04/29/2022 | Press release | Distributed by Public on 04/29/2022 15:27
Funds and Ticker Symbols
|
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
MFEM
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
MFDX
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
MFUS
|
PIMCO RAFI ESG U.S. ETF
|
RAFE
|
The Trust
|
1
|
Exchange listing and trading
|
1
|
Investment Objectives And Policies
|
2
|
Equity Securities
|
2
|
Convertible Securities
|
2
|
Preferred Securities
|
4
|
Depositary Receipts
|
4
|
Warrants to Purchase Securities
|
4
|
Real Estate Assets and Related Derivatives
|
5
|
Foreign Securities
|
5
|
Foreign Currency Transactions
|
15
|
Foreign Currency Exchange-Related Securities
|
17
|
Borrowing
|
18
|
Derivative Instruments
|
19
|
Bank Capital Securities
|
31
|
Trust Preferred Securities
|
31
|
Master Limited Partnerships ("MLPs")
|
32
|
Exchange-Traded Notes
|
32
|
Illiquid Investments
|
33
|
Repurchase Agreements
|
33
|
Loans of Portfolio Securities
|
33
|
Investments in Business Development Companies ("BDCs")
|
33
|
Investment Companies
|
34
|
Government Intervention in Financial Markets
|
34
|
Inflation and Deflation
|
35
|
Regulatory Risk
|
35
|
CSDR Related Risk
|
37
|
Liquidation of Funds
|
37
|
Participation in Litigation or Arbitration Proceedings
|
37
|
Fund Operations
|
38
|
Investment Restrictions
|
39
|
Fundamental Investment Restrictions
|
39
|
Non-Fundamental Investment Restrictions
|
40
|
Underlying Indexes
|
43
|
Management Of The Trust
|
48
|
Trustees and Officers
|
48
|
Leadership Structure and Risk Oversight Function
|
48
|
Qualifications of the Trustees
|
49
|
Trustees of the Trust
|
49
|
Executive Officers
|
52
|
Securities Ownership
|
54
|
Trustee Ownership of the Investment Manager and Principal Underwriter, and Their Control Persons
|
55
|
Standing Committees
|
56
|
Trustee Retirement Policy
|
57
|
Compensation Table
|
57
|
Investment Manager and Sub-Adviser
|
58
|
Investment Management Agreement and Sub-Advisory Agreement
|
59
|
Management Fee Rates
|
60
|
Management Fee Payments
|
60
|
Management Fees Waived
|
60
|
PIMCO Proxy Voting Policies and Procedures
|
61
|
Portfolio MANAGER
|
62
|
Other Accounts Managed
|
62
|
Conflicts of Interest
|
62
|
Portfolio Manager Compensation
|
66
|
Securities Ownership
|
67
|
Creations and Redemptions
|
67
|
Distributor
|
68
|
Continuous Offering
|
69
|
Fund Deposit
|
69
|
Procedures for Creating Creation Units
|
70
|
Placement of Creation Orders Using Clearing Process
|
71
|
Placement of Creation Orders Outside Clearing Process-Domestic Funds
|
71
|
Placement of Creation Orders Outside Clearing Process-Foreign Funds
|
72
|
Acceptance of Creation Orders
|
72
|
Creation Transaction Fee
|
73
|
Redemption of Creation Units
|
73
|
Redemption Transaction Fee
|
74
|
Placement of Redemption Orders Using Clearing Process
|
75
|
Placement of Redemption Orders Outside Clearing Process-Domestic Funds
|
76
|
Placement of Redemption Orders Outside Clearing Process-Foreign Funds
|
77
|
Distribution and Servicing (12b-1) Plan
|
77
|
Additional Information About the Shares
|
78
|
Request for Multiple Copies of Shareholder Documents
|
80
|
Portfolio Transactions And Brokerage
|
81
|
Investment Decisions and Portfolio Transactions
|
81
|
Brokerage and Research Services
|
81
