SEC Form 3 · accession 0000899243-16-015791
PIMCO CORPORATE & INCOME STRATEGY FUND · PCN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Auction Preferred StockF3,F2,F1 | holding | — | — | — | 475 | I | By subsidiary - see footnote |
Table II — derivative securities
Explanation of responses
- F1This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two-wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.
- F2Pursuant to the Global Relief Letter referred to below, this filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
- F3(CUSIP No[s]. [72200U209, 72200U308, 72200U407, 72200U506, 72200U605] )
Remarks
The Shares reported herein represent UBS Group AG's combined holdings in multiple series of auction preferred securities of the issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities -- Global Exemptive Relief letter ("Global Relief Letter") issued by the staff of the Securities and Exchange Commission (SEC) on September 22, 2008. UBS Group AG undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, complete information regarding the number of securities identified in Table I purchased and sold at each different price and date for the period between the date on which beneficial ownership exceeded ten percent and January 31, 2009, as required by the Global Relief Letter. This Statement filing was triggered as a result of an Issuer tender offer expiring on November 20, 2015. UBS Group AG did not participate in the tender offer.