUTUAL FUND CLIENTS 100 MULBERRY ST 3 GATEWAY CENTER FL 11 MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 53,985.778 | 16.22% | ||||
Class P | ||||||||
a, b | ALLIANZ AGIC TARGET 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 | 45,120.250 | 49.81% | ||||
a, b | ALLIANZ AGIC TARGET P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 27,248.646 | 30.08% | ||||
b | ALLIANZ AGIC TARGET P | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 8,965.554 | 9.90% | ||||
b | ALLIANZ AGIC TARGET P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 6,259.571 | 6.91% | ||||
ALLIANZ NFJ ALL-CAP VALUE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ ALL-CAP VALUE A | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 253,516.367 | 22.29% | ||||
b | ALLIANZ 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 | 161,291.961 | 14.18% | ||||
b | ALLIANZ 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 | 130,208.622 | 11.45% | ||||
b | ALLIANZ 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 | 107,452.703 | 9.45% | ||||
Class B | ||||||||
b | ALLIANZ NFJ ALL-CAP VALUE B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 13,003.665 | 13.33% | ||||
b | ALLIANZ NFJ ALL-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 | 7,668.451 | 7.86% | ||||
Class C | ||||||||
b | ALLIANZ 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 | 113,482.544 | 20.10% | ||||
b | ALLIANZ NFJ ALL-CAP VALUE C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 58,310.266 | 10.33% | ||||
b | ALLIANZ 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 | 46,973.094 | 8.32% | ||||
b | ALLIANZ 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 | 39,682.830 | 7.03% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ ALL-CAP VALUE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 95,227.264 | 54.05% | ||||
a, b | ALLIANZ NFJ ALL-CAP VALUE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 52,442.903 | 29.77% | ||||
Administrative Class | ||||||||
a | ALLIANZ NFJ ALL-CAP VALUE ADMIN | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 1,774.735 | 100.00% | ||||
Institutional Class | ||||||||
a | ALLIANZ NFJ ALL-CAP VALUE INSTL | ALLIANZ GLOBAL INVESTORS OF AMERICA LP MARKETING ALLOCATION ATTN: VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 840.336 | 50.01% | ||||
a, b | ALLIANZ NFJ ALL-CAP VALUE INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 839.631 | 49.96% | ||||
Class P | ||||||||
a, b | ALLIANZ 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 | 95,748.734 | 78.29% | ||||
b | ALLIANZ NFJ ALL-CAP VALUE P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 20,437.676 | 16.71% | ||||
ALLIANZ NFJ DIVIDEND VALUE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ DIVIDEND VALUE A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 21,195,636.749 | 14.18% | ||||
b | ALLIANZ 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 | 16,738,800.013 | 11.20% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE A | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 13,069,340.138 | 8.75% | ||||
b | ALLIANZ 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 | 8,719,249.288 | 5.83% | ||||
Class B | ||||||||
b | ALLIANZ 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 | 699,173.491 | 15.83% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 371,442.201 | 8.41% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE B | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 244,191.342 | 5.53% | ||||
Class C | ||||||||
a, b | ALLIANZ 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 | 10,047,158.463 | 26.05% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 3,986,317.289 | 10.33% | ||||
b | ALLIANZ 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 | 3,449,524.003 | 8.94% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 3,150,271.005 | 8.17% | ||||
b | ALLIANZ 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 | 2,750,661.836 | 7.13% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ DIVIDEND VALUE D | EDWARD D JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO 63043-3009 | 49,659,143.606 | 65.70% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 16,245,669.228 | 21.49% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 6,665,728.561 | 8.82% | ||||
Class R | ||||||||
a | ALLIANZ NFJ DIVIDEND VALUE R | HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 | 7,627,218.376 | 37.68% | ||||
ALLIANZ NFJ DIVIDEND VALUE R | DCGT AS TTEE AND/OR CUST FBO THE CHURCH OF GOD ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 | 1,304,959.055 | 6.45% | |||||
b | ALLIANZ NFJ DIVIDEND VALUE R | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 1,164,593.989 | 5.75% |
170
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares | |||||||
Fund Name | Registration | Beneficial Ownership | of Class Owned | |||||
Administrative Class | ||||||||
a, b | ALLIANZ NFJ DIVIDEND VALUE ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 57,226,951.721 | 63.75% | ||||
ALLIANZ NFJ DIVIDEND VALUE ADMIN | VANTAGETRUST - NAV 777 NORTH CAPITAL ST NE WASHINGTON DC 20002-4239 | 8,976,745.512 | 10.00% | |||||
ALLIANZ NFJ DIVIDEND VALUE ADMIN | VANTAGETRUST - UNITIZED 777 NORTH CAPITAL ST NE WASHINGTON DC 20002-4239 | 5,376,713.862 | 5.99% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ DIVIDEND VALUE INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 87,546,091.738 | 43.29% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 26,708,023.109 | 13.21% | ||||
ALLIANZ NFJ DIVIDEND VALUE INSTL | ING LIFE INSURANCE AND ANNUITY CO 1 ORANGE WAY # C1N WINDSOR CT 06095-4773 | 13,791,138.429 | 6.82% | |||||
Class P | ||||||||
a, b | ALLIANZ 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 | 67,556,553.862 | 66.81% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 18,739,440.344 | 18.53% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 7,451,722.707 | 7.37% | ||||
b | ALLIANZ NFJ DIVIDEND VALUE P | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 5,735,728.357 | 5.67% | ||||
ALLIANZ NFJ INTERNATIONAL VALUE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ INTERNATIONAL VALUE A | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 5,260,259.996 | 13.83% | ||||
b | ALLIANZ 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 | 5,079,051.910 | 13.36% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 3,221,143.765 | 8.47% | ||||
b | ALLIANZ 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 | 2,796,230.540 | 7.35% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 2,258,411.237 | 5.94% | ||||
Class C | ||||||||
a, b | ALLIANZ 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 | 2,659,844.918 | 25.01% | ||||
b | ALLIANZ 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 | 1,314,110.235 | 12.36% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,278,319.485 | 12.02% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 651,763.453 | 6.13% | ||||
b | ALLIANZ 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 | 549,635.551 | 5.17% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ INTERNATIONAL VALUE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 1,687,930.343 | 47.02% | ||||
a, b | ALLIANZ NFJ INTERNATIONAL VALUE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,309,360.505 | 36.48% | ||||
Class R | ||||||||
ALLIANZ NFJ INTERNATIONAL VALUE R | HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 | 27,490.468 | 22.55% | |||||
b | ALLIANZ NFJ INTERNATIONAL VALUE R | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 21,021.349 | 17.25% | ||||
ALLIANZ NFJ INTERNATIONAL VALUE R | HARTFORD SECURITIES DISTRIBUTION COMPANY INC/PRG PO BOX 2999 HARTFORD CT 06104-2999 | 16,844.764 | 13.82% | |||||
b | ALLIANZ NFJ INTERNATIONAL VALUE R | ADVISORS CLEARING NETWORK INC FBO WRAP PENSIONS OMNIBUS 7 N FAIR OAKS AVE PASADENA CA 91103-3608 | 13,031.794 | 10.69% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE R | C/O MUTUAL FUNDS WILMINGTON TR CO CUST FBO FULTON COUNTY SCHOOLS 403B TAX DEF A/C 096361-001 1 PO BOX 8880 WILMINGTON DE 19899-8880 | 9,522.482 | 7.81% | ||||
Administrative Class | ||||||||
a, b | ALLIANZ NFJ INTERNATIONAL VALUE ADMIN | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 176,984.358 | 99.68% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ INTERNATIONAL VALUE INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 10,192,423.616 | 35.88% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 3,073,540.096 | 10.82% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE INSTL | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES FBO MUTUAL FUND CLIENTS 100 MULBERRY ST 3 GATEWAY CENTER FL 11 MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 1,954,094.211 | 6.88% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE INSTL | WILMINGTON TRUST RETIREMENT AND INSTITUTIONAL SERVICES COMPANY AS TTEE FBO MEBT - UNITIZED MUTUAL FUND ACCOUNT PO BOX 52129 PHOENIX AZ 85072-2129 | 1,782,152.661 | 6.27% | ||||
Class P | ||||||||
a, b | ALLIANZ 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 | 15,201,102.296 | 84.37% | ||||
b | ALLIANZ NFJ INTERNATIONAL VALUE P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 1,338,803.404 | 7.43% | ||||
ALLIANZ NFJ LARGE-CAP VALUE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ 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 | 1,140,420.416 | 8.62% | ||||
b | ALLIANZ 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 | 1,074,258.417 | 8.12% | ||||
b | ALLIANZ NFJ LARGE CAP VALUE A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 845,547.739 | 6.39% | ||||
Class B | ||||||||
b | ALLIANZ NFJ LARGE CAP VALUE B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 202,987.571 | 11.92% | ||||
b | ALLIANZ NFJ LARGE CAP VALUE B | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 109,054.463 | 6.40% | ||||