|
Brokerage Commissions Paid
|
81
|
Holdings of Securities of the Trust's Regular Brokers and Dealers
|
82
|
Portfolio Trading by Authorized Participants
|
82
|
Portfolio Turnover
|
83
|
Disclosure of Portfolio Holdings
|
83
|
Large Trade Notifications
|
85
|
Net Asset Value
|
85
|
Taxation
|
86
|
Distributions
|
87
|
Sales of Shares
|
87
|
Potential Pass-Through of Tax Credits
|
88
|
Backup Withholding
|
88
|
Options, Futures, Forward Contracts, and Swap Agreements
|
88
|
Passive Foreign Investment Companies
|
89
|
Foreign Currency Transactions
|
90
|
Foreign Taxation
|
90
|
Original Issue Discount and Market Discount
|
90
|
Investments in REITs and REMICs
|
91
|
Uncertain Tax Consequences
|
92
|
Constructive Sales
|
92
|
IRAs and Other Retirement Plans
|
92
|
Non-U.S. Shareholders
|
92
|
Other Taxation
|
93
|
Other Information
|
94
|
Capitalization
|
94
|
Voting Rights
|
94
|
Control Persons and Principal Holders of Securities
|
95
|
Code of Ethics
|
96
|
Securities Depository for Shares of the Funds
|
96
|
Disclaimers
|
97
|
Custodian and Transfer Agent
|
97
|
Securities Lending Agent
|
97
|
Independent Registered Public Accounting Firm
|
98
|
Legal Counsel
|
98
|
Registration Statement
|
98
|
Financial Statements
|
98
|
Underlying Index
|
Factor Portfolios
|
RAFI Dynamic Multi-Factor Emerging Markets Index
|
Value, low volatility, quality, momentum
|
RAFI Dynamic Multi-Factor Developed Ex-U.S. Index
|
Value, low volatility, quality, momentum, size
|
RAFI Dynamic Multi-Factor U.S. Index
|
Value, low volatility, quality, momentum, size
|
Name, Year of Birth
and Position
Held with Trust*
|
Term of Office
and Length of
Time Served†
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Funds in
Fund
Complex
Overseen
by Trustee
|
Other Public Company
and Investment Company
Directorships Held by
Trustee During the
Past 5 Years
|
Interested Trustees1
|
||||
Peter G. Strelow (1970)
Chairman of the Board
and Trustee
|
02/2019 to present
|
Managing Director
and Co-Chief
Operating Officer,
PIMCO. Senior Vice
President of the Trust,
PIMCO Equity Series
VIT, PIMCO Funds,
PIMCO Variable
Insurance Trust and
PIMCO ETF Trust,
PIMCO Managed
Accounts Trust,
PIMCO-Sponsored
Interval Funds and
PIMCO-Sponsored
Closed-End Funds.
Formerly, Chief
Administrative
Officer, PIMCO.
|
149
|
Chairman and Trustee,
PIMCO Equity Series
VIT, PIMCO Funds,
PIMCO Variable
Insurance Trust,
PIMCO ETF Trust.
|
Name, Year of Birth
and Position
Held with Trust*
|
Term of Office
and Length of
Time Served†
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Funds in
Fund
Complex
Overseen
by Trustee
|
Other Public Company
and Investment Company
Directorships Held by
Trustee During the
Past 5 Years
|
Kimberley G. Stafford
(1978)
Trustee
|
02/2021 to present
|
Managing Director,
Global Head of
Product Strategy,
PIMCO; and Member
of Executive
Committee, PIMCO.
Formerly, Head of
Asia-Pacific, Global
Head of Consultant
Relations and Head of
US Institutional and
Alternatives Sales,
PIMCO.
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance
Trust, PIMCO ETF
Trust.
|
Independent Trustees
|
||||
George E. Borst (1948)
Trustee
|
05/2019 to present
|
Executive Advisor,
McKinsey &
Company; Formerly,
Executive Advisor,
Toyota Financial
Services; and CEO,
Toyota Financial
Services.
