Pacific Investment Management Company Llc

Allegations: THE REGISTRANT WAS ALLEGED TO HAVE VIOLATED CBOT RULE 562 BY EXCEEDING SPECULATIVE POSITION LIMITS IN SOYBEAN MEAL FUTURES CONTRACTS ON NOVEMBER 21ST AND 24TH, 2014. Status: Final Sanction Detail: A FINE OF $35,000 WAS PAID IN FULL BY THE REGISTRANT ON JULY 29, 2015. NO PORTION OF THE PENALTY WAS WAIVED. Summary: ON JULY 22, 2015, A PANEL OF THE CBOT BUSINESS CONDUCT COMMITTEE (THE "PANEL") FOUND THAT THE REGISTRANT VIOLATED CBOT RULE 562 BY EXCEEDING THE SINGLE-MONTH AND THE ALL-MONTHS POSITION LIMITS FOR SOYBEAN MEAL FUTURES CONTRACTS ON NOVEMBER 21ST AND 24TH, 2014. ON JULY 24, 2015, THE PANEL APPROVED AN OFFER OF SETTLEMENT, IN WHICH THE REGISTRANT NEITHER ADMITTED NOR DENIED THE VIOLATION ON WHICH THE PENALTY IS BASED, PURSUANT TO WHICH THE REGISTRANT AGREED TO PAY A MONETARY FINE OF $35,000.

Allegations: 1) BETWEEN 2001 AND 2008, MANAGERS OF AN INDONESIAN JOINT VENTURE MAJORITY-OWNED BY ALLIANZ SE MADE IMPROPER PAYMENTS TO EMPLOYEES OF STATE-OWNED ENTITIES IN INDONESIA; 2) THESE PAYMENTS WERE NOT ACCURATELY REFLECTED IN ALLIANZ SE'S BOOKS AND RECORDS; 3) ALLIANZ SE FAILED TO MAINTAIN A SYSTEM OF INTERNAL CONTROLS REASONABLY DESIGNED TO DETECT AND PREVENT THESE PAYMENTS; 4) AS A RESULT OF THE FOREGOING, ALLIANZ SE VIOLATED SECTIONS 13(B)(2)(A) AND 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934. Status: Final Sanction Detail: ALLIANZ SE CONSENTED TO PAY DISGORGEMENT OF $5,315,649, PREJUDGMENT INTEREST OF $1,765,125, AND A CIVIL MONEY PENALTY OF $5,315,649 (TOTAL PAYMENT OF $12,396,423). THE PAYMENT WAS WIRED TO THE SEC ON DECEMBER 20, 2012. Summary: ON DECEMBER 17, 2012, THE SEC ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH ALLIANZ SE TO RESOLVE THE SEC'S INVESTIGATION OF ALLEGED MISCONDUCT AT AN INDONESIAN JOINT VENTURE MAJORITY-OWNED BY ALLIANZ SE. WITHOUT ADMITTING OR DENYING THE SEC'S ALLEGATIONS, ALLIANZ SE CONSENTED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF SECTIONS 13(B)(2)(A) AND 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934, AND TO PAY APPROXIMATELY $12.4 MILLION IN DISGORGEMENT, PREJUDGMENT INTEREST, AND CIVIL PENALTY. ALLIANZ SE COOPERATED WITH THE SEC DURING THE COURSE OF ITS INVESTIGATION. FURTHERMORE, FOLLOWING AN INDEPENDENT INTERNAL INVESTIGATION CONDUCTED BY ALLIANZ SE WITH THE ASSISTANCE OF EXTERNAL LEGAL COUNSEL, ALLIANZ SE MODIFIED ITS POLICIES AND PROCEDURES TO MITIGATE FCPA RISKS. FOR EXAMPLE, ALLIANZ SE RECENTLY IMPLEMENTED A GROUP-WIDE ANTI-CORRUPTION PROGRAM.

Allegations: ON JUNE 16, 2023, PIMCO ENTERED INTO A SETTLEMENT AGREEMENT WITH THE SEC RELATING TO AN ERROR IN THE FEE WAIVER CALCULATION USED BY PIMCO'S THIRD-PARTY VENDOR THAT CAUSED CERTAIN ADVISORY FEES TO BE UNDER-WAIVED FROM APRIL 2011 TO NOVEMBER 2017 AND CHARGED TO PIMCO ALL ASSET ALL AUTHORITY FUND ("A4"). UNDER THE TERMS OF THE SETTLEMENT, PIMCO AGREED TO PAY TO THE SEC A CIVIL MONETARY PENALTY IN THE AMOUNT OF $2.5 MILLION. PRIOR TO THE SEC'S INVESTIGATION, PIMCO HAD IDENTIFIED THE ERROR, PUBLICLY DISCLOSED THE ISSUE AND IMPLEMENTED A PLAN THAT REIMBURSED A4 AND ITS SHAREHOLDERS FOR ANY LOSSES ASSOCIATED WITH THE FEE WAIVER MISCALCULATION. IN ADDITION, PIMCO HAS ENHANCED ITS POLICIES AND PROCEDURES RELATING TO ITS OVERSIGHT OF THE THIRD-PARTY VENDOR'S ADVISORY FEE CALCULATIONS. Status: Final Sanction Detail: PURSUANT TO THE SETTLEMENT, THE SEC ORDERED A CIVIL MONETARY PENALTY IN THE AMOUNT OF $2.5 MILLION. THE PENALTY WILL BE PAID WITHIN 10 DAYS OF THE ENTRY OF THE ORDER. NO PORTION OF THE PENALTY WAS WAIVED. Summary: ON JUNE 16, 2023, THE SEC ANNOUNCED AN AGREEMENT WITH PIMCO TO SETTLE THE CHARGES RELATING TO A4. THE SEC ADMINISTRATIVE ORDER IS FINAL. THE CIVIL MONETARY PENALTY WILL BE PAID WITHIN 10 DAYS OF THE ENTRY OF THE ORDER.

