BrokerCheck Report PIMCO INVESTMENTS LLC CRD# 154957

Section Title Page(s) Report Summary 1

Firm Profile 2 - 12

Firm History 13

Firm Operations 14 - 38

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• the SEC • 1 Self-Regulatory Organization • 53 U.S. states and territories

Is this brokerage firm currently suspended with any regulator? No

This firm conducts 4 types of businesses. This firm is affiliated with financial or investment institutions. This firm does not have referral or financial arrangements with other brokers or dealers.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 1 www.finra.org/brokercheck User Guidance Firm Profile

This firm is classified as a limited liability company. This firm was formed in Delaware on 07/07/2010. Its fiscal year ends in December.

Firm Names and Locations This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailing addresses, telephone number, and any alternate name by which the firm conducts business and where such name is used.

PIMCO INVESTMENTS LLC Doing business as PIMCO INVESTMENTS LLC CRD# 154957 SEC# 8-68686

Main Office Location 1633 BROADWAY 45TH FLOOR NEW YORK, NY 10019 Regulated by FINRA New York Office

Mailing Address 1633 BROADWAY 45TH FLOOR NEW YORK, NY 10019

Business Telephone Number 212.739.3000

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 2 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to all direct owners and executive officers of the brokerage firm. Direct Owners and Executive Officers

Legal Name & CRD# (if any): PACIFIC INVESTMENT MANAGEMENT COMPANY LLC 104559 Is this a domestic or foreign Domestic Entity entity or an individual?

Position SOLE MEMBER Position Start Date 07/2010 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): BURG, ANTHONY ALAN 6005184 Is this a domestic or foreign Individual entity or an individual?

Position TREASURER Position Start Date 02/2020 Percentage of Ownership Less than 5% Does this owner direct the No management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): DUBITZKY, YITZHAK ZVI 6897287 Is this a domestic or foreign Individual entity or an individual?

Position CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER & SECRETARY Position Start Date 05/2019 ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 3 www.finra.org/brokercheck User Guidance Firm Profile

Direct Owners and Executive Officers (continued) Position Start Date 05/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): FERRARI, DAVID RICHARD 6004690 Is this a domestic or foreign Individual entity or an individual?

Position PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL Position Start Date 10/2019 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): FOURNIER, JOSEPH ARTHUR 4000177 Is this a domestic or foreign Individual entity or an individual?

Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2021 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 4 www.finra.org/brokercheck User Guidance Firm Profile

Direct Owners and Executive Officers (continued)

Legal Name & CRD# (if any): HALL, GREGORY WESTON 3111343 Is this a domestic or foreign Individual entity or an individual?

Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2020 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): HARRY, SEON LYNDON 3102054 Is this a domestic or foreign Individual entity or an individual?

Position AML COMPLIANCE OFFICER Position Start Date 07/2020 Percentage of Ownership Less than 5% Does this owner direct the No management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): PITTERS, CALEB JOSEPH ALEXANDER JR 3198603 Is this a domestic or foreign Individual entity or an individual?

Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2020 Percentage of Ownership Less than 5% ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 5 www.finra.org/brokercheck User Guidance Firm Profile

Direct Owners and Executive Officers (continued) Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): PLUMP, STEVEN BRYAN 1555269 Is this a domestic or foreign Individual entity or an individual?

Position HEAD OF BUSINESS MANAGEMENT Position Start Date 02/2014 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): SUTHERLAND, ERIC MICHAEL 1724744 Is this a domestic or foreign Individual entity or an individual?

Position PRESIDENT & CHAIRMAN Position Start Date 08/2020 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

Legal Name & CRD# (if any): TRACY, LAUREN RITA

©2021 FINRA. All rights reserved. Report about4027974 PIMCO INVESTMENTS LLC 6 www.finra.org/brokercheck User Guidance Firm Profile

Direct Owners and Executive Officers (continued) 4027974 Is this a domestic or foreign Individual entity or an individual?

Position MANAGER, BOARD OF MANAGERS Position Start Date 02/2020 Percentage of Ownership Less than 5% Does this owner direct the Yes management or policies of the firm?

Is this a public reporting No company?