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust;
Director, MarineMax
Inc.
|
Jennifer Holden Dunbar
(1963)
Trustee
|
02/2016 to present
|
Managing Director,
Dunbar Partners, LLC
(business consulting
and investments).
Formerly, Partner,
Leonard Green &
Partners, L.P.
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust;
Director, PS Business
Parks; Director, Big 5
Sporting Goods
Corporation.
|
Kym M. Hubbard (1957)
Trustee
|
05/2019 to present
|
Formerly, Global
Head of Investments,
Chief Investment
Officer and Treasurer,
Ernst & Young.
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust;
Director, State Auto
Financial Corporation.
|
Gary F. Kennedy (1955)
Trustee
|
05/2019 to present
|
Formerly, Senior Vice
President, General
Counsel and Chief
Compliance Officer,
American Airlines and
AMR Corporation
(now American
Airlines Group).
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust.
|
Name, Year of Birth
and Position
Held with Trust*
|
Term of Office
and Length of
Time Served†
|
Principal Occupation(s)
During Past 5 Years
|
Number of
Funds in
Fund
Complex
Overseen
by Trustee
|
Other Public Company
and Investment Company
Directorships Held by
Trustee During the
Past 5 Years
|
Peter B. McCarthy
(1950)
Trustee
|
09/2011 to present
|
Formerly, Assistant
Secretary and Chief
Financial Officer,
United States
Department of
Treasury; Deputy
Managing Director,
Institute of
International Finance.
|
149
|
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust.
|
Ronald C. Parker (1951)
Lead Independent
Trustee
|
02/2016 to present
Lead Independent
Trustee
05/2019 to present
|
Director of Roseburg
Forest Products
Company. Formerly,
Chairman of the
Board, The Ford
Family Foundation;
and President, Chief
Executive Officer,
Hampton Affiliates
(forestry products).
|
149
|
Lead Independent
Trustee, PIMCO Equity
Series VIT, PIMCO
Funds, PIMCO
Variable Insurance and
PIMCO ETF Trust.
|
Name, Year of Birth and
Position Held with Trust*
|
Term of Office and
Length of Time Served
|
Principal Occupation(s)
During Past 5 Years†
|
Eric D. Johnson (1970)
President
|
06/2019 to present
|
Executive Vice President and Head of Funds Business
Group Americas, PIMCO. President, PIMCO Funds,
PIMCO Variable Insurance Trust, PIMCO ETF Trust,
PIMCO Equity Series VIT, PIMCO Managed Accounts
Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Ryan G. Leshaw (1980)
Chief Legal Officer and
Secretary
|
08/2021 to present
|
Executive Vice President and Senior Counsel, PIMCO.
Chief Legal Officer and Secretary, PIMCO Funds, PIMCO
Variable Insurance Trust, PIMCO ETF Trust and PIMCO
Equity Series VIT. Chief Legal Officer, PIMCO Managed
Accounts Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds. Formerly,
Associate, Willkie Farr & Gallagher LLP.
|
Keisha Audain-Pressley
(1975)**
Chief Compliance
Officer
|
01/2020 to present
|
Executive Vice President and Deputy Chief Compliance
Officer, PIMCO. Chief Compliance Officer, PIMCO
Funds, PIMCO Variable Insurance Trust, PIMCO ETF
Trust, PIMCO Equity Series VIT, PIMCO Managed
Accounts Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Joshua D. Ratner
(1976)**
Senior Vice President
|
05/2019 to present
|
Executive Vice President and Head of Americas
Operations, PIMCO. Senior Vice President, PIMCO Funds,
PIMCO Variable Insurance Trust, PIMCO ETF Trust,
PIMCO Equity Series VIT, PIMCO Managed Accounts
Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Name, Year of Birth and
Position Held with Trust*
|
Term of Office and
Length of Time Served
|
Principal Occupation(s)
During Past 5 Years†
|
Peter G. Strelow (1970)
Senior Vice President
|
06/2019 to present
|
Managing Director and Co-Chief Operating Officer,
PIMCO. Senior Vice President, PIMCO Funds, PIMCO
Variable Insurance Trust, PIMCO ETF Trust, PIMCO
Equity Series VIT, PIMCO Managed Accounts Trust,
PIMCO-Sponsored Interval Funds and PIMCO-Sponsored
Closed-End Funds. Formerly, Chief Administrative Officer,
PIMCO.
