Statement of Changes in Beneficial Ownership (4)
December 15 2021 - 11:42AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
IVASCYN DANIEL J |
2. Issuer Name and Ticker or Trading Symbol
PIMCO Dynamic Credit & Mortgage Income Fund
[
PCI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
See Remarks |
|
(Last)
(First)
(Middle)
C/O PIMCO, 650 NEWPORT CENTER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/10/2021 |
|
(Street)
NEWPORT BEACH, CA 92660
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| COMMON SHARES | 12/10/2021 | | D | | 178361.33 | D | (1) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The shares of the Issuer were disposed of in exchange for shares of PIMCO Dynamic Income Fund ("PDI") in connection with the reorganization of the Issuer with and into PDI based on PDI's and the Issuer's respective net asset value per share at the time of the closing of such reorganization, which resulted in an exchange ratio of 0.818509. |
Remarks:
Pacific Investment Management Company LLC ("PIMCO") is the investment adviser of the Issuer. The Reporting Person is a member of PIMCO's Executive Committee, Group Chief Investment Officer and a Portfolio Manager for this Issuer at PIMCO. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
IVASCYN DANIEL J
C/O PIMCO
650 NEWPORT CENTER DRIVE
NEWPORT BEACH, CA 92660 |
|
|
| See Remarks |
Signatures
|
| /s/ Kevin Van Gorder, Attorney-in-Fact for Daniel J. Ivascyn | | 12/14/2021 |
| **Signature of Reporting Person | Date |
PIMCO Dynamic Credit and... (NYSE:PCI)
Historical Stock Chart
From Oct 2024 to Nov 2024
PIMCO Dynamic Credit and... (NYSE:PCI)
Historical Stock Chart
From Nov 2023 to Nov 2024