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 7 www.finra.org/brokercheck User Guidance Firm Profile This section provides information relating to any indirect owners of the brokerage firm. Indirect Owners

Legal Name & CRD# (if any): ALLIANZ ASSET MANAGEMENT GMBH Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA HOLDINGS INC. indirect ownership is established Relationship to Direct Owner SOLE STOCKHOLDER Relationship Established 01/2003 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which PACIFIC INVESTMENT MANAGEMENT COMPANY LLC indirect ownership is established Relationship to Direct Owner MEMBER Relationship Established 11/1994 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ ASSET MANAGEMENT OF AMERICA LLC Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. indirect©2021 FINRA. ownership All rights reserved. is Report about PIMCO INVESTMENTS LLC 8 established www.finra.org/brokercheck User Guidance Firm Profile

Indirect Owners (continued) Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. indirect ownership is established Relationship to Direct Owner PARTNER Relationship Established 12/2009 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ EUROPE B.V. Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ OF AMERICA, INC. indirect ownership is established Relationship to Direct Owner SOLE STOCKHOLDER Relationship Established 06/2012 Percentage of Ownership 75% or more Does this owner direct the No management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ OF AMERICA, INC. Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA LLC indirect ownership is established Relationship to Direct Owner MEMBER Relationship Established 05/2000 Percentage of Ownership 75% or more ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 9 www.finra.org/brokercheck User Guidance Firm Profile

Indirect Owners (continued) Percentage of Ownership 75% or more Does this owner direct the No management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ SE Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ FINANZBETEILIGUNGS GMBH indirect ownership is established Relationship to Direct Owner SOLE STOCKHOLDER Relationship Established 06/2005 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ SE Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ EUROPE B.V. indirect ownership is established Relationship to Direct Owner SOLE STOCKHOLDER Relationship Established 06/2012 Percentage of Ownership 75% or more Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company? ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 10 www.finra.org/brokercheck User Guidance Firm Profile

IsIndirect this a public Owners reporting (continued)No company?

Legal Name & CRD# (if any): ALLIANZ SE Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT GMBH indirect ownership is established Relationship to Direct Owner STOCKHOLDER Relationship Established 01/2003 Percentage of Ownership 50% but less than 75% Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ FINANZBETEILIGUNGS GMBH Is this a domestic or foreign Foreign Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT GMBH indirect ownership is established Relationship to Direct Owner STOCKHOLDER Relationship Established 08/2010 Percentage of Ownership 25% but less than 50% Does this owner direct the No management or policies of the firm? Is this a public reporting No company?

Legal Name & CRD# (if any): ALLIANZ ASSET MANAGEMENT OF AMERICA HOLDINGS INC. Is this a domestic or foreign Domestic Entity entity or an individual?

Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA LLC indirect©2021 FINRA. ownership All rights reserved. is Report about PIMCO INVESTMENTS LLC 11 established www.finra.org/brokercheck User Guidance Firm Profile

Indirect Owners (continued) Company through which ALLIANZ ASSET MANAGEMENT OF AMERICA LLC indirect ownership is established Relationship to Direct Owner MANAGING MEMBER Relationship Established 01/2003 Percentage of Ownership Other General Partners Does this owner direct the Yes management or policies of the firm? Is this a public reporting No company?

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 12 www.finra.org/brokercheck User Guidance Firm History This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 13 www.finra.org/brokercheck User Guidance Firm Operations

Registrations This section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatory organizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered and licensed, the date the license became effective, and certain information about the firm's SEC registration. This firm is currently registered with the SEC, 1 SRO and 53 U.S. states and territories. Federal Regulator Status Date Effective SEC Approved 01/19/2011

SEC Registration Questions This firm is registered with the SEC as: A broker-dealer: Yes A broker-dealer and government securities broker or dealer: No A government securities broker or dealer only: No This firm has ceased activity as a government securities broker or dealer: No

Self-Regulatory Organization Status Date Effective FINRA Approved 01/19/2011

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 14 www.finra.org/brokercheck User Guidance Firm Operations

Registrations (continued) U.S. States & Status Date Effective U.S. States & Status Date Effective Territories Territories Alabama Approved 01/27/2011 North Carolina Approved 10/20/2010 Alaska Approved 01/20/2011 North Dakota Approved 02/01/2011 Arizona Approved 01/25/2011 Ohio Approved 01/31/2011 Arkansas Approved 01/20/2011 Oklahoma Approved 01/26/2011 California Approved 01/20/2011 Oregon Approved 01/21/2011 Colorado Approved 01/27/2011 Pennsylvania Approved 01/25/2011 Connecticut Approved 01/20/2011 Puerto Rico Approved 01/20/2011 Delaware Approved 01/20/2011 Rhode Island Approved 01/20/2011 District of Columbia Approved 01/21/2011 South Carolina Approved 01/21/2011 Florida Approved 01/20/2011 South Dakota Approved 01/21/2011 Georgia Approved 01/20/2011 Tennessee Approved 01/20/2011 Hawaii Approved 01/21/2011 Texas Approved 01/20/2011 Idaho Approved 01/20/2011 Utah Approved 01/25/2011 Illinois Approved 01/20/2011 Vermont Approved 01/24/2011 Indiana Approved 01/21/2011 Virgin Islands Approved 01/24/2011 Iowa Approved 01/20/2011 Virginia Approved 01/20/2011 Kansas Approved 01/21/2011 Washington Approved 01/20/2011 Kentucky Approved 01/20/2011 West Virginia Approved 01/21/2011 Louisiana Approved 01/20/2011 Wisconsin Approved 01/20/2011 Maine Approved 01/20/2011 Wyoming Approved 01/20/2011 Maryland Approved 01/25/2011 Massachusetts Approved 01/20/2011 Michigan Approved 01/25/2011 Minnesota Approved 01/20/2011 Mississippi Approved 01/26/2011 Missouri Approved 01/21/2011 Montana Approved 01/20/2011 Nebraska Approved 01/27/2011 Nevada Approved 01/25/2011 New Hampshire Approved 01/26/2011 New Jersey Approved 01/20/2011 New Mexico Approved 01/20/2011 New York Approved 01/20/2011