b | ALLIANZ 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 | 94,674.131 | 5.56% | ||||
Class C | ||||||||
b | ALLIANZ 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 | 1,493,255.841 | 18.44% |
171
Percentage of | ||||||||
Amount and Nature of | of Oustanding Shares | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
b | ALLIANZ NFJ LARGE CAP VALUE C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 614,519.848 | 7.59% | ||||
b | ALLIANZ 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 | 453,835.247 | 5.60% | ||||
b | ALLIANZ NFJ LARGE CAP VALUE C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 449,477.403 | 5.55% | ||||
b | ALLIANZ NFJ LARGE 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 | 445,617.102 | 5.50% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ LARGE CAP VALUE D | EDWARD D JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO 63043-3009 | 30,022,630.719 | 90.49% | ||||
Class R | ||||||||
ALLIANZ 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 | 120,436.321 | 17.15% | |||||
b | ALLIANZ NFJ LARGE CAP VALUE R | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 75,839.152 | 10.80% | ||||
ALLIANZ 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 | 64,638.759 | 9.20% | |||||
ALLIANZ NFJ LARGE CAP VALUE R | ING ENHANCED K-CHOICE TRUSTEE: RELIANCE TRUST COMPANY 400 ATRIUM DRIVE SOMERSET NJ 08873-4162 | 43,920.215 | 6.25% | |||||
ALLIANZ NFJ LARGE CAP VALUE R | COUNSEL TRUST FBO PFC ENERGY INC 401(K) PLAN 1251 WATERFRONT PL PITTSBURGH PA 15222-4227 | 40,776.808 | 5.81% | |||||
Administrative Class | ||||||||
a, b | ALLIANZ NFJ LARGE-CAP VALUE ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 276,074.158 | 53.28% | ||||
a | ALLIANZ NFJ LARGE-CAP VALUE ADMIN | PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE CUST THE AAFP 401K PLAN PLAN # 007008 11400 TOMAHAWK CREEK PKWY LEAWOOD KS 66211-2680 | 159,214.512 | 30.72% | ||||
ALLIANZ 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 | 48,566.651 | 9.37% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ LARGE-CAP VALUE INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 2,996,857.855 | 25.46% | ||||
ALLIANZ NFJ LARGE-CAP VALUE INSTL | MINNESOTA LIFE 401 ROBERT STREET NORTH MAILSTATION A6-5317 SAINT PAUL MN 55101-2005 | 2,911,395.073 | 24.73% | |||||
b | ALLIANZ NFJ LARGE-CAP VALUE INSTL | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES FBO MUTUAL FUND CLIENTS 100 MULBERRY ST 3 GATEWAY CENTER FL 11 MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 1,142,334.021 | 9.70% | ||||
b | ALLIANZ NFJ LARGE-CAP VALUE INSTL | NEW YORK LIFE TRUST CO CLIENT ACCT 169 LACKAWANNA AVE PARSIPPANY NJ 07054-1007 | 1,117,671.242 | 9.49% | ||||
b | ALLIANZ NFJ LARGE-CAP VALUE INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 615,825.834 | 5.23% | ||||
Class P | ||||||||
a, b | ALLIANZ 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 | 223,646.663 | 38.91% | ||||
a, b | ALLIANZ NFJ LARGE-CAP VALUE P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 169,602.001 | 29.50% | ||||
b | ALLIANZ NFJ LARGE-CAP VALUE P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 103,379.589 | 17.98% | ||||
b | ALLIANZ NFJ LARGE-CAP VALUE P | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 62,905.115 | 10.94% | ||||
ALLIANZ NFJ MID-CAP VALUE | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ MID-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 | 104,936.640 | 17.82% | ||||
b | ALLIANZ NFJ MID-CAP VALUE A | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 43,147.629 | 7.33% | ||||
Class C | ||||||||
b | ALLIANZ 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 | 30,205.817 | 14.61% | ||||
b | ALLIANZ 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 | 26,551.740 | 12.84% | ||||
b | ALLIANZ NFJ MID-CAP VALUE C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 14,566.796 | 7.05% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ MID-CAP VALUE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 6,831.458 | 43.20% | ||||
a, b | ALLIANZ NFJ MID-CAP VALUE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 4,971.132 | 31.44% | ||||
b | ALLIANZ NFJ MID-CAP VALUE D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 1,304.372 | 8.25% | ||||
b | ALLIANZ NFJ MID-CAP VALUE D | U S BANCORP INVESTMENTS INC FBO 247846131 60 LIVINGSTON AVENUE ST PAUL MN 55107-2292 | 1,297.638 | 8.21% | ||||
ALLIANZ NFJ MID-CAP VALUE D | ALLIANZ GLOBAL INVESTORS ATTN VINH NGUYEN 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 822.210 | 5.20% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ MID-CAP VALUE INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 10,438.723 | 53.38% | ||||
a, b | ALLIANZ NFJ MID-CAP VALUE INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 7,924.192 | 40.52% | ||||
ALLIANZ NFJ MID-CAP VALUE INSTL | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 1,191.933 | 6.10% | |||||
Class P | ||||||||
a, b | ALLIANZ 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 | 30,635.648 | 79.33% | ||||
b | ALLIANZ NFJ MID-CAP VALUE P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 3,925.322 | 10.16% | ||||
b | ALLIANZ NFJ MID-CAP VALUE P | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 2,969.234 | 7.69% | ||||
ALLIANZ NFJ RENAISSANCE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ RENAISSANCE 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 | 3,472,293.847 | 13.59% | ||||
b | ALLIANZ NFJ RENAISSANCE A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,771,631.946 | 6.93% | ||||
ALLIANZ NFJ RENAISSANCE A | HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 | 1,455,144.248 | 5.69% | |||||
b | ALLIANZ NFJ RENAISSANCE 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 | 1,393,963.426 | 5.46% | ||||
Class B | ||||||||
b | ALLIANZ NFJ RENAISSANCE B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 296,828.912 | 10.30% |
172
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
b | ALLIANZ NFJ RENAISSANCE B | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 154,772.920 | 5.37% | ||||
b | ALLIANZ NFJ RENAISSANCE B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 149,887.611 | 5.20% | ||||
Class C | ||||||||
b | ALLIANZ NFJ RENAISSANCE 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 | 2,482,012.238 | 16.94% | ||||
b | ALLIANZ NFJ RENAISSANCE C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 1,206,670.272 | 8.23% | ||||
b | ALLIANZ NFJ RENAISSANCE C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 830,313.445 | 5.67% | ||||
b | ALLIANZ NFJ RENAISSANCE 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 | 748,732.534 | 5.11% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ RENAISSANCE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 392,730.880 | 42.68% | ||||
a, b | ALLIANZ NFJ RENAISSANCE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 305,546.156 | 33.20% | ||||
b | ALLIANZ NFJ RENAISSANCE D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 52,545.027 | 5.71% | ||||
Class R | ||||||||
ALLIANZ NFJ RENAISSANCE 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 | 130,637.744 | 13.47% | |||||
ALLIANZ NFJ RENAISSANCE R | CAPITAL BANK & TRUST CO TTEE FBO PICIS INC 401K PSP & TRUST C/O PLANPREMIER/FASCORP 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 102,523.712 | 10.57% | |||||
ALLIANZ NFJ RENAISSANCE 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 | 82,068.728 | 8.46% | |||||
ALLIANZ NFJ RENAISSANCE R | LEONARD MILLER FBO MILLER ADVERTISING AGENCY INC PROFIT SHARING PLAN DTD11/29/93 71 FIFTH AVE NEW YORK NY 10003-3004 | 67,499.933 | 6.96% | |||||
ALLIANZ NFJ RENAISSANCE R | AMERICAN UNITED INSURANCE CO TTEE GROUP RETIREMENT ANNUITY PO BOX 368 INDIANAPOLIS IN 46206-0368 | 48,556.025 | 5.00% | |||||
Administrative Class | ||||||||
a | ALLIANZ NFJ RENAISSANCE ADMIN | AMERICAN UNITED LIFE INSURANCE CO SEPARATE ACCOUNTS ADMINISTRATION ONE AMERICAN SQUARE INDIANAPOLIS IN 46282-0002 | 130,258.491 | 37.69% | ||||
b | ALLIANZ NFJ RENAISSANCE ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 58,191.878 | 16.84% | ||||
ALLIANZ NFJ RENAISSANCE ADMIN | WELLS FARGO BANK FBO VARIOUS RETIREMENT PLANS 9888888836 NC-1076 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 | 55,528.763 | 16.07% | |||||
ALLIANZ NFJ RENAISSANCE ADMIN | AMERICAN UNITED LIFE INSURANCE CO UNIT INVESTMENT TRUST SEPARATE ACCOUNTS ADMINISTRATION ONE AMERICAN SQUARE INDIANAPOLIS IN 46282-0002 | 42,222.762 | 12.22% | |||||
ALLIANZ NFJ RENAISSANCE ADMIN | DWS TRUST CO TTEE FBO DEKALB CLINIC CHARTERED EMPLOYEES RETIREMENT PLAN PO BOX 1757 SALEM NH 03079-1143 | 23,498.828 | 6.80% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ RENAISSANCE INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 300,285.546 | 36.51% | ||||
ALLIANZ NFJ RENAISSANCE INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 189,772.994 | 23.07% | |||||
b | ALLIANZ NFJ RENAISSANCE INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 88,675.164 | 10.78% | ||||
b | ALLIANZ NFJ RENAISSANCE INSTL | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES FBO MUTUAL FUND CLIENTS 100 MULBERRY ST 3 GATEWAY CENTER FL 11 MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 85,524.191 | 10.40% | ||||
Class P | ||||||||
a, b | ALLIANZ NFJ RENAISSANCE P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 5,703.600 | 50.17% | ||||
a, b | ALLIANZ NFJ RENAISSANCE P | STIFEL NICOLAUS & CO INC EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 | 3,692.634 | 32.48% | ||||
ALLIANZ NFJ RENAISSANCE P | JMS LLC CUST FBO KEYSTONE A/C ELIZABETH M PANKEN 212 SOMERSTON RD YORKTOWN HTS NY 10598-2121 | 793.475 | 6.98% | |||||
ALLIANZ NFJ RENAISSANCE P | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 667.557 | 5.87% | |||||