|
Wu-Kwan Kit (1981)
Assistant Secretary
|
08/2017 to present
|
Senior Vice President and Senior Counsel, PIMCO.
Assistant Secretary, PIMCO Funds, PIMCO Variable
Insurance Trust, PIMCO ETF Trust and PIMCO Equity
Series VIT. Vice President, Senior Counsel and Secretary,
PIMCO Managed Accounts Trust, PIMCO-Sponsored
Interval Funds and PIMCO-Sponsored Closed-End Funds.
Formerly, Assistant General Counsel, VanEck Associates
Corp.
|
Jeffrey A. Byer (1976)
Vice President
|
02/2020 to present
|
Executive Vice President, PIMCO. Vice President, PIMCO
Funds, PIMCO Variable Insurance Trust, PIMCO ETF
Trust, PIMCO Equity Series, PIMCO Equity Series VIT,
PIMCO Managed Accounts Trust, PIMCO-Sponsored
Interval Funds and PIMCO-Sponsored Closed-End Funds.
|
Elizabeth A. Duggan
(1964)
Vice President
|
02/2021 to present
|
Executive Vice President, PIMCO. Vice President, PIMCO
Funds, PIMCO Variable Insurance Trust, PIMCO ETF
Trust and PIMCO Equity Series VIT.
|
Mark A. Jelic (1981)
Vice President
|
08/2021 to present
|
Senior Vice President, PIMCO. Vice President, PIMCO
Funds, PIMCO Variable Insurance Trust, PIMCO ETF
Trust, PIMCO Equity Series VIT, PIMCO-Sponsored
Interval Funds and PIMCO-Sponsored Closed-End Funds.
|
Brian J. Pittluck (1977)
Vice President
|
01/2020 to present
|
Senior Vice President, PIMCO. Vice President, PIMCO
Funds, PIMCO Variable Insurance Trust, PIMCO ETF
Trust, PIMCO Equity Series VIT, PIMCO Managed
Accounts Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Bijal Y. Parikh (1978)
Treasurer
|
01/2021 to present
|
Senior Vice President, PIMCO. Treasurer, PIMCO Funds,
PIMCO Variable Insurance Trust, PIMCO ETF Trust,
PIMCO Equity Series VIT, PIMCO Managed Accounts
Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Erik C. Brown
(1967)***
Assistant Treasurer
|
03/2010 to present
|
Executive Vice President, PIMCO. Assistant Treasurer,
PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO
ETF Trust, PIMCO Equity Series VIT, PIMCO Managed
Accounts Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Brandon T. Evans
(1982)
Assistant Treasurer
|
05/2019 to present
|
Vice President, PIMCO. Assistant Treasurer, Assistant
Treasurer, PIMCO Funds, PIMCO Variable Insurance
Trust, PIMCO ETF Trust, PIMCO Equity Series VIT,
PIMCO Managed Accounts Trust, PIMCO-Sponsored
Interval Funds and PIMCO-Sponsored Closed-End Funds.
|
Name, Year of Birth and
Position Held with Trust*
|
Term of Office and
Length of Time Served
|
Principal Occupation(s)
During Past 5 Years†
|
Colleen D. Miller
(1980)**
Assistant Treasurer
|
02/2017 to present
|
Senior Vice President, PIMCO. Assistant Treasurer,
PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO
ETF Trust and PIMCO Equity Series VIT. Deputy
Treasurer, PIMCO Managed Accounts Trust,
PIMCO-Sponsored Interval Funds and PIMCO-Sponsored
Closed-End Funds.