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 15 www.finra.org/brokercheck User Guidance Firm Operations

Types of Business This section provides the types of business, including non-securities business, the brokerage firm is engaged in or expects to be engaged in. This firm currently conducts 4 types of businesses. Types of Business

Mutual fund underwriter or sponsor Mutual fund retailer Private placements of securities Other - THE FIRM MAY ALSO (I) MARKET AND DISTRIBUTE OFF-SHORE FUNDS; (II) PROVIDE MARKETING SUPPORT FOR INITIAL OFFERINGS OF CLOSED-END MUTUAL FUNDS AND SHAREHOLDER SERVICING THEREAFTER; AND (III) MARKET AND PROVIDE SHAREHOLDER SERVICING FOR COLLECTIVE INVESTMENT TRUSTS.

Other Types of Business This firm does not effect transactions in commodities, commodity futures, or commodity options. This firm does engage in other non-securities business. Non-Securities Business Description: THE FIRM MAY ACT AS A SOLICITOR FOR SEPERATELY MANAGED ACCOUNTS.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 16 www.finra.org/brokercheck User Guidance Firm Operations

Clearing Arrangements This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 17 www.finra.org/brokercheck User Guidance Firm Operations Industry Arrangements

This firm does have books or records maintained by a third party. Name: BOX, INC. Business Address: 900 JEFFERSON AVE REDWOOD CITY, CA 94063 Effective Date: 12/16/2019 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH BOX, INC. ("BOX") PURSUANT TO WHICH BOX WILL PROVIDE PIMCO INVESTMENTS WITH ELECTRONIC STORAGE OF CERTAIN BOOKS AND RECORDS AND RELATED SERVICES. Name: RED OAK COMPLIANCE SOFTWARE, LLC Business Address: 1320 ARROW POINT DRIVE SUITE 411 CEDAR PARK, TX 78613 Effective Date: 03/09/2020 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH RED OAK COMPLIANCE SOFTWARE, LLC ("RED OAK") PURSUANT TO WHICH RED OAK WILL PROVIDE PIMCO INVESTMENTS WITH ELECTRONIC STORAGE OF CERTAIN BOOKS AND RECORDS AND RELATED SERVICES. Name: GLOBAL RELAY COMMUNICATIONS INC. Business Address: 220 CAMBIE ST. 2ND FLOOR VANCOUVER, CANADA V6B 2M9 Effective Date: 01/02/2019 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH GLOBAL RELAY COMMUNICATIONS INC. ("GLOBAL RELAY") PURSUANT TO WHICH GLOBAL RELAY WILL PROVIDE ELECTRONIC ARCHIVING SERVICES WITH RESPECT TO THE EMAIL OF CERTAIN PIMCO INVESTMENTS' ASSOCIATED PERSONS. Name: EMC CENTERA Business Address: 176 SOUTH STREET HOPKINTON, MA 01748 Effective Date: 01/24/2017 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH EMC CENTERA PURSUANT TO WHICH EMC ©2021 FINRA. All rights reserved. Report CENTERAabout PIMCO WILLINVESTMENTS PROVIDE LLC ELECTRONIC ARCHIVING SERVICES TO 18 PIMCO INVESTMENTS OF CERTAIN OF ITS BOOKS AND RECORDS. www.finra.org/brokercheck User Guidance Firm Operations

