News and research before you hear about it on CNBC and others. Claim your one week free trial for StreetInsider Premium here.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL DECLARATION OF BENEFICIAL OWNER OF THE SECURITIES
Filed under Section 16(a) of the Securities Exchange Act of 1934
1. Name and address of reporting person
2. Date of the event requiring a report (month/day/year)
3. Issuer name
PIMCO BUSINESS OPPORTUNITIES AND INCOME FUND
4. Relationship between the reporting person(s) and the issuer
(Check all that apply)
|5. In case of modification, date of filing of the original (month/day/year)|
6. Individual or joint/group filing (check the applicable row)
|Table I – Beneficial Ownership Non-Derivative Securities|
|1. Collateral Title (Instr. 4)||2. Amount of beneficial ownership (Instr. 4)||3. Form of ownership: direct (D) or indirect (I) (Instr. 5)||4. Nature of Indirect Beneficial Ownership (Instr. 5)|
Table II – Derivative Beneficial Ownership Securities
(for example, puts, calls, warrants, options, convertible securities)
|1. Derived Title Title (Instr. 4)||2. Exercise date and expiry date (month/day/year)||3. Title and amount of the securities underlying the derivative securities (Instr. 4)||4. Conversion or exercise price of the derivative security||5. Form of ownership: direct (D) or indirect (I) (Instr. 5)||6. Nature of Indirect Beneficial Ownership (Instr. 5)|
|Exercise date||Expiration date||Title||Amount or number of shares|
|Explanation of answers:|
|Pacific Investment Company LLC (“PIMCO”) is the Issuer’s investment advisor. The reporting person is a member of the PIMCO executive committee. List of supporting documents: Exhibit 24 – Power of Attorney.|
|/s/ Kevin Van Gorer, common law attorney for Julie Ann Meggers||02/07/2022|
|** Signature of the declarant||Dated|
|Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.|
|* If the form is completed by more than one declarant,
Section 4 (b)(v).
|** Intentional inaccuracies or omissions of facts are federal criminal offenses
18 USC 1001 and 15 USC 78ff(a).
|Note: Submit three copies of this form, one of which must be manually signed. If space is insufficient,
Instruction 6 for the procedure.
|Persons responding to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.|
SECTION 16 POWER OF ATTORNEY Julie Ann Meggers The undersigned hereby constitutes and appoints the individuals named on Schedule A attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, the undersigned's true and lawful attorney in fact to: 1. as may be required, prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the United States Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC; 2. execute for and on behalf of the undersigned, in the undersigned's capacity as a Section 16 reporting person of the applicable registered investment companies (and any successor companies) listed on Schedule A attached hereto, as amended from time to time, and any other registered investment company affiliated with or established by Pacific Investment Management Company LLC ("PIMCO"), for which the undersigned becomes a Section 16 reporting person (each, a "Fund"), Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder; 3. do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and 4. take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney in fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney in fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney in fact may approve in such attorney in fact's discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys in fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is any Fund assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by any Fund, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys in fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 31st day of January, 2022. /s/ Julie Ann Meggers Julie Ann Meggers SCHEDULE A FUND NAME AND SYMBOL* 1. PCM FUND, INC. PCM 2. PIMCO CALIFORNIA MUNICIPAL INCOME FUND PCQ 3. PIMCO CALIFORNIA MUNICIPAL INCOME FUND II PCK 4. PIMCO CALIFORNIA MUNICIPAL INCOME FUND III PZC 5. PIMCO CORPORATE & INCOME STRATEGY FUND PCN 6. PIMCO CORPORATE & INCOME OPPORTUNITY FUND PTY 7. PIMCO DYNAMIC INCOME FUND PDI 8. PIMCO INCOME STRATEGY FUND PFL 9. PIMCO INCOME STRATEGY FUND II PFN 10. PIMCO GLOBAL STOCKSPLUS & INCOME FUND PGP 11. PIMCO HIGH INCOME FUND PHK 12. PIMCO MUNICIPAL INCOME FUND PMF 13. PIMCO MUNICIPAL INCOME FUND II PML 14. PIMCO MUNICIPAL INCOME FUND III PMX 15. PIMCO NEW YORK MUNICIPAL INCOME FUND PNF 16. PIMCO NEW YORK MUNICIPAL INCOME FUND II PNI 17. PIMCO NEW YORK MUNICIPAL INCOME FUND III PYN 18. PIMCO STRATEGIC INCOME FUND, INC. RCS 19. PIMCO FLEXIBLE CREDIT INCOME FUND PFLEX 20. PIMCO FLEXIBLE MUNICIPAL INCOME FUND PMFLX 21. PIMCO ENERGY & TACTICAL CREDIT OPPORTUNITIES FUND NRGX 22. PIMCO DYNAMIC INCOME OPPORTUNITIES FUND PDO 23. PIMCO FLEXIBLE EMERGING MARKETS INCOME FUND EMFLX 24. PIMCO ACCESS INCOME FUND PAXS *While one ticker symbol per Fund is listed, this Power of Attorney covers all ticker symbols of each Fund. INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT, WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION 1. Keisha L. Audain-Pressley, Chief Compliance Officer of the Funds, Executive Vice President and Deputy Chief Compliance Officer of PIMCO 2. Katie DeFriese, Senior Vice President, Senior Compliance Officer of PIMCO 3. Kevin Van Gorder, Vice President, Senior Compliance Officer of PIMCO 4. Ryan Leshaw, Chief Legal of the Funds, Executive Vice President, Senior Counsel of PIMCO 5. Wu-Kwan Kit, Vice President, Senior Counsel and Secretary of the Funds, Senior Vice President, Counsel of PIMCO 6. Brian Woo, Executive Vice President, Deputy Chief Compliance Officer of PIMCO 7. Rebecca Sheinberg, Executive Vice President, Chief Compliance Officer, Alternatives