|
Jason J. Nagler
(1982)***
Assistant Treasurer
|
05/2015 to present
|
Senior Vice President, PIMCO. Assistant Treasurer,
PIMCO Funds, PIMCO Variable Insurance Trust, PIMCO
ETF Trust, PIMCO Equity Series VIT, PIMCO Managed
Accounts Trust, PIMCO-Sponsored Interval Funds and
PIMCO-Sponsored Closed-End Funds.
|
Name of Trustee
|
Name of Fund
|
Dollar Range of Equity
Securities in the Funds
|
Aggregate Dollar Range
of Equity Securities in All
Funds Overseen by Trustee
in Family of Investment
Companies
|
Kimberley G. Stafford*
|
None
|
None
|
Over $100,000
|
Peter G. Strelow
|
None
|
None
|
Over $100,000
|
Independent Trustees
|
|||
George E. Borst
|
None
|
None
|
Over $100,000
|
Jennifer Holden Dunbar
|
None
|
None
|
Over $100,000
|
Kym M. Hubbard
|
None
|
None
|
Over $100,000
|
Gary F. Kennedy
|
None
|
None
|
Over $100,000
|
Peter B. McCarthy
|
None
|
None
|
Over $100,000
|
Ronald C. Parker
|
None
|
None
|
Over $100,000
|
Name of Independent Trustee
|
Name of Owners
and Relationships
to Trustee
|
Company
|
Title of Class
|
Value of
Securities
|
Percent
of Class
|
George E. Borst
|
None
|
None
|
None
|
None
|
None
|
Jennifer Holden Dunbar
|
None
|
None
|
None
|
None
|
None
|
Kym M. Hubbard
|
None
|
None
|
None
|
None
|
None
|
Gary F. Kennedy
|
None
|
None
|
None
|
None
|
None
|
Peter B. McCarthy
|
None
|
None
|
None
|
None
|
None
|
Ronald C. Parker
|
None
|
None
|
None
|
None
|
None
|
Name and Position
|
Aggregate
Compensation
from Trust1
|
Pension or Retirement
Benefits Accrued As
Part of Funds Expenses
|
Total Compensation
from Trust and Fund
Complex Paid to Trustees
|
George E. Borst, Trustee
|
$65,850
|
N/A
|
$458,375
|
Jennifer Holden Dunbar, Trustee
|
$65,850
|
N/A
|
$458,375
|
Kym M. Hubbard, Trustee
|
$65,100
|
N/A
|
$451,375
|
Gary F. Kennedy, Trustee
|
$65,100
|
N/A
|
$451,375
|
Peter B. McCarthy, Trustee
|
$68,650
|
N/A
|
$478,375
|
Name and Position
|
Aggregate
Compensation
from Trust1
|
Pension or Retirement
Benefits Accrued As
Part of Funds Expenses
|
Total Compensation
from Trust and Fund
Complex Paid to Trustees
|
Ronald C. Parker, Trustee
|
$68,650
|
N/A
|
$478,375
|
Fund(*)
|
Management
Fee Rate
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
0.49%
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
0.39%
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
0.29%
|
PIMCO RAFI ESG U.S. ETF
|
0.29%
|
Fund
|
Year Ended
6/30/2021
|
Year Ended
6/30/2020
|
Year Ended
6/30/2019
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$3,194,685
|
$2,624,710
|
$1,791,491
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
264,894
|
146,448
|
123,576
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
177,277
|
291,677
|
229,965
|
PIMCO RAFI ESG U.S. ETF
|
36,944
|
21,547(1)
|
N/A(1)
|
Fund
|
Year Ended
6/30/21
|
Year Ended
6/30/20
|
Year Ended
6/30/19
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$45,738
|
$33,896
|
$27,705
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
3,320
|
2,681
|
2,374
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
3,441
|
7,631
|
5,748
|
PIMCO RAFI ESG U.S. ETF
|
843
|
78,014(1)
|
N/A(1)
|
Fund
|
Year Ended
6/30/21