Allegations: ON JUNE 16, 2023, PIMCO ENTERED INTO A SETTLEMENT AGREEMENT WITH THE SEC RELATING TO CERTAIN DISCLOSURES IN THE 2014 AND 2015 ANNUAL SHAREHOLDER REPORTS OF PIMCO GLOBAL STOCKSPLUS & INCOME FUND ("PGP") REGARDING PGP'S USE OF PAIRED INTEREST RATE SWAPS IN ITS PORTFOLIO. UNDER THE TERMS OF THE SETTLEMENT, PIMCO AGREED TO PAY TO THE SEC A CIVIL MONETARY PENALTY IN THE AMOUNT OF $6.5 MILLION. PRIOR TO THE SEC'S INVESTIGATION, PIMCO HAD UPDATED THE DISCLOSURES IN PGP'S 2016 ANNUAL SHAREHOLDER REPORT. Status: Final Sanction Detail: PURSUANT TO THE SETTLEMENT, THE SEC ORDERED A CIVIL MONETARY PENALTY IN THE AMOUNT OF $6.5 MILLION. THE PENALTY WILL BE PAID WITHIN 10 DAYS OF THE ENTRY OF THE ORDER. NO PORTION OF THE PENALTY WAS WAIVED. Summary: ON JUNE 16, 2023, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ANNOUNCED AN AGREEMENT WITH PIMCO TO SETTLE THE CHARGES RELATING TO PGP. THE SEC ADMINISTRATIVE ORDER IS FINAL. THE CIVIL MONETARY PENALTY WILL BE PAID WITHIN 10 DAYS OF THE ENTRY OF THE ORDER.

Allegations: ON DECEMBER 1, 2016, PIMCO ENTERED INTO AN AGREEMENT WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") TO SETTLE CHARGES RELATING TO THE PIMCO TOTAL RETURN ACTIVE EXCHANGE-TRADED FUND ("BOND"). THE SEC ALLEGED THAT FROM FEBRUARY 29, 2012 TO JUNE 30, 2012, PIMCO DID NOT SUFFICIENTLY DISCLOSE THE SOURCES OF PERFORMANCE FOR BOND, INACCURATELY VALUED 43 SMALLER-SIZED ("ODD LOT") POSITIONS OF NON-AGENCY MORTGAGE BACKED SECURITIES USING THIRD-PARTY VENDOR PRICES, AND DID NOT ADOPT AND IMPLEMENT ADEQUATE WRITTEN POLICIES AND PROCEDURES RELATED TO THESE MATTERS. THE SEC FOUND, AND PIMCO NEITHER ADMITTED NOR DENIED, THAT PIMCO VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), SECTION 206(4) OF THE ADVISERS ACT AND RULES 206(4)-7 AND 206(4)-8 THEREUNDER, SECTION 34(B) OF THE INVESTMENT COMPANY ACT, AND RULE 22C-1 UNDER THE INVESTMENT COMPANY ACT. Status: Final Sanction Detail: PURSUANT TO THE SETTLEMENT, THE SEC ORDERED A CIVIL MONETARY PENALTY IN THE AMOUNT OF $18.3 MILLION, $1.33 MILLION OF DISGORGEMENT, AND $198,179.04 OF PREJUDGMENT INTEREST. THE PENALTY, DISGORGEMENT, AND PREJUDGMENT INTEREST WILL BE PAID WITHIN 14 DAYS OF THE ENTRY OF THE ORDER. NO PORTION OF THE PENALTY WAS WAIVED. THE SETTLEMENT ALSO REQUIRED PIMCO TO RETAIN AN INDEPENDENT COMPLIANCE CONSULTANT TO REVIEW ITS POLICIES AND PROCEDURES FOR VALUING ODD LOTS AS DESCRIBED IN THE ORDER. Summary: ON DECEMBER 1, 2016, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ANNOUNCED AN AGREEMENT WITH PIMCO TO SETTLE THE CHARGES RELATING TO BOND. THE SEC ADMINISTRATIVE ORDER IS FINAL. THE CIVIL MONETARY PENALTY, DISGORGEMENT AND PREJUDMENT INTEREST WILL BE PAID WITHIN 14 DAYS OF THE ENTRY OF THE ORDER. PIMCO WILL RETAIN AN INDEPENDENT COMPLIANCE CONSULTANT WITHIN 30 DAYS OF THE ISSUANCE OF THE ORDER, THE CONSULTANT WILL SUBMIT A REPORT TO PIMCO AND THE SEC STAFF WITHIN 120 DAYS FROM THE DATE OF THE ORDER, AND PIMCO WILL ADOPT THE RECOMMENDATIONS CONTAINED IN THE REPORT WITHIN 90 DAYS OF RECEIPT.