ALLIANZ NFJ SMALL-CAP VALUE FUND | ||||||||
Class A | ||||||||
b | ALLIANZ NFJ SMALL-CAP VALUE A | STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 | 8,945,587.786 | 11.42% | ||||
b | ALLIANZ 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 | 7,592,278.931 | 9.69% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 5,692,139.963 | 7.27% | ||||
Class B | ||||||||
b | ALLIANZ NFJ SMALL-CAP VALUE B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 87,668.936 | 10.87% | ||||
b | ALLIANZ 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 | 80,967.875 | 10.04% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 42,126.645 | 5.22% | ||||
Class C | ||||||||
a, b | ALLIANZ 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 | 3,458,548.137 | 25.91% | ||||
b | ALLIANZ 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 | 1,220,558.988 | 9.14% | ||||
b | ALLIANZ 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 | 930,278.948 | 6.97% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 885,968.345 | 6.64% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 807,100.714 | 6.05% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 726,570.830 | 5.44% | ||||
Class D | ||||||||
a, b | ALLIANZ NFJ SMALL-CAP VALUE D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,987,800.536 | 44.21% | ||||
a, b | ALLIANZ NFJ SMALL-CAP VALUE D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 1,473,031.464 | 32.76% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 400,388.069 | 8.91% | ||||
Class R | ||||||||
ALLIANZ NFJ SMALL-CAP VALUE R | HARTFORD LIFE INSURANCE CO 401K SEPARATE ACCOUNT PO BOX 2999 HARTFORD CT 06104-2999 | 933,661.355 | 17.69% | |||||
ALLIANZ NFJ SMALL-CAP VALUE R | AMERICAN UNITED INSURANCE CO TTEE GROUP RETIREMENT ANNUITY PO BOX 368 INDIANAPOLIS IN 46206-0368 | 873,014.861 | 16.54% | |||||
ALLIANZ NFJ SMALL-CAP VALUE R | ING LIFE INSURANCE & ANNUITY CO 151 FARMINGTON AVE HARTFORD CT 06156-0001 | 377,330.970 | 7.15% |
173
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
ALLIANZ NFJ SMALL-CAP VALUE R | AMERICAN UNITED INSURANCE CO TTEE UNIT INVESTMENT TRUST PO BOX 368 INDIANAPOLIS IN 46206-0368 | 318,233.963 | 6.03% | |||||
b | ALLIANZ NFJ SMALL-CAP VALUE R | STATE STREET BANK TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 | 290,810.987 | 5.51% | ||||
Administrative Class | ||||||||
a, b | ALLIANZ NFJ SMALL-CAP VALUE ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 21,976,891.576 | 45.37% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE ADMIN | CHARLES SCHWAB & CO SPECIAL CUSTODY ACCT FOR EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN: CAROL WU/MUTUAL FUND OPS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 2,538,270.078 | 5.24% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ NFJ SMALL-CAP VALUE INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 32,630,398.015 | 38.84% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE INSTL | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNT FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 | 11,603,021.287 | 13.81% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE INSTL | 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 | 6,923,246.282 | 8.24% | ||||
Class P | ||||||||
a, b | ALLIANZ 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 | 1,134,677.413 | 46.28% | ||||
a, b | ALLIANZ NFJ SMALL-CAP VALUE P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 819,359.225 | 33.42% | ||||
b | ALLIANZ NFJ SMALL-CAP VALUE P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 296,331.770 | 12.09% | ||||
ALLIANZ RCM DISCIPLINED INTERNATIONAL EQUITY FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 81,330.470 | 8.59% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 60,896.068 | 6.43% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 52,563.247 | 5.55% | ||||
Class B | ||||||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 9,632.473 | 6.92% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 7,777.771 | 5.59% | ||||
Class C | ||||||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 250,879.653 | 18.21% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 133,520.611 | 9.69% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ 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 | 125,831.480 | 9.14% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 95,380.964 | 6.92% | ||||
Class D | ||||||||
ALLIANZ RCM DISCIPLINED INTL EQ D | CHARLES T FRENCH CATHERINE L FRENCH JT WROS 3273 LENAPE DR DRESHER PA 19025-1824 | 20,501.586 | 22.76% | |||||
b | ALLIANZ RCM DISCIPLINED INTL EQ D | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 12,135.881 | 13.47% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ D | MERRILL LYNCH PF&S INC FOR THE BENEFIT OF ITS CUSTOMERS ATTENTION: SERVICE TEAM 4800 DEER LAKE DRIVE EAST 2ND FLOOR JACKSONVILLE FL 32246-6486 | 11,855.162 | 13.16% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 7,654.308 | 8.50% | ||||
b | ALLIANZ RCM DISCIPLINED INTL EQ D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 6,875.598 | 7.63% | ||||
ALLIANZ RCM DISCIPLINED INTL EQ D | JAMES J GOMBAS & JULIE THERESE GOMBAS JT WROS 7 S 501 ARBOR DRIVE NAPERVILLE IL 60540-6433 | 6,850.760 | 7.60% | |||||
Administrative Class | ||||||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | STATE STREET BANK & TRUST CO CUST AGNES O'KELLY IRA R/O PO BOX 3671 PAWLEYS ISL SC 29585-3671 | 1,698.530 | 21.82% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | THOMAS MICHAEL GOMEZ ONNALEE ANNE HENNEBERRY JT WROS 2332 MASSEY LN DECATUR GA 30033-1221 | 1,225.282 | 15.74% | |||||
b | ALLIANZ RCM DISCIPLINED INTL EQ ADMI | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,094.272 | 14.06% | ||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | STATE STREET BANK & TRUST CO CUST LINDA R HESS IRA R/O 17 DEVONSHIRE DR SE ROME GA 30161-4062 | 1,041.669 | 13.38% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | STATE STREET BANK & TRUST CO CUST IRA A/C NANCY M MORRIS 535 SAINT PHILIP ST NEW ORLEANS LA 70116-3322 | 831.200 | 10.68% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | MARK GREENBERG 1646 N CALIFORNIA BLVD STE 315 WALNUT CREEK CA 94596-4171 | 649.803 | 8.35% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | STATE STREET BANK & TRUST CO CUST IRA MARY GNADT 237 WALNUT ST ELMHURST IL 60126-2655 | 628.846 | 8.08% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ ADMI | CHARLES SPERRAZZA 2128 NE 62ND ST FT LAUDERDALE FL 33308-2163 | 487.367 | 6.26% | |||||
Institutional Class | ||||||||
a, b | ALLIANZ RCM DISCIPLINED INTL EQ INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 195,075.856 | 44.21% | ||||
ALLIANZ RCM DISCIPLINED INTL EQ INSTL | BUILDING SERVICE PENSION PLAN ATTN NWA 2323 EASTLAKE AVE E SEATTLE WA 98102-3305 | 92,826.494 | 21.04% | |||||
ALLIANZ RCM DISCIPLINED INTL EQ INSTL | CENTRAL CA IBEW-NECA PENSION TRUST FUND LOCAL #413 ATTN MR JOE FURINO 100 THOMAS RD BUELLTON CA 93427-9668 | 75,289.690 | 17.06% | |||||
b | ALLIANZ RCM DISCIPLINED INTL EQ INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 64,767.832 | 14.68% | ||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY 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 | 75,540.040 | 9.69% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 67,209.587 | 8.62% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 38,987.862 | 5.00% | ||||
Class C | ||||||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY 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 | 92,563.631 | 17.06% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 72,639.844 | 13.39% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 29,640.966 | 5.46% |
174
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 28,346.058 | 5.22% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM GLOBAL COMMODITY EQUITY D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 164,651.860 | 60.03% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 59,090.217 | 21.54% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 15,331.321 | 5.59% | ||||
Class P | ||||||||
a, b | ALLIANZ RCM GLOBAL COMMODITY EQUITY 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 | 33,367.106 | 79.17% | ||||
b | ALLIANZ RCM GLOBAL COMMODITY EQUITY P | CITIGROUP GLOBAL MARKETS INC HOUSE ACCOUNT 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 6,444.481 | 15.29% | ||||
Institutional Class | ||||||||
a | ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | ALLIANZ FUNDS MULTI-STRATEGY TRUST ON BEHALF OF ALLIANZ GLOBAL INV SOL GLOBAL ALLOCATION FUND AGI SOLUTIONS ATTN STEPHEN SEXAUER 600 W BROADWAY SAN DIEGO CA 92101-3311 | 605,138.016 | 42.71% | ||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | STATE STREET BANK AND TRUST CO CUST SOUTH DAKOKA HIGHER EDUCATION TRUST (ALLIANZ RCM GLOBAL RESOURCES) 801 PENNSYLVANIA AVE KANSAS CITY MO 64105-1307 | 224,202.194 | 15.82% | |||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | 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 | 126,394.037 | 8.92% | |||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | 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 | 97,001.954 | 6.85% | |||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | STATE STREET AS CUSTODIAN FOR SOUTH DAKOTA COLLEGEACCESS 529 PLAN DIVERSIFIED EQUITY P52D ATTN: TRUST OPERATIONS 801 PENNSYLVANIA KANSAS CITY MO 64105-1307 | 86,393.364 | 6.10% | |||||
ALLIANZ RCM GLOBAL COMMODITY EQUITY INSTL | 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 | 81,379.643 | 5.74% | |||||
ALLIANZ RCM GLOBAL SMALL-CAP FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM GLOBAL SMALL-CAP A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 192,951.739 | 17.29% | ||||