Description:Industry Arrangements (continued)PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH EMC CENTERA PURSUANT TO WHICH EMC CENTERA WILL PROVIDE ELECTRONIC ARCHIVING SERVICES TO PIMCO INVESTMENTS OF CERTAIN OF ITS BOOKS AND RECORDS. Name: SYMANTEC CORPORATION Business Address: 350 ELLIS STREET MOUNTAIN VIEW, CA 94043 Effective Date: 03/14/2014 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH SYMANTEC PURSUANT TO WHICH SYMANTEC WILL PROVIDE ELECTRONIC ARCHIVING SERVICES TO PIMCO INVESTMENTS OF CERTAIN OF ITS BOOKS AND RECORDS. Name: HP (AUTONOMY) Business Address: ONE MARKET PLAZA, SPEAR TOWER 19TH FLOOR SAN FRANCISCO, CA 94105 Effective Date: 12/05/2013 Description: PIMCO INVESTMENTS HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH HP AUTONOMY PURSUANT TO WHICH HP AUTONOMY PROVIDES CERRTAIN ELECTRONIC ARCHIVING SERVICES TO PIMCO INVESTMENTS. Name: NOVA RECORDS LLC Business Address: 10440 LITTLE PATUXENT PARKWAY COLUMBIA, MD 21044 Effective Date: 02/03/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH NOVA RECORDS ("NOVA") PURSUANT TO WHICH NOVA WILL MAINTAIN CERTAIN BOOKS AND RECORDS. Name: VERITAS TECHNOLOGIES LLC Business Address: 500 EAST MIDDLEFIELD ROAD MOUNTAIN VIEW, CA 94043 Effective Date: 10/03/2015 Description: PIMCO INVESTMENTS LLC ("PIMCO INVESTMENTS") OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH VERITAS TECHNOLOGIES LLC ("VERITAS") PURSUANT TO WHICH VERITAS WILL PROVIDE ELECTRONIC ARCHIVING SERVICES WITH RESPECT TO THE EMAIL OF CERTAIN OF PIMCO INVESTMENTS' ASSOCIATED PERSONS.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 19 www.finra.org/brokercheck User Guidance Firm Operations Industry Arrangements (continued)

Name: SMARSH, INC Business Address: 851 SW 6TH AVE SUITE 800 PORTLAND, OR 97204 Effective Date: 04/15/2015 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH SMARSH, INC. ("SMARSH") PURSUANT TO WHICH SMARSH WILL PROVIDE PIMCO INVESTMENTS WITH ELECTRONIC ARCHIVING OF ITS WEB SITE AND RELATED SERVICES. Name: BROADRIDGE INVESTOR COMMUNICATION SOLUTIONS, INC. Business Address: 1155 LONG ISLAND AVENUE EDGEWOOD, NY 11717 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH BROADRIDGE INVESTOR COMMUNICATION SOLUTIONS, INC. ("BROADRIDGE") PURSUANT TO WHICH BROADRIDGE WILL PROVIDE PIMCO INVESTMENTS WITH STORAGE OF CERTAIN BOOKS AND RECORDS. Name: HANZO ARCHIVES LIMITED Business Address: 64 CLIFTON STREET LONDON, UNITED KINGDOM EC2A 4HB Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH HANZO ARCHIVES LIMITED ("HANZO") PURSUANT TO WHICH HANZO WILL PROVIDE PIMCO INVESTMENTS WITH ELECTRONIC ARCHIVING OF ITS WEB SITE AND RELATED SERVICES. Name: ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. Business Address: 650 NEWPORT CENTER DRIVE NEWPORT BEACH, CA 92660 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. PURSUANT TO WHICH ALLIANZ ASSET MANAGEMENT OF AMERICA L.P. MAINTAINS CERTAIN BOOKS AND RECORDS ON BEHALF OF PIMCO INVESTMENTS. Name: IRON MOUNTAIN Business Address: 2100 NORCROSS PARKWAY ©2021 FINRA. All rights reserved. Report SUITEabout PIMCO 150 INVESTMENTS LLC 20 NORCROSS, GA 30071 www.finra.org/brokercheck User Guidance Firm Operations Industry Arrangements (continued) Business Address: 2100 NORCROSS PARKWAY SUITE 150 NORCROSS, GA 30071 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH IRON MOUNTAIN PURSUANT TO WHICH IRON MOUNTAIN WILL PROVIDE PIMCO INVESTMENTS WITH OFF-SITE RECORDS STORAGE AND RELATED SERVICES WITH RESPECT TO ITS NEW YORK OFFICE. Name: STATE STREET INVESTMENT MANAGER SOLUTIONS, LLC Business Address: 46 DISCOVERY IRVINE, CA 92618 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH STATE STREET INVESTOR MANAGEMENT SOLUTIONS, LLC ("SSIMS") PURSUANT TO WHICH SSIMS WILL PROVIDE ELECTRONIC ARCHIVING SERVICES TO PIMCO INVESTMENTS OF CERTAIN OF ITS BOOKS AND RECORDS. Name: SCHICK RECORDS MANAGEMENT Business Address: 2721 MICHELLE DRIVE TUSTIN, CA 92780 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS OR AN AFFILIATE HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH SCHICK RECORDS MANAGEMENT ("SCHICK") PURSUANT TO WHICH SCHICK WILL PROVIDE PIMCO INVESTMENTS WITH OFF-SITE RECORDS STORAGE AND RELATED SERVICES WITH RESPECT TO ITS CALIFORNIA OFFICE. Name: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC CRD #: 104559 Business Address: 650 NEWPORT CENTER DR NEWPORT BEACH, CA 92660 Effective Date: 02/07/2011 Description: PIMCO INVESTMENTS HAS ENTERED INTO CERTAIN ARRANGEMENTS WITH PACIFIC INVESTMENT MANAGEMENT COMPANY LLC ("PIMCO") PURSUANT TO WHICH PIMCO OR ITS DESIGNEES MAINTAINS CERTAIN BOOKS AND RECORDS ON BEHALF OF PIMCO INVESTMENTS. This firm does not have accounts, funds, or securities maintained by a third party. ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 21 www.finra.org/brokercheck User Guidance Firm Operations Industry Arrangements (continued) This firm does not have accounts, funds, or securities maintained by a third party.