|
Year Ended
6/30/20
|
Year Ended
6/30/19
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$31,947
|
$26,247
|
$17,915
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
3,328
|
1,840
|
1,553
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
2,995
|
4,928
|
3,886
|
PIMCO RAFI ESG U.S. ETF
|
624
|
122(1)
|
N/A(1)
|
Total Number
of Accounts
|
Total Assets
of All Accounts
(in $millions)
|
Number of
Accounts Paying a
Performance Fee
|
Total Assets
of Accounts Paying
a Performance Fee
(in $millions)
|
|
Thomas Seto(1)
|
||||
Registered Investment Companies
|
40
|
31,623.41
|
0
|
0
|
Other Pooled Investment Vehicles
|
7
|
1,674.36
|
0
|
0
|
Other Accounts
|
55,725
|
190,322.97
|
0
|
0
|
Portfolio Manager
|
Funds Managed
by Portfolio Manager
|
Dollar Range
of Shares Owned
|
Seto
|
PIMCO RAFI Dynamic Multi-Factor
Emerging Markets Equity ETF
|
None
|
PIMCO RAFI Dynamic Multi-Factor
International Equity ETF
|
None
|
|
PIMCO RAFI Dynamic Multi-Factor
U.S. Equity ETF
|
None
|
|
PIMCO RAFI ESG U.S. ETF
|
None
|
Fund
|
Creation Unit Size
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
200,000
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
200,000
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
100,000
|
PIMCO RAFI ESG U.S. ETF
|
50,000
|
Funds
|
Standard Creation
Transaction Fee*
|
Maximum Variable
Charge for Creations**
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$2,250
|
3.00%
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
$5,000
|
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
$2,250
|
|
PIMCO RAFI ESG U.S. ETF
|
$500
|
Funds
|
Standard Redemption
Transaction Fee*
|
Maximum Variable
Charge for Redemptions**
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$2,250
|
2.00%
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
$5,000
|
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
$2,250
|
|
PIMCO RAFI ESG U.S. ETF
|
$500
|
Fund
|
Year Ended
06/30/2021
|
Year Ended
06/30/2020
|
Year Ended
06/30/2019
|
PIMCO RAFI Dynamic Multi-Factor Emerging Markets Equity ETF
|
$1,252,943
|
$898,903
|
$413,132
|
PIMCO RAFI Dynamic Multi-Factor International Equity ETF
|
31,710
|
13,623
|
8,398
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
10,423
|
11,810
|
9,709
|
PIMCO RAFI ESG U.S. ETF
|
1,268
|
1,079(1)
|
N/A(1)
|
PIMCO RAFI Dynamic Multi-Factor International Equity
ETF
|
Deutsche Bank Securities, Inc.
|
$820
|
SG AMERICAS SECURITIES
|
650
|
|
Barclays, Inc.
|
157
|
|
RBC Capital Markets LLC
|
135
|
|
Nomura Securities International Inc.
|
118
|
|
UBS Securities LLC
|
101
|
|
RBS Securities, Inc.
|
72
|
|
BNP Paribas Securities Corp.
|
41
|
|
PIMCO RAFI Dynamic Multi-Factor U.S. Equity ETF
|
Citigroup Global Markets, Inc.
|
$800
|
Wells Fargo & Co.
|
476
|
|
Goldman Sachs & Co.
|
400
|
|
JPMorgan Chase & Co.
|
202
|
|
Banc of America Securities LLC
|
135
|
|
Morgan Stanley & Co., Inc.
|
58
|
|
PIMCO RAFI ESG U.S. Exchange-Traded Fund
|
Wells Fargo & Co.
|
$890
|
Banc of America Securities LLC
|
622
|
|
Goldman Sachs & Co.
|
321
|
|
Citigroup Global Markets, Inc.
|
320
|
|
Morgan Stanley & Co., Inc.
|
172
|
|
JPMorgan Chase & Co.