b | ALLIANZ RCM GLOBAL SMALL-CAP A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 95,101.300 | 8.52% | ||||
Class B | ||||||||
b | ALLIANZ RCM GLOBAL SMALL-CAP B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 28,796.286 | 11.23% | ||||
b | ALLIANZ RCM GLOBAL SMALL-CAP B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 21,911.441 | 8.55% | ||||
Class C | ||||||||
b | ALLIANZ RCM 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 | 72,625.903 | 13.52% | ||||
b | ALLIANZ RCM 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 | 71,816.860 | 13.37% | ||||
b | ALLIANZ RCM GLOBAL SMALL-CAP C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 55,902.794 | 10.40% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM GLOBAL SMALL-CAP D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 326,342.689 | 49.40% | ||||
a, b | ALLIANZ RCM GLOBAL SMALL-CAP D | NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY STREET ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 206,869.103 | 31.31% | ||||
Institutional Class | ||||||||
a, b | ALLIANZ RCM GLOBAL SMALL-CAP INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 287,010.426 | 58.80% | ||||
a, b | ALLIANZ RCM GLOBAL SMALL-CAP INSTL | PERSHING LLC ATTN MUTUAL FUNDS PO BOX 2052 JERSEY CITY NJ 07303-2052 | 146,699.797 | 30.06% | ||||
Class P | ||||||||
a, b | ALLIANZ RCM GLOBAL SMALL-CAP P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 24,538.847 | 43.10% | ||||
a, b | ALLIANZ RCM 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 | 20,105.996 | 35.32% | ||||
b | ALLIANZ RCM GLOBAL SMALL-CAP P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 10,237.293 | 17.98% | ||||
ALLIANZ RCM LARGE-CAP GROWTH FUND | ||||||||
Class A | ||||||||
a | ALLIANZ RCM LARGE-CAP GROWTH A | NEW YORK LIFE INSURANCE CO 169 LACKAWANNA AVE PARSIPPANY NJ 07054-1007 | 1,620,181.926 | 36.51% | ||||
a, b | ALLIANZ RCM LARGE-CAP GROWTH A | PRUDENTIAL INVESTMENT MGTS SERVICE (FBO) MUTUAL FUND CLIENTS ATTN PRUCHOICE UNIT 100 MULBERRY STREET MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 1,244,812.001 | 28.05% | ||||
b | ALLIANZ RCM LARGE-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 | 231,047.709 | 5.21% | ||||
Class B | ||||||||
b | ALLIANZ RCM LARGE-CAP GROWTH B | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 22,096.096 | 11.28% | ||||
b | ALLIANZ RCM LARGE-CAP 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 | 17,932.448 | 9.15% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 12,909.917 | 6.59% | ||||
Class C | ||||||||
b | ALLIANZ RCM LARGE-CAP 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 | 160,270.918 | 23.22% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 72,009.298 | 10.43% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 61,241.137 | 8.87% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 40,436.208 | 5.86% | ||||
b | ALLIANZ RCM LARGE-CAP 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 | 39,916.727 | 5.78% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM LARGE-CAP GROWTH D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,426,899.496 | 57.74% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH D | NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEP 5TH FL 200 LIBERTY STREET ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 373,661.985 | 15.12% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH D | PRUDENTIAL INVESTMENT MGTS SERVICE (FBO) MUTUAL FUND CLIENTS ATTN PRUCHOICE UNIT 100 MULBERRY STREET MAIL STOP NJ 05-11-20 NEWARK NJ 07102-4056 | 254,583.686 | 10.30% | ||||
ALLIANZ RCM LARGE-CAP GROWTH D | WELLS FARGO BANK NA FBO ENGLE NONEMER DC PENSION D 1150209500 PO BOX 1533 MINNEAPOLIS MN 55480-1533 | 159,633.908 | 6.46% |
175
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
Class R | ||||||||
a | ALLIANZ RCM LARGE-CAP GROWTH R | VRSCO FBO AIGFSB ÝCUST¨ ÝTTEE¨ FBO JEFFERSON CNTR FOR MENTAL HLTH 401K 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 | 20,229.088 | 83.62% | ||||
ALLIANZ RCM LARGE-CAP GROWTH R | MG TRUST COMPANY CUST FBO ENDOW 403(B) RETIREMENT PLAN 700 17TH STREET SUITE 300 DENVER CO 80202-3531 | 1,209.937 | 5.00% | |||||
Administrative Class | ||||||||
a, b | ALLIANZ RCM LARGE-CAP GROWTH ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,257,982.660 | 48.54% | ||||
a | ALLIANZ RCM LARGE-CAP GROWTH ADMIN | MERCER TRUST COMPANY TTEE FBO HEALTH NET INC 401K SAVINGS PLAN ATTN DC PLAN ADMIN TEAM 1 INVESTORS WAY MSC N-2-E NORWOOD MA 02062-1599 | 1,134,277.041 | 43.77% | ||||
Institutional Class | ||||||||
b | ALLIANZ RCM LARGE-CAP GROWTH INSTL | PIMS/PRUDENTIAL RETIREMENT AS NOMINEE FOR THE TTEE/CUST PL 720 UNION BANK 401(K) PLAN 400 CALIFORNIA ST FL 10 SAN FRANCISCO CA 94104-1318 | 4,784,553.860 | 21.95% | ||||
ALLIANZ RCM LARGE-CAP GROWTH INSTL | MERCER TRUST COMPANY TTEE FBO NORDSTROM INC DCPA TEAM 650256 MSC 1 INVESTORS WAY MSC N-1-G NORWOOD MA 02062-1599 | 4,464,671.550 | 20.49% | |||||
ALLIANZ RCM LARGE-CAP GROWTH INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 2,379,966.058 | 10.92% | |||||
ALLIANZ RCM LARGE-CAP GROWTH INSTL | THE NORTHERN TRUST CO AS TTEE FBO NORTEL NETWORKS 401K TRUST - D1 PO BOX 92994 CHICAGO IL 60675-0001 | 1,888,450.098 | 8.67% | |||||
ALLIANZ RCM LARGE-CAP GROWTH INSTL | NEW YORK LIFE TRUST CO CLIENT ACCT 169 LACKAWANNA AVE PARSIPPANY NJ 07054-1007 | 1,549,999.009 | 7.11% | |||||
Class P | ||||||||
a, b | ALLIANZ RCM LARGE-CAP 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 | 42,124.085 | 41.57% | ||||
a, b | ALLIANZ RCM LARGE-CAP GROWTH P | SALOMON SMITH BARNEY 700 RED BROOK BLVD OWINGS MILLS MD 21117-5184 | 31,322.734 | 30.91% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH P | RBC CAPITAL MARKETS LLC MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 | 15,137.456 | 14.94% | ||||
b | ALLIANZ RCM LARGE-CAP GROWTH P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 11,930.165 | 11.77% | ||||
ALLIANZ RCM MID-CAP FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM 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 | 297,540.901 | 9.32% | ||||
b | ALLIANZ RCM MID-CAP A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 194,512.132 | 6.09% | ||||
b | ALLIANZ RCM MID-CAP A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 181,449.894 | 5.68% | ||||
Class B | ||||||||
b | ALLIANZ RCM MID-CAP B | AMERICAN ENTERPRISE INVESTMENT SVC FBO #41999970 707 2ND AVE SOUTH MINNEAPOLIS MN 55402-2405 | 39,233.434 | 6.48% | ||||
b | ALLIANZ RCM MID-CAP 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 | 37,190.333 | 6.14% | ||||
Class C | ||||||||
b | ALLIANZ RCM 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 | 205,244.745 | 11.50% | ||||
ALLIANZ RCM MID-CAP C | RICHARD ROSETTI & JOAN ROSETTI JT TEN 20 E COBBLE HILL RD LOUDONVILLE NY 12211-1310 | 204,931.051 | 11.49% | |||||
b | ALLIANZ RCM MID-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 | 106,641.674 | 5.98% | ||||
b | ALLIANZ RCM MID-CAP C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 94,942.648 | 5.32% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM MID-CAP D | NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY STREET ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 238,099.684 | 47.37% | ||||
a, b | ALLIANZ RCM MID-CAP D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 128,604.071 | 25.58% | ||||
b | ALLIANZ RCM MID-CAP D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 30,380.533 | 6.04% | ||||
Administrative Class | ||||||||
a, b | ALLIANZ RCM MID CAP ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 821,208.622 | 98.91% | ||||
Institutional Class | ||||||||
a | ALLIANZ RCM MID-CAP INSTL | ABBOTT LABORATORIES ANNUITY RETIREMENT TRUST FUND ATTN MR WILLIAM H S PREECE JR 1 ABBOTT PARK RD D310, AP6D/2 ABBOTT PARK IL 60064 | 7,470,804.181 | 48.00% | ||||
b | ALLIANZ RCM MID-CAP INSTL | UBATCO & CO C/O UNION BANK & TRUST ATTN TRUST OPERATIONS PO BOX 82535 LINCOLN NE 68501-2535 | 1,737,481.197 | 11.16% | ||||
b | ALLIANZ RCM MID-CAP INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,732,833.445 | 11.13% | ||||
ALLIANZ RCM MID-CAP INSTL | UBATCO & CO FBO NELNET INC PO BOX 82535 LINCOLN NE 68501-2535 | 887,969.570 | 5.71% | |||||
Class R | ||||||||
b | ALLIANZ RCM 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 | 146,166.823 | 22.99% | ||||
ALLIANZ RCM MID-CAP R | C/O FASCORE LLC SCOTT DIXON & TOM TUORI TTEES FBO HURST MECHANICAL INC 401K 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO 80111-5002 | 92,787.405 | 14.60% | |||||
ALLIANZ RCM MID-CAP R | VRSCO FBO AIGFSB CUST TTEE FBO SEEING EYE 403B MATCHING SAVINGS PL 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 | 78,102.724 | 12.29% | |||||
ALLIANZ RCM MID-CAP R | VRSCO FBO AIGFSB ÝCUST¨ ÝTTEE¨ FBO ALLEGHENY COUNTY 457B DEF COMP 292 ALLEN PARKWAY, A6-20 HOUSTON TX 77019 | 71,279.342 | 11.21% | |||||
ALLIANZ RCM MID-CAP R | FRONTIER TR CO FBO W E LONG CO SAVINGS & PROTECT 210773 PO BOX 10758 FARGO ND 58106-0758 | 54,203.922 | 8.53% | |||||
ALLIANZ RCM MID-CAP R | NTC & CO FBO UTE WATERMAN PO BOX 173859 DENVER CO 80217-3859 | 36,671.830 | 5.77% | |||||
ALLIANZ RCM STRATEGIC GROWTH FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM STRATEGIC GROWTH A | PERSHING LLC P. O. BOX 2052 JERSEY CITY NJ 07303-2052 | 39,855.184 | 15.80% | ||||
b | ALLIANZ RCM STRATEGIC GROWTH A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 29,472.738 | 11.68% | ||||
b | ALLIANZ RCM STRATEGIC GROWTH 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 | 23,549.831 | 9.33% | ||||
b | ALLIANZ RCM STRATEGIC 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 | 15,762.132 | 6.25% | ||||
Class C | ||||||||
b | ALLIANZ RCM STRATEGIC 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 | 20,625.172 | 22.93% |
176
Percentage of | ||||||||
Amount and Nature of | Oustanding Shares of | |||||||