This firm does not have customer accounts, funds, or securities maintained by a third party.

Control Persons/Financing This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 22 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates This section provides information on control relationships the firm has with other firms in the securities, investment advisory, or banking business.

This firm is, directly or indirectly: · in control of · controlled by · or under common control with the following partnerships, corporations, or other organizations engaged in the securities or investment advisory business. ALLIANZ REAL ESTATE (SHANGHAI) CO. LTD. is under common control with the firm. Business Address: 501 YINCHENG MIDDLE ROAD, UNIT NO. 13-129, LUJIAZU SHANGHAI, CHINA 200120 Effective Date: 10/01/2020 Foreign Entity: Yes Country: SHANGHAI, CHINA Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ SE INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ REAL ESTATE (SHANGHAI) CO. LTD.

ALLIANZ REAL ESTATE JAPAN GK is under common control with the firm. Business Address: 10-5, TORANOMON 1-CHOME, MINATO-KU TOKYO, JAPAN 105-0001 Effective Date: 10/01/2020 Foreign Entity: Yes Country: JAPAN Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ SE INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ REAL ESTATE JAPAN GK

ALLIANZ REAL ESTATE ASIA PACIFIC PTE. LTD. is under common control with the firm. Business Address: 12 MARINA VIEW, #14-01 ASIA SQUARE TOWER 2 ©2021 FINRA. All rights reserved. Report aboutSINGAPORE, PIMCO INVESTMENTS SINGAPORE LLC 18961 23 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Business Address: 12 MARINA VIEW, #14-01 ASIA SQUARE TOWER 2 SINGAPORE, SINGAPORE 18961 Effective Date: 10/01/2020 Foreign Entity: Yes Country: SINGAPORE Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ SE INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ REAL ESTATE ASIA PACIFIC PTE. LTD.

ALLIANZ REAL ESTATE GMBH is under common control with the firm. Business Address: SEIDLSTR. 24-24A MUNICH, GERMANY 80335 Effective Date: 10/01/2020 Foreign Entity: Yes Country: GERMANY Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ SE INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ REAL ESTATE GMBH

PIMCO INVESTMENT MANAGEMENT (SHANGHAI) LIMITED is under common control with the firm. Business Address: RM 3667, SHANGHAI INTL FINANCE CENTER (TOWER B) 8 CENTURY AVENUE, PUDONG SHANGHAI, CHINA 200120 Effective Date: 11/09/2020 Foreign Entity: Yes Country: CHINA Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ©2021 FINRA. All rights reserved. Report aboutPIMCO PIMCO INVESTMENT INVESTMENTS MANAGEMENT LLC (SHANGHAI) LIMITED. 24 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO INVESTMENT MANAGEMENT (SHANGHAI) LIMITED.

ALLIANZ GLOBAL INVESTORS ASSET MANAGEMENT (SHANGHAI) LIMITED is under common control with the firm. Business Address: ROOM 1403, LEVEL 14, SHANGHAI TOWER 501 YINCHENG MIDDLE RD, LUJIAZUI, PUDONG NEW AREA SHANGHAI, CHINA 200120 Effective Date: 03/27/2019 Foreign Entity: Yes Country: CHINA Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS ASSET MANAGEMENT (SHANGHAI) LIMITED.

PIMCO TAIWAN LIMITED is under common control with the firm. Business Address: 40F., NO.68, SEC. 5, ZHONGXIAO E. RD., XINYI DIST. TAIPEI CITY 110, TAIWAN 11065 Effective Date: 05/30/2018 Foreign Entity: Yes Country: TAIWAN Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO TAIWAN LIMITED.