|
172
|
|
BNY Mellon Capital Markets, LLC
|
136
|
|
State Street Bank & Trust Co.
|
13
|
FUND NAME
|
REGISTRATION
|
PERCENTAGE OF
OUTSTANDING
SHARES OF
FUND OWNED OF
RECORD
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
STATE STREET BANK & TRUST
1776 HERITAGE DRIVE
NORTH QUINCY, MA 02171
|
48.88%
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
PERSHING LLC
1 PERSHING PLZ
JERSEY CITY, NJ 07399-000
|
10.87%
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
FIFTH THIRD BANK
38 FOUNTAIN SQUARE PLAZA
CINCINNATI, OH 45263
|
8.00%
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST, ONE WORLD FINANCIAL CENTER
NEW YORK NY 10281-1003
|
7.91%
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
TD AMERITRADE INC
PO BOX 2226
OMAHA NE 68103-2226
|
7.73%
|
PIMCO RAFI Dynamic
Multi-Factor Emerging
Markets Equity ETF
|
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151
|
5.29%
|
PIMCO RAFI Dynamic
Multi-Factor
International Equity ETF
|
NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST, ONE WORLD FINANCIAL CENTER
NEW YORK NY 10281-1003
|
57.93%
|
PIMCO RAFI Dynamic
Multi-Factor
International Equity ETF
|
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151
|
20.44%
|
PIMCO RAFI Dynamic
Multi-Factor U.S.
Equity ETF
|
NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST, ONE WORLD FINANCIAL CENTER
NEW YORK NY 10281-1003
|
72.15%
|
PIMCO RAFI Dynamic
Multi-Factor U.S.
Equity ETF
|
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151
|
8.97%
|
PIMCO RAFI Dynamic
Multi-Factor U.S.
Equity ETF
|
SEI PRIVATE TRUST COMPANY/C/O/ GWP
1 FREEDOM VALLEY DR
OAKS PA 19456-9989
|
5.51%
|
PIMCO RAFI ESG U.S. ETF
|
CHARLES SCHWAB & CO INC
101 MONTGOMERY ST
SAN FRANCISCO CA 94104-4151
|
57.31%
|
PIMCO RAFI ESG U.S. ETF
|
ALLIANZ FUND INVESTMENTS, INC.
5701 GOLDEN HILLS DRIVE
MINNEAPOLIS, MN 55416
|
17.91%
|
PIMCO RAFI ESG U.S. ETF
|
TD AMERITRADE INC
PO BOX 2226
OMAHA NE 68103-2226
|
8.10%
|
FUND NAME
|
REGISTRATION
|
PERCENTAGE OF
OUTSTANDING
SHARES OF
FUND OWNED OF
RECORD
|
PIMCO RAFI ESG U.S. ETF
|
MERRILL LYNCH PROFESSIONAL
CLEARING CORP.
222 BROADWAY
NEW YORK, NY 10038
|
7.21%
|
Fund
|
Gross Income
from Securities
Lending Activities
|
Fees Paid
to Securities
Lending Agent from
a Revenue Split
|
Rebates Paid
to Borrowers
|
Aggregate Fees/
Compensation for
Securities
Lending
Activities
|
Net Income
from Securities
Lending
Activities
|
PIMCO RAFI Dynamic
Multi-Factor Emerging Markets
Equity ETF
|
$266,200.01
|
$29,148.27
|
$301.39
|
$29,449.66
|
$236,750.34
|
PIMCO RAFI Dynamic
Multi-Factor International Equity
ETF
|
10,771.35
|
1,076.57
|
5.67
|
1,082.24
|
9,689.11
|
PIMCO RAFI Dynamic
Multi-Factor U.S. Equity ETF
|
2,029.96
|
218.75
|
0.00
|
218.75
|
1,811.21
|
PIMCO RAFI ESG U.S. ETF
|
18.76
|
2.80
|
0.00
|
2.80
|
15.97
|