Fund Name | Registration | Beneficial Ownership | Class Owned | |||||
b | ALLIANZ RCM STRATEGIC GROWTH C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 6,852.585 | 7.62% | ||||
b | ALLIANZ RCM STRATEGIC GROWTH C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 5,033.498 | 5.60% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM STRATEGIC GROWTH D | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 10,365.416 | 32.65% | ||||
a, b | ALLIANZ RCM STRATEGIC GROWTH D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 9,671.304 | 30.47% | ||||
b | ALLIANZ RCM STRATEGIC GROWTH D | E TRADE CLEARING LLC 643-12253-14 PO BOX 484 JERSEY CITY NJ 07303-0484 | 2,664.852 | 8.39% | ||||
Administrative Class | ||||||||
a | ALLIANZ RCM STRATEGIC GROWTH ADMIN | ORCHARD TRUST CO LLC FBO EMPLOYEE BENEFITS CLIENTS C/O GREAT WEST 8515 E ORCHARD RD # 2T2 ENGLEWOOD CO 80111-5002 | 8,657.942 | 92.66% | ||||
ALLIANZ RCM STRATEGIC GROWTH ADMIN | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 686.060 | 7.34% | |||||
Institutional Class | ||||||||
a | ALLIANZ RCM STRATEGIC GROWTH INSTL | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 119,475.292 | 97.53% | ||||
Class P | ||||||||
a, b | ALLIANZ RCM STRATEGIC 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 | 8,666.436 | 89.67% | ||||
ALLIANZ RCM STRATEGIC GROWTH P | ALLIANZ GLOBAL INVESTORS OF AMERICA LP ATTN: DONNA THOMPSON 680 NEWPORT CENTER DR STE 250 NEWPORT BEACH CA 92660-4046 | 652.742 | 6.75% | |||||
ALLIANZ RCM TECHNOLOGY FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM 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 | 619,195.146 | 9.12% | ||||
b | ALLIANZ RCM TECHNOLOGY A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 504,283.592 | 7.43% | ||||
Class B | ||||||||
b | ALLIANZ RCM TECHNOLOGY B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 17,286.637 | 8.38% | ||||
Class C | ||||||||
b | ALLIANZ RCM 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 | 357,802.482 | 12.41% | ||||
b | ALLIANZ RCM TECHNOLOGY C | CITIGROUP GLOBAL MARKETS, INC 00109801250 ATTN CINDY TEMPESTA 7TH FL 333 WEST 34TH ST NEW YORK NY 10001-2402 | 277,334.653 | 9.62% | ||||
b | ALLIANZ RCM TECHNOLOGY C | RAYMOND JAMES OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM 92500015 ATTN COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 | 245,034.103 | 8.50% | ||||
b | ALLIANZ RCM TECHNOLOGY C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 155,221.325 | 5.39% | ||||
b | ALLIANZ RCM 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 | 154,513.866 | 5.36% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM TECHNOLOGY D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,523,022.069 | 44.22% | ||||
b | ALLIANZ RCM TECHNOLOGY D | NATIONAL FINANCIAL SERVICES CORP FOR EXCLUSIVE BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY STREET ONE WORLD FINANCIAL CENTER NEW YORK NY 10281-1003 | 700,458.691 | 20.34% | ||||
Administrative Class | ||||||||
a | ALLIANZ RCM TECHNOLOGY ADMIN | STATE STREET BANK & TRUST AS TRUSTEE FBO ADVENTIST HEALTHCARE RETIREMENT PLAN ATTN MARK HANNA 105 ROSEMONT RD WESTWOOD MA 02090-2318 | 858,616.415 | 76.07% | ||||
b | ALLIANZ RCM TECHNOLOGY ADMIN | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 79,035.424 | 7.00% | ||||
ALLIANZ RCM TECHNOLOGY ADMIN | ICMA RETIREMENT CORP 401 (K) PLAN 777 NORTH CAPITOL STREET NE WASHINGTON DC 20002-4239 | 63,649.528 | 5.64% | |||||
Institutional Class | ||||||||
b | ALLIANZ RCM TECHNOLOGY INSTL | CHARLES SCHWAB COMPANY 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,992,372.800 | 24.43% | ||||
ALLIANZ RCM TECHNOLOGY INSTL | NORTHERN TRUST CO TTEE FBO HARRIS CORP MASTER TRUST PLAN - DV PO BOX 92994 CHICAGO IL 60675-0001 | 1,404,009.051 | 17.22% | |||||
b | ALLIANZ RCM TECHNOLOGY INSTL | NFS FOR EXCLUSIVE BENEFIT OF OUR CUSTOMER 200 LIBERTY ST NEW YORK NY 10281-1003 | 1,321,779.089 | 16.21% | ||||
ALLIANZ RCM TECHNOLOGY INSTL | VANGUARD FIDUCIARY TRUST CO 100 VANGUARD BLVD VM-613 OUTSIDE FUNDS MALVERN PA 19355-2331 | 622,880.322 | 7.64% | |||||
Class P | ||||||||
a, b | ALLIANZ RCM TECHNOLOGY P | LPL FINANCIAL A/C 1000-0005 9785 TOWNE CENTRE DRIVE SAN DIEGO CA 92121-1968 | 670,479.417 | 77.31% | ||||
b | ALLIANZ RCM 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 | 151,827.882 | 17.51% | ||||
ALLIANZ RCM WELLNESS FUND | ||||||||
Class A | ||||||||
b | ALLIANZ RCM 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 | 41,914.825 | 6.63% | ||||
b | ALLIANZ RCM WELLNESS A | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 34,154.434 | 5.40% | ||||
b | ALLIANZ RCM WELLNESS A | AMERICAN ENTERPRISE INVESTMENT SVC FBO #890000611 PO BOX 9446 MINNEAPOLIS MN 55440-9446 | 32,717.333 | 5.17% | ||||
b | ALLIANZ RCM WELLNESS A | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 31,763.836 | 5.02% | ||||
Class B | ||||||||
b | ALLIANZ RCM 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 | 15,165.115 | 14.64% | ||||
b | ALLIANZ RCM WELLNESS B | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 12,104.015 | 11.69% | ||||
Class C | ||||||||
b | ALLIANZ RCM 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 | 60,205.101 | 21.08% | ||||
b | ALLIANZ RCM WELLNESS C | MORGAN STANLEY SMITH BARNEY HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 | 20,104.399 | 7.04% | ||||
b | ALLIANZ RCM WELLNESS 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 | 19,688.984 | 6.89% | ||||
b | ALLIANZ RCM WELLNESS C | NATIONAL FINANCIAL SERVICES LLC FOR THE BENEFIT OF OUR CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FLOOR ONE WORLD FINANCIAL CENTER 200 LIBERTY ST NEW YORK NY 10281-1003 | 18,645.550 | 6.53% | ||||
Class D | ||||||||
a, b | ALLIANZ RCM WELLNESS D | CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCOUNTS FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 | 1,663,360.285 | 44.43% | ||||
b | ALLIANZ RCM WELLNESS D | NATIONAL FINANCIAL SERVICES FOR THE BENEFIT OF CUSTOMER ATTN MUTUAL FUNDS DEPT 5TH FL 200 LIBERTY ST 1 WORLD FINANCIAL CENTER NEW YORK NY 10281-5503 | 890,362.555 | 23.78% | ||||
b | ALLIANZ RCM WELLNESS D | AMERITRADE INC FBO 9950065291 PO BOX 2226 OMAHA NE 68103-2226 | 230,228.370 | 6.15% |
177
1. | It is the policy of the Trust that proxies should be voted in the interest of the shareholders of the appropriate fund, as determined by those who are in the best position to make this determination. The Trust believes that the firms and/or persons purchasing and selling securities for the funds and analyzing the performance of the funds’ securities are in the best position and have the information necessary to vote proxies in the best interests of the funds and their shareholders, including in situations where conflicts of interest may arise between the interests of shareholders, on one hand, and the interests of the investment adviser, a sub-adviser and/or any other affiliated person of the fund, on the other. Accordingly, the Trust’s policy shall be to delegate proxy voting responsibility to those entities with portfolio management responsibility for the funds. |
2. | The Trust, for each fund advised by Allianz Global Investors Fund Management LLC (“AGIFM”), delegates the responsibility for voting proxies to AGIFM, which will in turn delegate such responsibility to the sub-adviser of the particular fund. AGIFM’s Proxy Voting Policy Summary is attached as Appendix A hereto. Summaries of the detailed proxy voting policies of the Trust’s current sub-advisers are set forth in Appendix B attached hereto. Such summaries may be revised from time to time to reflect changes to the sub-advisers’ detailed proxy voting policies. |
3. | The party voting the proxies (i.e., the sub-adviser or portfolio manager) shall vote such proxies in accordance with such party’s proxy voting policies and, to the extent consistent with such policies, may rely on information and/or recommendations supplied by others. |
4. | AGIFM and each sub-adviser of a fund of the Trust with proxy voting authority shall deliver a copy of its respective proxy voting policies and any material amendments thereto to the Board of the Trust promptly after the adoption or amendment of any such policies. |
5. | The party voting the proxy shall: (i) maintain such records and provide such voting information as is required for the Trust’s regulatory filings including, without limitation, Form N-PX and the required disclosure of policy called for by Item 17 of Form N-1A; and (ii) shall provide such additional information as may be requested, from time to time, by the Board or the Trust’s Chief Compliance Officer. |
6. | This Proxy Voting Policy Statement , the Proxy Voting Policy Summary of AGIFM and summaries of the detailed proxy voting policies of each sub-adviser of a fund of the Trust with proxy voting authority for a fund and how each fund voted proxies relating to portfolio securities held during the most recent twelve-month period ended June 30, shall be made available (i) without charge, upon request, by calling 1-800-988-8380; (ii) on the Trust’s website at www.allianzinvestors.com; and (iii) on the Securities and Exchange Commission’s (“SEC’s”) website at http://www.sec.gov. In addition, to the extent required by applicable law or determined by the Trust’s Chief Compliance Officer or Board of Trustees, the Proxy Voting Policy Summary of AGIFM and summaries of the detailed proxy voting policies of each sub-adviser with proxy voting authority shall also be included in the Trust’s SAI. |