GURTIN MUNICIPAL BOND MANAGEMENT is under common control with the firm. CRD #: 143597 Business Address: 440 STEVENS AVENUE ©2021 FINRA. All rights reserved. Report aboutSUITE PIMCO 260 INVESTMENTS LLC 25 SOLANA BEACH, CA 92075 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Business Address: 440 STEVENS AVENUE SUITE 260 SOLANA BEACH, CA 92075 Effective Date: 01/02/2019 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND DIRECTLY OWNS AND CONTROLS GURTIN FIXED INCOME MANAGEMENT, LLC. (DBA: GURTIN MUNICIPAL BOND MANAGEMENT)

ALLIANZ GLOBAL INVESTORS OVERSEAS ASSET MANAGEMENT (SHANGHAI) LIMITED is under common control with the firm. Business Address: ROOM 1403, LEVEL 14, SHANGHAI TOWER 501 YINCHENG MIDDLE RD, LUJIAZUI, PUDONG NEW AREA SHANGHAI, CHINA 200120 Effective Date: 08/10/2018 Foreign Entity: Yes Country: CHINA Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS OVERSEAS ASSET MANAGEMENT (SHANGHAI) LIMITED.

ALLIANZ CAPITAL PARTNERS OF AMERICA LLC is under common control with the firm. CRD #: 161684 Business Address: 1633 BROADWAY NEW YORK, NY 10019 Effective Date: 04/01/2018 ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 26 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Effective Date: 04/01/2018 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ OF AMERICA, INC. INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ CAPITAL PARTNERS OF AMERICA LLC.

ALLIANZ CAPITAL PARTNERS GMBH is under common control with the firm. Business Address: SEIDLSTR. 24-24A MUNICH, GERMANY 80335 Effective Date: 02/21/2018 Foreign Entity: Yes Country: GERMANY Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ CAPITAL PARTNERS GMBH.

PIMCO AUSTRALIA MANAGEMENT LIMITED is under common control with the firm. Business Address: 5 MARTIN PLACE LEVEL 19 SYDNEY, AUSTRALIA NSW 2000 Effective Date: 08/15/2016 Foreign Entity: Yes Country: AUSTRALIA Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND ©2021 FINRA. All rights reserved. Report aboutCONTROLS PIMCO INVESTMENTS THE APPLICANT LLC AND INDIRECTLY OWNS AND CONTROLS 27 PIMCO AUSTRALIA MANAGEMENT LIMITED. www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO AUSTRALIA MANAGEMENT LIMITED.

TOKIO MARINE ROGGE ASSET MANAGEMENT LIMITED is under common control with the firm. Business Address: 199 BISHOPSGATE LONDON, UK EC2M 3TY Effective Date: 05/31/2016 Foreign Entity: Yes Country: UK Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS TOKIO MARINE ROGGE ASSET MANAGEMENT LIMITED.

ALLIANZ GLOBAL INVESTORS (SCHWEIZ) AG is under common control with the firm. Business Address: GOTTFRIED-KELLER-STRASSE 5 ZURICH, SWITZERLAND 8001 Effective Date: 10/01/2015 Foreign Entity: Yes Country: SWITZERLAND Securities Activities: Yes Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY OWNS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS (SCHWEIZ) AG.

ALLIANZ GLOBAL INVESTORS U.S. LLC is under common control with the firm. CRD #: 149003 Business Address: 1633 BROADWAY NEW YORK, NY 10019

Effective©2021 FINRA. Date: All rights reserved. Report about07/07/2010 PIMCO INVESTMENTS LLC 28 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Effective Date: 07/07/2010 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities: Description: EFFECTIVE 1/1/2013, ALLIANZ GLOBAL INVESTORS CAPITAL LLC CHANGED ITS NAME TO ALLIANZ GLOBAL INVESTORS U.S. LLC. ALLIANZ OF AMERICA, INC. INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ GLOBAL INVESTORS U.S. LLC.

ALLIANZ INVESTMENT MANAGEMENT LLC is under common control with the firm. CRD #: 111925 Business Address: 5701 GOLDEN HILLS DRIVE MINNEAPOLIS, MN 55416 Effective Date: 01/03/2013 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ SE INDIRECTLY OWNS THE APPLICANT AND ALLIANZ INVESTMENT MANAGEMENT LLC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC is under common control with the firm. CRD #: 612 Business Address: 5701 GOLDEN HILLS DRIVE MINNEAPOLIS, MN 55416 Effective Date: 01/03/2013 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory No Activities: ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 29 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Investment Advisory No Activities: Description: ALLIANZ SE INDIRECTLY OWNS THE APPLICANT AND ALLIANZ LIFE FINANCIAL SERVICES, LLC.

PIMCO LATIN AMERICA ADMINISTRADORA DE CARTEIRAS LTDA. is under common control with the firm. Business Address: AV. BRIGADEIRO FARIA LIMA 3477 TORRE A, 5° ANDAR SÃO PAULO, BRAZIL 04538-133 Effective Date: 03/16/2012 Foreign Entity: Yes Country: BRAZIL Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND DIRECTLY AND INDIRECTLY OWNS, AND CONTROLS, PIMCO LATIN AMERICA ADMINISTRADORA DE CARTEIRAS LTDA.

PIMCO EUROPE GMBH is under common control with the firm. Business Address: SEIDLSTRASSE 24-24A D-80335 MUNICH, GERMANY Effective Date: 12/22/2011 Foreign Entity: Yes Country: GERMANY Securities Activities: Yes Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND DIRECTLY OWNS AND CONTROLS PIMCO EUROPE GMBH (FORMERLY KNOWN AS PIMCO DEUTSCHLAND GMBH).

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 30 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

PIMCO GLOBAL ADVISORS (LUXEMBOURG) S.A. is under common control with the firm. Business Address: 49, AVENUE J.F. KENNEDY LUXEMBOURG, GRAND DUCHY OF LUXEMBOURG L-1855 Effective Date: 12/16/2010 Foreign Entity: Yes Country: LUXEMBOURG Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND PIMCO GLOBAL ADVISORS (LUXEMBOURG) S.A.,F/K/A PIMCO LUXEMBOURG IV S.A. EFFECTIVE 07/01/2021, ALLIANZ INVESTMENT REAL ESTATE SOLUTIONS S.A.R.L. MERGED WITH PIMCO GLOBAL ADVISORS (LUXEMBOURG) S.A. THE SURVIVING ENTITY IS PIMCO GLOBAL ADVISORS (LUXEMBOURG) S.A.

ALLIANZ TREUHAND GMBH is under common control with the firm. Business Address: REINSBURGSTR, 19 STUTTGART, GERMANY D-70178 Effective Date: 07/07/2010 Foreign Entity: Yes Country: GERMANY Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ TREUHAND GMBH.

ALLIANZ GLOBAL INVESTORS NOMINEE SERVICES LTD. is under common control with the firm. Business Address: 27TH FL., ICBC TOWER, 3 GARDEN ROAD, CENTRAL HONG KONG, HONG KONG Effective Date: 07/07/2010 Foreign Entity: Yes ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 31 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Foreign Entity: Yes Country: CAYMAN ISLANDS Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS NOMINEE SERVICES LTD.

ALLIANZ GLOBAL INVESTORS TAIWAN LTD. is under common control with the firm. Business Address: 2ND, 5TH-9TH FL., NO. 378, FU-HSING N. ROAD TAIPEI, TAIWAN 10476 Effective Date: 07/07/2010 Foreign Entity: Yes Country: TAIWAN Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS TAIWAN LTD.

ALLIANZ GLOBAL INVESTORS JAPAN CO. LTD. is under common control with the firm. Business Address: ARK HILLS SOUTH TOWER 19F, 1-4-5 ROPPONGI, MINATO-KU TOKYO, JAPAN 106-0032 Effective Date: 07/07/2010 Foreign Entity: Yes Country: JAPAN Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ©2021 FINRA. All rights reserved. Report aboutASSET PIMCO MANAGEMENT INVESTMENTS LLCAKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) 32 INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS JAPAN CO. LTD. www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS JAPAN CO. LTD.

ALLIANZ GLOBAL INVESTORS SINGAPORE LTD. is under common control with the firm. Business Address: 79 ROBINSON RD., #09-03 SINGAPORE, SINGAPORE 068897 Effective Date: 07/07/2010 Foreign Entity: Yes Country: SINGAPORE Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS SINGAPORE LTD.

ALLIANZ GLOBAL INVESTORS GMBH is under common control with the firm. Business Address: BOCKENHEIMER LANDSTRASSE 42-44 FRANKFURT AM MAIN, GERMANY 60323 Effective Date: 09/03/2012 Foreign Entity: Yes Country: GERMANY Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017)INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS ALLIANZ GLOBAL INVESTORS GMBH. PLEASE NOTE THAT ALLIANZ GLOBAL INVESTORS GMBH WAS FORMERLY KNOWN AS ALLIANZ GLOBAL INVESTORS EUROPE GMBH (EFFECTIVE 11/28/2014, ALLIANZ GLOBAL INVESTORS EUROPE GMBH CHANGED ITS NAME TO ALLIANZ GLOBAL INVESTORS GMBH).

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 33 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC is under common control with the firm. CRD #: 25567 Business Address: 1633 BROADWAY NEW YORK, NY 10019 Effective Date: 06/27/2011 Foreign Entity: No Country: Securities Activities: Yes Investment Advisory No Activities: Description: ALLIANZ OF AMERICA, INC. INDIRECTLY OWNS AND CONTROLS THE APPLICANT AND ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC.

ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITED is under common control with the firm. CRD #: 289358 Business Address: 27TH FLOOR, ICBC TOWER 3 GARDEN ROAD CENTRAL HONG KONG, HONG KONG Effective Date: 06/01/2015 Foreign Entity: Yes Country: CHINA Securities Activities: No Investment Advisory Yes Activities: Description: ALLIANZ ASSET MANAGEMENT GMBH (FORMERLY KNOWN AS ALLIANZ ASSET MANAGEMENT AKTIENGESELLSCHAFT - EFFECTIVE 4/11/2017) INDIRECTLY CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS RCM ASIA PACIFIC LTD. EFFECTIVE 06/01/2015, RCM ASIA PACIFIC LIMITED MERGED WITH ALLIANZ GLOBAL INVESTORS HONG KONG LTD. THE SURVIVING ENTITY IS RCM ASIA PACIFIC LIMITED. EFFECTIVE 06/01/2015, RCM ASIA PACIFIC LIMITED CHANGED ITS NAME TO ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LTD.

PIMCO ASIA LIMITED is under common control with the firm. Business Address: SUITE 2201, 22ND FLOOR, TWO INTL. FINANCE CENTER ©2021 FINRA. All rights reserved. Report aboutNO. 8PIMCO FINANCE INVESTMENTS STREET, LLC CENTRAL 34 HONG KONG, HONG KONG www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Business Address: SUITE 2201, 22ND FLOOR, TWO INTL. FINANCE CENTER NO. 8 FINANCE STREET, CENTRAL HONG KONG, HONG KONG Effective Date: 07/07/2010 Foreign Entity: Yes Country: HONG KONG Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO ASIA LIMITED.

PIMCO EUROPE LTD. is under common control with the firm. Business Address: 11 BAKER STREET LONDON, ENGLAND W1U 3AH Effective Date: 07/07/2010 Foreign Entity: Yes Country: UNITED KINGDOM Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO EUROPE LTD.

PIMCO ASIA PTE LTD. is under common control with the firm. Business Address: 8 MARINA VIEW, ASIA SQUARE, TOWER 1, LEVEL 30 SINGAPORE, SINGAPORE 238880 Effective Date: 07/07/2010 Foreign Entity: Yes Country: SINGAPORE Securities Activities: No Investment Advisory Yes Activities:©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 35 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued) Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO ASIA PTE LTD.

PIMCO AUSTRALIA PTY LTD. is under common control with the firm. Business Address: 5 MARTIN PLACE LEVEL 19 SYDNEY, AUSTRALIA NSW 2000 Effective Date: 07/07/2010 Foreign Entity: Yes Country: AUSTRALIA Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO AUSTRALIA PTY LTD.

PIMCO GLOBAL ADVISORS (IRELAND) LIMITED is under common control with the firm. Business Address: 78 SIR JOHN ROGERSON'S QUAY DUBLIN 2, IRELAND D02HD32 Effective Date: 07/07/2010 Foreign Entity: Yes Country: IRELAND Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO GLOBAL ADVISORS (IRELAND) LIMITED.

PIMCO JAPAN LTD. is under common control with the firm. Business Address: TORANOMON TOWERS, 18F 4-1-28, TORANOMON, MINATO-KU TOKYO, JAPAN 105-0001 ©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 36 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)TORANOMON TOWERS, 18F 4-1-28, TORANOMON, MINATO-KU TOKYO, JAPAN 105-0001 Effective Date: 07/07/2010 Foreign Entity: Yes Country: BRITISH VIRGIN ISLANDS Securities Activities: No Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO JAPAN LTD.

PIMCO CANADA CORP. is under common control with the firm. Business Address: 199 BAY STREET, SUITE 2050 COMMERCE COURT, P.O. BOX 363 TORONTO, ONTARIO, CANADA ML5 1G2 Effective Date: 07/07/2010 Foreign Entity: Yes Country: CANADA Securities Activities: Yes Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT AND INDIRECTLY OWNS AND CONTROLS PIMCO CANADA CORP.

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC controls the firm. CRD #: 104559 Business Address: 650 NEWPORT CENTER DR NEWPORT BEACH, CA 92660 Effective Date: 07/07/2010 Foreign Entity: No Country: Securities Activities: No Investment Advisory Yes Activities:©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 37 www.finra.org/brokercheck User Guidance Firm Operations

Organization Affiliates (continued)

Investment Advisory Yes Activities: Description: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC DIRECTLY OWNS AND CONTROLS THE APPLICANT.

This firm is not directly or indirectly, controlled by the following: · bank holding company · national bank · state member bank of the Federal Reserve System · state non-member bank · savings bank or association · credit union · or foreign bank

©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 38 www.finra.org/brokercheck User Guidance

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©2021 FINRA. All rights reserved. Report about PIMCO INVESTMENTS LLC 39