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1. | It is the policy of AGIFM that proxies should be voted in the interest of the shareholders of the applicable fund, as determined by those who are in the best position to make this determination. AGIFM believes that the firms and/or persons purchasing and selling securities for the funds and analyzing the performance of the funds’ securities are in the best position and have the information necessary to vote proxies in the best interests of the funds and their shareholders, including in situations where conflicts of interest may arise between the interests of shareholders, on one hand, and the interests of the investment adviser, a sub-adviser and/or any other affiliated person of the fund, on the other. Accordingly, AGIFM’s policy shall be to delegate proxy voting responsibility to those entities with portfolio management responsibility for the funds. |
2. | AGIFM, for each fund of Allianz Funds for which it acts as investment adviser, delegates the responsibility for voting proxies to the sub-adviser for the respective fund. |
3. | The party voting proxies (e.g., the sub-adviser) will vote the proxies in accordance with their proxy voting policies and, to the extent consistent with their policies, may rely on information and/or recommendations supplied by others. |
4. | AGIFM and each sub-adviser of a fund will deliver a copy of their respective proxy voting policies and any material amendments thereto to the board of the relevant fund promptly after the adoption or amendment of any such policies. |
5. | The party voting the proxy will: (i) maintain such records and provide such voting information as is required for such funds’ regulatory filings including, without limitation, Form N-PX and the required disclosure of policy called for by Item 17 of Form N-1A; and (ii) will provide additional information as may be requested, from time to time, by the funds’ respective boards or chief compliance officers. |
6. | Summaries of the proxy voting policies for AGIFM and each sub-adviser of a fund advised by AGIFM and how each fund voted proxies relating to portfolio securities held during the most recent twelve-month period ended June 30 will be available (i) without charge, upon request, by calling 1-800-988-8380; (ii) on the Allianz Global Investors Distributors Web site at www.allianzinvestors.com; and (iii) on the Securities and Exchange Commission’s (“SEC’s”) website at http://www.sec.gov. In addition, to the extent required by applicable law or determined by the relevant fund’s board of directors/trustees or chief compliance officer, summaries of the detailed proxy voting policies of AGIFM, each sub-adviser and each other entity with proxy voting authority for a fund advised by AGIFM shall also be included in the SAI for the relevant fund. |
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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 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. |
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Item 16. Exhibits | ||||||
(1) | Fifth Amended and Restated Agreement Declaration of Trust, dated as of July 16, 2007 (37). | |||||
(2) | Fifth Amended and Restated Bylaws, dated March 9, 2006 (29). | |||||
(3) | Voting trust agreements affecting more than 5 percent of any class of equity securities — None. | |||||
(4) | Agreement and Plan of Reorganization — Filed as Appendix A to Part A hereof. | |||||
(5) (a) | Article III (Shares) and Article V (Shareholders’ Voting Powers and Meetings) of the Second Amended and Restated Agreement and Declaration of Trust (2). | |||||
(b) | Article 9 (Issuance of Shares Certificates) and Article 11 (Shareholders’ Voting Powers and Meetings) of the Amended and Restated Bylaws (13). | |||||
(6) (a) | (i | ) | Form of Amended and Restated Investment Advisory Agreement dated as of May 5, 2000 (5). | |||
(ii) | Addendum to Investment Advisory Agreement to add the NFJ International Value Fund (26). | |||||
(iii) | Form of Addendum to Investment Advisory Agreement to decrease the advisory fee rate with respect to PIMCO Growth & Income Fund (f/k/a PIMCO Mid-Cap Equity Fund) and to add the PIMCO Healthcare Innovation, PIMCO Internet Innovation, PIMCO Small-Cap Technology, PIMCO Telecom Innovation, PIMCO Electronics Innovation, PIMCO/Allianz New Asia, PIMCO/Allianz Europe Growth, PIMCO/Allianz Select World and PIMCO/Allianz Emerging Markets Funds (5) | |||||
(iv) | Form of Addendum to Investment Advisory Agreement to add the Select Value Fund (9). | |||||
(v | ) | Form of Addendum to Investment Advisory Agreement to add the PIMCO RCM International Growth Equity Fund, PIMCO RCM Emerging Markets Fund, PIMCO RCM Europe Fund, PIMCO RCM Global Small-Cap Fund, PIMCO RCM Global Technology Fund, PIMCO RCM Global Healthcare Fund, PIMCO RCM Large-Cap Growth Fund, PIMCO RCM Tax-Managed Growth Fund, PIMCO RCM Mid-Cap Fund, PIMCO RCM Small-Cap Fund, PIMCO RCM Biotechnology Fund, PIMCO RCM Balanced Fund and PIMCO RCM Global Equity Fund (10). |
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(vi) | Form of addendum to Investment Advisory Agreement to add the PIMCO NACM Core Equity Fund, PIMCO NACM Global Fund, PIMCO NACM Growth Fund, PIMCO NACM International Fund, PIMCO NACM Flex-Cap Value Fund, PIMCO NACM Pacific Rim Fund and PIMCO NACM Value Fund (11). | |||||
(vii) | Form of Novation of Amended and Restated Investment Advisory Agreement, dated September 30, 2002, naming PIMCO Funds Advisors LLC as Adviser to the Trust (13). | |||||
(viii) | Form of Addendum to Investment Advisory Agreement to add the Multi-Discipline Portfolio (18). | |||||
(ix) | Form of Addendum to Investment Advisory Agreement to add the PIMCO RCM Europe Fund (20). | |||||
(x | ) | Form of Addendum to Investment Advisory Agreement to add the PIMCO RCM Global Resources Fund and PIMCO RCM Global Financial Services Fund (23). | ||||
(xi) | Form of Addendum to Investment Advisory Agreement to add the PIMCO NACM International Core Fund (22). | |||||
(xii) | Addendum to Investment Advisory Agreement to add the Allianz OCC Core Equity Fund (26). | |||||
(xiii) | Form of Addendum to Investment Advisory Agreement to add the Allianz RCM Small-Cap Growth Fund (28). | |||||
(xiv) | Form of Addendum to Investment Advisory Agreement to add the Allianz RCM Strategic Growth Fund (29). | |||||
Form of Addendum to Investment Advisory Agreement to add the Allianz NACM Emerging Markets Opportunities, Allianz NFJ Mid-Cap Value and Allianz OCC | ||||||
(xv) | International Equity Funds (30). | |||||
(xvi) | Form of Addendum to Investment Advisory Agreement to add the Allianz NACM Income & Growth Fund (34). | |||||
(xvii) | Form of Addendum to Investment Advisory Agreement to add the Allianz NACM Mid-Cap Growth Fund (36). | |||||
(xviii) | Form of Addendum to Investment Advisory Agreement to add the Allianz OCC Small-Cap Value Fund (38). |
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(xix) | Addendum to Investment Advisory Agreement to reflect fee reduction for the Allianz RCM Global Small-Cap Fund dated October 4, 2011 (47). | |||||
(b) | (i | ) | Form of Portfolio Management Agreement with NFJ Investment Group (5). | |||
(ii) | Form of Portfolio Management Agreement with Cadence Capital Management (5). | |||||
(iii) | Portfolio Management Agreement with Parametric Portfolio Associates (9). | |||||
(iv) | Form of Portfolio Management Agreement with PIMCO/Allianz Investment Advisors LLC (6). | |||||
(v | ) | Form of Portfolio Management Agreement with Dresdner RCM Global Investors LLC (10). | ||||
(vi) | Form of Portfolio Management Agreement with Nicholas-Applegate Capital Management (11). | |||||
(vii) | Form of Portfolio Management Agreement with Pacific Investment Management Company LLC (18). | |||||
(viii) | Portfolio Management Agreement with PIMCO Equity Advisors LLC (24). | |||||
(ix) | Portfolio Management Agreement with Oppenheimer Capital LLC (26). | |||||
(x | ) | Form of Novation of Portfolio Management Agreement with NFJ Investment Group (13). | ||||
(xi) | Form of Novation of Portfolio Management Agreement with Cadence Capital Management (13). | |||||
(xii) | Form of Novation of Portfolio Management Agreement with Parametric Portfolio Associates (13). | |||||
(xiii) | Form of Novation of Portfolio Management Agreement with PIMCO Equity Advisors (13). | |||||
(xiv) | Form of Novation of Portfolio Management Agreement with Dresdner RCM Global Investors, LLC (13). | |||||
(xv) | Form of Novation of Portfolio Management Agreement with Nicholas-Applegate Capital Management (13). | |||||
(xvi) | Form of Addendum to Portfolio Management Agreement with PIMCO Equity Advisors (18). | |||||
(xvii) | Form of Addendum to Portfolio Management Agreement with NFJ Investment Group (18). | |||||
(xviii) | Form of Addendum to Portfolio Management Agreement with Dresdner RCM Global Investors, LLC (18). | |||||
(xix) | Form of Addendum to Portfolio Management Agreement with Nicholas Applegate Capital Management (18). |
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(xx) | Form of Portfolio Management Agreement with Parametric Portfolio Associates (18). | |||||
(xxi) | Form of Addendum to Portfolio Management Agreement with Dresdner RCM Global Investors, LLC (20). | |||||
(xxii) | Form of Addendum to Portfolio Management Agreement with Dresdner RCM Global Investors, LLC (21). | |||||
(xxiii) | Form of Addendum to Portfolio Management Agreement with Nicholas-Applegate Capital Management (22). | |||||
(xxiv) | Addendum to Portfolio Management Agreement with NFJ Investment Group to add the NFJ International Value Fund (26). | |||||
(xxv) | Form of Addendum to Portfolio Management Agreement with RCM Capital Management LLC to add the Allianz RCM Small-Cap Growth Fund (28). | |||||
(xxvi) | Form of Addendum to Portfolio Management Agreement with RCM Capital Management LLC to add the Allianz RCM Strategic Growth Fund (29). | |||||
(xxvii) | Form of Addendum to Portfolio Management Agreement with Oppenheimer Capital LLC to add the Allianz OCC International Equity Fund (30). | |||||
(xxviii) | Form of Addendum to Portfolio Management Agreement with Nicholas-Applegate Capital Management LLC to add the Allianz NACM Emerging Markets Opportunities Fund (31). | |||||
(xxix) | Form of Addendum to Portfolio Management Agreement with NFJ Investment Group to add the Allianz NFJ Mid-Cap Value Fund (32). | |||||
(xxx) | Form of Novation of Portfolio Management Agreement between Allianz Global Investors Fund Management LLC, PEA Capital LLC and Oppenheimer Capital LLC (33). | |||||
(xxxi) | Form of Addendum to Portfolio Management Agreement with Nicholas-Applegate Capital Management LLC to add the Allianz NACM Income & Growth Fund (34). | |||||
(xxxii) | Form of Addendum to Portfolio Management Agreement with Nicholas-Applegate Capital Management LLC to add the Allianz NACM Mid-Cap Growth Fund (36). | |||||
(xxxiv) | Addendum to Portfolio Management Agreement with NFJ Investment Group to add the Allianz Global Investors Value Fund (40). |
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(xxxv) | Addendum to Portfolio Management Agreement with NFJ Investment Group to add the Allianz NFJ Renaissance Fund (42). | |||||
(xxxvi) | Novation of Portfolio Management Agreement among Allianz Global Investors Fund Management LLC, Nicholas-Applegate Capital Management LLC and Allianz Global Investors Capital LLC dated August 25, 2010 (44). | |||||
(xxxvii) | Novation of Portfolio Management Agreement among Allianz Global Investors Fund Management LLC, Oppenheimer Capital LLC and Allianz Global Investors Capital LLC dated August 25, 2010 (44). | |||||
(xxxviii) | Addendum to Portfolio Management Agreement with RCM Capital Management LLC to reflect fee reduction relating to the Allianz RCM Global Small-Cap Fund dated October 4, 2011 (47). | |||||
(7) (a) | Form of Amended and Restated Distribution Contract (14). | |||||
(b) | Supplement to Distribution Contract to add the PIMCO Large-Cap Value, PIMCO International Value, PIMCO Balanced Value, PIMCO Core Equity, PIMCO Small-Cap Value, PIMCO Disciplined Value and PIMCO Mid-Cap Value Funds (16). | |||||
(c) | Form of Supplement to Distribution Contract to add PIMCO Multi-Discipline Portfolio (18). | |||||
(d) | Form of Supplement to Distribution Contract to add PIMCO RCM Europe Fund (20). | |||||
(e) | Supplement to Distribution Contract to add PIMCO RCM Global Resources Fund and PIMCO RCM Global Financial Services Fund (23). | |||||
(f) | Form of Supplement to Distribution Contract to add PIMCO NACM International Core Fund (22). | |||||
(g) | Supplement to Distribution Contract to add OCC Core Equity and NFJ International Value Funds (26). | |||||
(h) | Form of Dealer Agreement (7). | |||||
(i) | Form of Supplement to Distribution Contract to add the Allianz RCM Small-Cap Growth Fund (28). | |||||
(j) | Form of Supplement to Distribution Contract to add the Allianz RCM Strategic Growth Fund (29). |
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(k) | Form of Supplement to Distribution Contract to add the Allianz NACM Emerging Markets Opportunities, Allianz NFJ Mid- Cap Value and Allianz OCC International Equity Funds (30). | |||||
(l) | Form of Supplement to the Distribution Contract to add the Allianz NACM Income & Growth Fund (34). | |||||
(m) | Form of Supplement to Distribution Contract to add the Allianz NACM Mid-Cap Growth Fund (36). | |||||
(n) | Form of Supplement to Distribution Contract to add the Allianz OCC Small-Cap Value Fund (38). | |||||
(o) | Form of Amended and Restated Distribution Contract (39). | |||||
(p) | Amended and Restated Distribution Contract dated July 1, 2011 (47). | |||||
(8) | Bonus, profit-sharing or pension plans — None. | |||||
(9) (a) | Form of Custody and Investment Accounting Agreement dated January 1, 2000 with State Street Bank & Trust Company (5). | |||||
(b) | Form of Amendment to Custody and Investment Accounting Agreement with State Street Bank & Trust Company (9). | |||||
(10) (a) | Distribution and Servicing Plan (Class A) (3). | |||||
(b) | Distribution and Servicing Plan (Class B) (3). | |||||
(c) | Distribution and Servicing Plan (Class C) (3). | |||||
(d) | Form of Distribution Plan for Administrative Class Shares (3). | |||||
(e) | Amended and Restated Distribution Plan for Administrative Class Shares (25). | |||||
(f) | Distribution Plan for Class D Shares (47). | |||||
(g) | Distribution and Servicing Plan for Class R shares (15). | |||||
(h) | Twelfth Amended and Restated Multi-Class Plan dated September 27, 2011 (47). | |||||
(11) | Opinion and Consent of Counsel as to legality of securities being registered — Filed herewith. | |||||
(12) | Opinion and Consent of Counsel as to tax matters — To be filed by post-effective amendment. | |||||
(13) (a) | (i | ) | Form of Amended and Restated Administration Agreement between the Trust and PIMCO Advisors L.P. (5). | |||
(1) Revised Schedule to Administrative Agreement (Exhibit A) as of December 6, 2001 (10). |
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(2) | Revised Schedule to Administrative Agreement (Exhibit A) as of June, 2002 (11). | ||
(3) | Revised Schedule to Administration Agreement (Exhibit A) as of December , 2011 (48). | ||
(ii) | Form of Administration Agreement between the Trust and PIMCO Funds Advisors LLC (13). | ||
(1) | Form of Revised Schedule to Administrative Agreement (Exhibit A) as of December, 2002 (14). | ||
(2) | Form of Revised Schedule to Administrative Agreement (Exhibit A) as of December, 2003 (19). | ||
(iii) | Amended and Restated Administration Agreement between the Trust and PIMCO Advisors Fund Management LLC dated March 7, 2003 (17). | ||
(1) | Updated Schedule to Administration Agreement (18). | ||
(2) | Form of Updated Schedule to Administration Agreement (20). | ||
(3) | Form of Updated Schedule to Administration Agreement (22). | ||
(4) | Updated Schedule to Administration Agreement (23). | ||
(iv) | Amended and Restated Administration Agreement (26). | ||
(1) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) as of January 2006 (28). | ||
(2) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) as of April 1, 2006 (29). | ||
(3) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) (30). | ||
(4) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) as of February 28, 2007 (35). | ||
(5) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) as of June 27, 2007 (36). | ||
(6) | Form of Revised Schedule to Amended and Restated Administration Agreement (Exhibit A) as of October 23, 2007 (38). | ||
(v) | Form of Amended and Restated Administration Agreement between the Trust and Allianz Global Investors Fund Management LLC (39). |
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(1 | ) | Updated Schedule to Administration Agreement, dated September 17, 2009 (43). | |||
(2 | ) | Updated Schedule to Administration Agreement, dated October 29, 2009 (43). | |||
(vi) | Amended and Restated Administration Agreement between the Trust and Allianz Global Investors Fund Management LLC dated July 1, 2011 (47). | ||||
(b) | Form of Agency Agreement and Addenda (1). | ||||
(c) | Form of Addendum to Agency Agreement (3). | ||||
(d) | Form of Assignment of Agency Agreement (3). | ||||
(e) | Form of Addendum to Agency Agreement (4). | ||||
(f) (i) | Form of Transfer Agency and Services Agreement with National Financial Data Services (8). | ||||
(ii) | Form of Transfer Agency and Services Agreement with First Data Investor Services Group, Inc. dated November 9, 1998, as amended July 20, 1999 (5). | ||||
(1 | ) | Amendment Number Two to the Transfer Agency and Series Agreement with First Data Investor Services Group, Inc. (9). | |||
(iii) | Form of Transfer Agency and Services Agreement with State Street Bank and Trust Company, including Form of Novation and Amendment of Transfer Agency Agreement (10). | ||||
(iv) | Form of Revised Schedule to Transfer Agency and Services Agreement with Boston Financial Data Services, Inc. (39). | ||||
(v) | Transfer Agency and Service Agreement with Boston Financial Data Services, Inc. dated October 3, 2008 (41). | ||||
(g) | Form of Service Plan for Institutional Services Shares (4). | ||||
(h) | Form of Administrative Services Plan for Administrative Class Shares (3). | ||||
(i) | Amended and Restated Administrative Services Plan for Administrative Class Shares (25). | ||||
(j) | Form of Securities Lending Authorization Agreement with State Street Bank and Trust Company (12). | ||||
(k) | Securities Lending Agency Agreement with Dresdner Bank AG (26). | ||||
(l) | Form of Sub-Administration Agreement between Allianz Global Investors Fund Management LLC and State Street Bank & Trust Company (27). | ||||
(m) (i) | (1 | ) | Expense Waiver Agreement dated December 9, 2010 with Allianz Global Investors Fund Management LLC (45). |
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(2 | ) | Form of Side Letter dated February 15, 2011 relating to the Portfolio Management Agreement with Allianz Global Investors Capital LLC dated July 19, 2002 (45). | ||||
(3 | ) | Form of Side Letter dated February 15, 2011 relating to the Portfolio Management Agreement with RCM Capital Management LLC dated February 1, 2002 (45). | ||||
(ii) | (1 | ) | Expense Waiver Agreement dated October 4, 2011 with Allianz Global Investors Fund Management LLC (47). | |||
(2 | ) | Side Letter dated October 4, 2011 relating to the Portfolio Management Agreement with Allianz Global Investors Capital LLC dated July 19, 2002 (47). | ||||
(3 | ) | Side Letter dated October 4, 2011 relating to the Portfolio Management Agreement with NFJ Investment Group LLC dated May 5, 2000 (47). | ||||
(14) | Consent of PricewaterhouseCoopers LLP — Filed herewith. | |||||
(15) | Financial Statements omitted pursuant to Item 14(1) — None. | |||||
(16) | Powers of Attorney — Filed herewith. | |||||
(17) (a) | Form of Proxy — Filed herewith. | |||||
(b) | Prospectus dated November 1, 2011, as supplemented, for Class A, Class B, Class C and Class R shares of the Trust — Filed herewith. | |||||
(c) | Prospectus dated November 1, 2011, as supplemented, for Class D, Class P, Institutional and Administrative Class shares of the Trust — Filed herewith. | |||||
(d) | Statement of Additional Information of the Trust, dated November 1, 2011, as supplemented — Filed herewith as part of Part B. | |||||
(e) | Statement of Additional Information of the Trust dated [ ], 2012 — Filed herewith as Part B. | |||||
(f) | The Registrant’s current Annual Report for Class A, Class B, Class C, Class D, Class R, Class P, Institutional and Administrative Class shares of the Trust, dated June 30, 2011 — Filed herewith. |
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1. | Incorporated by reference from Post-Effective Amendment No. 22 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on July 1, 1996. | |
2. | Incorporated by reference from Definitive Proxy Statement of the Trust (File No. 811-06161), as filed on November 7, 1996. | |
3. | Incorporated by reference from Post-Effective Amendment No. 25 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on January 13, 1997. | |
4. | Incorporated by reference from Post-Effective Amendment No. 28 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 31, 1997. | |
5. | Incorporated by reference from Post-Effective Amendment No. 51 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 17, 2000. | |
6. | Incorporated by reference from Post-Effective Amendment No. 53 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 31, 2000. | |
7. | Incorporated by reference from the Registration Statement on Form N-14 of the Trust (File No. 333-54506), as filed on January 29, 2001. | |
8. | Incorporated by reference from Post-Effective Amendment No. 55 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on April 6, 2001. | |
9. | Incorporated by reference from Post-Effective Amendment No. 59 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 31, 2001. | |
10. | Incorporated by reference from Post-Effective Amendment No. 66 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on December 28, 2001. | |
11. | Incorporated by reference from Post-Effective Amendment No. 71 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on July 19, 2002. | |
12. | Incorporated by reference from Post-Effective Amendment No. 72 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 29, 2002. | |
13. | Incorporated by reference from Post-Effective Amendment No. 74 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 31, 2002. | |
14. | Incorporated by reference from Post-Effective Amendment No. 81 under the Investment Company Act to the Trust’s Registration Statement on Form N-1A (File No. 811-6161), as filed on December 16, 2002. | |
15. | Incorporated by reference from Post-Effective Amendment No. 76 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on December 30, 2002. | |
16. | Incorporated by reference from Post-Effective Amendment No. 79 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on April 1, 2003. | |
17. | Incorporated by reference from the Registration Statement on Form N-14 of the Trust (File No. 333-106248), as filed on June 18, 2003. | |
18. | Incorporated by reference from Post-Effective Amendment No. 83 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 28, 2003. | |
19. | Incorporated by reference from Post-Effective Amendment No. 85 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on December 15, 2003. |
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20. | Incorporated by reference from Post-Effective Amendment No. 86 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on January 16, 2004. | |
21. | Incorporated by reference from Post-Effective Amendment No. 88 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on April 16, 2004. | |
22. | Incorporated by reference from Post-Effective Amendment No. 89 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on June 16, 2004. | |
23. | Incorporated by reference from Post-Effective Amendment No. 92 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on September 1, 2004. | |
24. | Incorporated by reference from Post-Effective Amendment No. 93 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on November 1, 2004. | |
25. | Incorporated by reference from Post-Effective Amendment No. 94 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on January 14, 2005. | |
26. | Incorporated by reference from Post-Effective Amendment No. 100 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on April 1, 2005. | |
27. | Incorporated by reference from Post-Effective Amendment No. 105 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on November 1, 2005. | |
28. | Incorporated by reference from Post-Effective Amendment No. 108 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on December 30, 2005. | |
29. | Incorporated by reference from Post-Effective Amendment No. 114 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on March 31, 2006. | |
30. | Incorporated by reference from Post-Effective Amendment No. 120 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on June 30, 2006. | |
31. | Incorporated by reference from Post-Effective Amendment No. 121 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 7, 2006. | |
32. | Incorporated by reference from Post-Effective Amendment No. 122 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 21, 2006. | |
33. | Incorporated by reference from Post-Effective Amendment No. 124 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on November 1, 2006. | |
34. | Incorporated by reference from Post-Effective Amendment No. 125 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on December 13, 2006. | |
35. | Incorporated by reference from Post-Effective Amendment No. 126 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on February 26, 2007. | |
36. | Incorporated by reference from Post-Effective Amendment No. 128 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on June 27, 2007. | |
37. | Incorporated by reference from Post-Effective Amendment No. 129 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 9, 2007. | |
38. | Incorporated by reference from Post-Effective Amendment No. 131 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 23, 2007. |
11
39. | Incorporated by reference from Post-Effective Amendment No. 134 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on July 1, 2008. | |
40. | Incorporated by reference from Post-Effective Amendment No. 135 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 29, 2008. | |
41. | Incorporated by reference from Post-Effective Amendment No. 136 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 31, 2008. | |
42. | Incorporated by reference from Post-Effective Amendment No. 137 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on August 28, 2009. | |
43. | Incorporated by reference from Post-Effective Amendment No. 138 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 30, 2009. | |
44. | Incorporated by reference from Post-Effective Amendment No. 140 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 29, 2010. | |
45. | Incorporated by reference from Post-Effective Amendment No. 143 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on February 18, 2011. | |
46. | Incorporated by reference from the Trust’s Annual Report on Form N-CSR (File No. 811-06161), as filed on August 26, 2011 (Accession No. 0001193125-11-234190). | |
47. | Incorporated by reference from Post-Effective Amendment No. 145 to the Trust’s Registration Statement on Form N-1A (File No. 33-36528), as filed on October 31, 2011. | |
48. | Incorporated by reference from Post-Effective Amendment No. 148 to the Trust’s Registration Statement on Form N-1A, as filed on December 22, 2011. |
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ALLIANZ FUNDS | ||||
By: | /s/ Brian S. Shlissel | |||
Brian S. Shlissel | ||||
President | ||||
Name | Capacity | Date | ||
/s/ Brian S. Shlissel | President | January 18, 2012 | ||
/s/ Lawrence G. Altadonna* | Treasurer and Principal Financial and Accounting Officer | January 18, 2012 | ||
/s/ Maryann Bruce* | Trustee | January 18, 2012 | ||
/s/ F. Ford Drummond* | Trustee | January 18, 2012 | ||
/s/ Udo Frank* | Trustee | January 18, 2012 | ||
/s/ C. Kim Goodwin* | Trustee | January 18, 2012 | ||
/s/ James S. MacLeod* | Trustee | January 18, 2012 | ||
/s/ John C. Maney* | Trustee | January 18, 2012 | ||
/s/ Davey S. Scoon* | Trustee | January 18, 2012 | ||
/s/ Edward E. Sheridan* | Trustee | January 18, 2012 |
Name | Capacity | Date | ||
/s/ W. Bryant Stooks* | Trustee | January 18, 2012 | ||
/s/ Gerald M. Thorne* | Trustee | January 18, 2012 | ||
/s/ James W. Zug* | Trustee | January 18, 2012 |
*By: | /s/ Brian S. Shlissel | ||
Brian S. Shlissel | |||
Attorney-In-Fact Date: January 18, 2012 |
Exhibit No. | Exhibit Name | |
(11) | Opinion and Consent of Counsel | |
(14) | Consent of PricewaterhouseCoopers LLP | |
(16) | Powers of Attorney | |
(17)(a) | Form of Proxy Card | |
(17)(b) | Prospectus dated November 1, 2011, as supplemented, for Class A, Class B, Class C and Class R shares of the Trust | |
(17)(c) | Prospectus dated November 1, 2011, as supplemented, for Class D, Class P, Institutional and Administrative Class shares of the Trust | |
(17)(f) | Annual Report for Class A, Class B, Class C, Class D, Class R, Class P, Institutional and Administrative Class shares of the Trust, dated June 30, 2011 |